1.602-3  Ratification of unauthorized commitments.

(S-90)  Definitions.

"Ratifying Official," as used here 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 either the Senior Procurement Official, DISA (SPE), the DISA Head of the Contracting Activity (HCA), or the DISA Head of the Contracting Office (HCO), as applicable to the circumstances identified in (b)(2) and (b)(3) below.

(S-91)  Policy.

(1)  It is DISA's policy that unauthorized commitments be precluded to the maximum extent possible. Only those persons having been issued a warrant to enter into contracting agreements (e.g., contracting officers) may legally obligate the Government to pay for goods and services. Contracting officers, Requiring Officials, Business Managers, and acquisition or operations program/project personnel should work together to understand and apply appropriate contract communications, communicate and ensure requirements are appropriately identified, planned, programmed, funded, contracted for, and managed in a timely manner. If a ratification action is necessary, involved individuals will communicate this fact immediately to their respective contracting officer/contracting activity/contracting office, immediate supervisor, the head of their cognizant organization, and the DISA HCA.

(2)  The ratification-approving official for all unauthorized commitments by DISA personnel above the SAT is the SPE. Requests for SPE ratification approval shall be submitted through the DISA Director for Procurement (PLD), who is also designated as the DISA HCA. A copy of the request should also be submitted to the DISA GC.

(3)  Ratification requests for unauthorized commitments by DISA personnel at or below the Simplified Acquisition Threshold require approval by the DISA HCA (PL). Ratification requests for unauthorized commitments by non-DISA customers above the Simplified Acquisition Threshold require approval by the DISA HCA; and those actions at or below the Simplified Acquisition Threshold require approval by the respective DISA PL HCO, with electronic mail (e-mail) notification to the HCA.

(4)  Personnel involved in the preparation and processing of ratification request documentation shall review and comply with the "Ratification Checklist of Required Documentation," and process flow charts contained in DARS Appendix D.

(5)  The person making the unauthorized commitment initiates the preparation and coordinates the review and processes the ratification request proposal package using the standardized "Request for Approval of Unauthorized Commitment" format, and includes all required content criteria identified in DARS Appendix D to document the request.

(6)  The person making the unauthorized commitment, and their supervisor will prepare the Summary Sheet, DISA Form 9, in accordance with the DISA Action Officer's Guide and the guidance provided in DARS Appendix D.

(S-91)  The cognizant ratification-approving official will reviews the file, approves, or disapproves the action.

(S-92)  Final approval of any ratification action resides with the appropriate ratification-approving official, except as noted below.

(1)  For DISA personnel involved in ratification request actions, the individual responsible for making the unauthorized commitment and the cognizant Deputy Director (DD) or Senior Executive Service (SES) representative of the DISA office involved must brief the DISA HCO, the DISA HCA, the DISA GC, and the DISA SPE on the circumstances and corrective actions taken to prevent a recurrence prior to final approval of any ratification action when:

(i)  The action, regardless of dollar amount, may result in disciplinary or administrative action against the individual making the unauthorized commitment (e.g., in cases of repetitive or egregious violations).

(ii)  The action is greater than the Simplified Acquisition Threshold requiring DISA SPE ratification approval. In this case the individual responsible and the cognizant DD or SES representative of the DISA office involved must brief the DISA HCA, DISA GC, and DISA SPE. The cognizant office DD or SES personnel should contact the DISA HCA to determine if this briefing may be conducted in person, by telephone, or by video-teleconference (VTC).

(iii)  The action is at or below the Simplified Acquisition Threshold requiring the DISA HCA ratification approval. In this case the individual responsible and the cognizant DD or SES representative personnel must brief the DISA HCA. The cognizant office DD or SES personnel should contact the DISA HCA to determine if this briefing may be conducted in person, by telephone, or by VTC.

