1.602-3  Ratification of unauthorized commitments.

AC 11-06

1.602-3

Approved 2 Dec 2010

(a)  Definitions.

"Ratifying Official," as used herein means the individual who has the authority to enter into a contractual commitment on behalf of the Agency, or the contracting officer.

"Ratification Approving Official," as used here means the Senior Procurement Executive, (SPE) or the Head of the Contracting Activity (HCA), as specified in (b) (2) below.

(b)

(2)  The ratification approving official for all unauthorized commitments valued at or above $1M is the SPE. The ratification approving official for all unauthorized commitments valued below $1M is the HCA. Coordination of the ratification request shall flow from the individual that made the unauthorized commitment as follows: 1) Cognizant contracting officer to prepare the Determination and Findings, 2) DITCO HCO, and 3) General Counsel for a legal opinion, prior to submitting to PL22 for review and processing. PL22 will log the request, assign a tracking number, review the complete package and coordinate for HCA/SPE approval.

(S-91)  The individual that made the unauthorized commitment prepares the ratification request package using the standardized "Request for Approval of Unauthorized Commitment" format, includes the documents specified in the "Ratification Checklist of Required Documentation" and prepares a DISA Form 9 in accordance with the DISA Action Officer's Guide and the provided DISA Form 9 Instructions. The ratification request package and DISA Form 9 shall be submitted to PL22 for tracking. If the unauthorized commitment was made by a non-DISA employee, then the Form 9 will be prepared by the contract specialist or contracting officer.

The Ratification Checklist of Required Documentation, Request for Approval of Unauthorized Commitment, and DISA Form 9 Instructions are located at https://www.ditco.disa.mil/DitcoContractingTemplates/doku.php?id=ratification_templates .

(S-92)  Ratification packages shall be submitted within 15 business days after initial notification to the contracting officer of the unauthorized commitment. The contracting officer shall complete the processing of the ratification determination and findings within 14 business days after the receipt of an accurate and complete package in accordance with the "Ratification Checklist of Required Documents" referenced above.

(S-93) The ratification approving official reviews the ratification request package and approves or disapproves the ratification request. Final approval of the ratification action resides with the appropriate ratification-approving official.

(S-94)  After submission of a ratification request, the individual that made the unauthorized commitment and an appropriate management official from the individual's organization may be required to brief the ratification approving official on the circumstances and corrective actions taken to prevent recurrence of unauthorized commitments. The ratification approval official will determine if a briefing is required and the method of the briefing via in person, by telephone, or by video-teleconference (VTC).

(S-95)  The Quality Assurance and Compliance Branch, PL22 will maintain a database of all unauthorized commitments and ratification requests. The database, at a minimum, shall include the following information:

(1)  Ratification Control Number- A unique control number assigned for each ratification request package. The first two numbers correspond to the last two numbers of the fiscal year in which the ratification request is received, followed by a dash and two numbers corresponding to the sequence in which the ratification request is received (i.e., 10-01, 10-02, 10-03, etc.). Ratification control numbers will be assigned upon receipt of a complete ratification package.

(2)  Contract Number and/or Order Number- The pertinent contract/order number against which the individual made an unauthorized commitment. If no contract existed at the time that an unauthorized commitment was made, so indicate. If the ratification request was approved and implemented, indicate the resulting, applicable contract number, with appropriate notation to that effect.

(3)  Contracting officer/Organization Code/Phone - Enter the appropriate name, organization code, and telephone number of the contracting officer for the pertinent contract involved. If no contract exists, the information should be that of the contracting officer involved in the ratification action.

(4)  Date Received - This is the date on which the ratification request package was received..

(5)  Customer DISA or Non-DISA - This is self-explanatory. Indicate whether the customer is from DISA or a non-DISA source.

(6)  Vendor - Identify the pertinent vendor's name and location (city and state).

(7)  Organization/Office Code/Phone Number - This information identifies the organization to which the individual that made the unauthorized commitment belongs, as well as the office code and phone number.

(8)  Date of Unauthorized Commitment - The actual date on which the unauthorized commitment was made.

(9)  Dollar Value - The dollar value of the unauthorized commitment.

(10)  Date of Ratification - The date on which the pertinent contract was ratified or the date on which the approved ratification request was implemented.

(11)  Description of the Unauthorized Commitment and Ratification Requirement - Self-explanatory.

(12)  Reason(s) for Ratification - A simple statement is all that is needed. This is a statement of why the unauthorized commitment was made. For example, expired contract; failure of the requirements office to communicate with the business management office and the contracting officer prior to making arrangements with the vendor to start work or provide a product/service."

(13)  If Not Ratified, Why Not? - Self-explanatory. If the ratification request was not approved, explain why it was not approved. If the ratification request was approved, leave this field blank.

(14)  Type of Preventive Action Taken - Describe the actions taken regarding the individual that made the unauthorized commitment to guard against or prevent recurring unauthorized commitments. For example, indicate what action was taken to prevent this situation from occurring in the future (e.g. directed to attend purchase card training and re-certification as a Government Purchase Card holder, received a written letter of reprimand from immediate supervisor, was placed on leave without pay for a five-day period by the head of their organization. Include the organizational title of who directed the action to be taken.

(15)  Referral to Investigative Authorities (Yes/No) - Self-explanatory.

(16)  Previous Occurrences (Yes/No) - To the knowledge of the contracting officer, has there been any previous occurrence of an unauthorized commitment by this individual or organization?

(17)  Ratification Approval Level (HCA or SPE)/Phone Number/Approval Date/Ratifying Official/Phone - Identify the appropriate approval level for the submitted ratification request; the applicable telephone number, and the date on which the ratification was approved.

(18)  Contracting Officer/Phone Number - Identify the contracting officer responsible for implementing the ratification action on contract, and the contracting officer's telephone number.