(2)  For non-DISA personnel involved in ratification request actions, the individual responsible for making the unauthorized commitment and the head or representative SES personnel of the cognizant activity office involved must brief the applicable DISA HCO or the applicable DISA HCO and the DISA HCA on the circumstances and corrective actions taken prior to final approval of any ratification action when:

(i)  The action, regardless of dollar amount, may result in disciplinary or administrative action against the individual making the unauthorized commitment (e.g., in cases of repetitive or egregious violations).

(ii)  The action is greater than the Simplified Acquisition Threshold requiring DISA HCA ratification approval. In this case the individual responsible and the head or representative SES personnel of the cognizant activity office involved must brief the DISA HCA. The cognizant office head or SES personnel should contact the DISA HCA to determine if this briefing may be conducted in person, by telephone, or by VTC.

(iii)  The action is at or below the Simplified Acquisition Threshold requiring the ratification approval of the applicable DISA HCO. In this case the individual responsible and the head or representative SES personnel of the cognizant activity office involved must brief the applicable DISA HCO. The cognizant office head or SES personnel should contact the applicable DISA HCO to determine if this briefing may be conducted in person, by telephone, or by VTC.

(iv)  If the action is at or below the Simplified Acquisition Threshold requiring the ratification approval of the applicable DISA HCO, that HCO will provide a summary report of the action and its disposition to the DISA HCA.

(3)  For all DISA and non-DISA ratification request actions at or below the Simplified Acquisition Threshold, the cognizant ratification-approving official (HCA or applicable DISA HCO) will provide a summary report of the action to the DISA SPE, or the DISA HCA and the DISA SPE, as appropriate, following disposition of the ratification request.

(S-93)  If the decision is made not to ratify the unauthorized commitment, the individual making that unauthorized commitment may be held personally liable under Title 31, United States Code. In addition, criminal penalties may be pursued under DoD Directive 7200.1, "Administrative Control of Appropriations," 4 May 1995. A person who knowingly violates this title ".shall be fined not more than $5,000.00, imprisoned for not more than two years, or both." This individual may also face penalties ranging from warnings through suspension and removal. This individual may also face civil prosecution.

(S-94)  The HCA will maintain a database of all unauthorized commitments, ratification requests by DISA personnel, and by non-DISA personnel for DISA contracts, and request disposition. Each ratification proposal package should have a unique ratification control number, for each database entry. Each contracting officer and HCO is responsible for ensuring that a copy of the ratification package is placed in the contract file, or if no contract exists yet for the action, keep the package as a separate file in a central location. For each ratification action, HCOs and contracting officers should contact PL2 to obtain a unique ratification identification number. HCOs and contracting officers shall provide the following criteria for database entry throughout the ratification process. Contracting officers and HCOs are also responsible for ensuring that ratification package information is provided to the HCA, and entered into the database of unauthorized commitments. The database, at a minimum, shall include the following information:

(1)  Ratification Control Number - A unique control number assigned by PL2 for each ratification request 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 and entered into the HCA's Ratification spreadsheet database.

(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 Symbol/Phone Number - This information is for the organization, etc. to which the individual that made the unauthorized commitment belongs, the location (DITCO NCR, DITCO SCOTT, etc.), and the applicable telephone number. The telephone number should be the organization's administrative or "front" office or the appropriate SES personnel of that organization. If it is a non-DISA customer, indicate the appropriate agency/activity, organization code and telephone number for the organization's administrative office.

(8)  Date of Unauthorized Commitment - The actual date on which the unauthorized commitment was made. Also include any amended unauthorized commitment date(s), if applicable.

(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 in the first place or the cause of the subsequent ratification proposal. For example: expired contract; failure to communicate/coordinate requirement between requiring official, contracting officer, and business management office prior to making an agreement with the vendor or prior to the start of the subject work/service; etc.

(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, e.g., directed to attend impact card training and re-certification, advised the organization's SES personnel of agency view on ratifications and appropriate procedures, or no action taken to prevent this situation from occurring in the future (and explain why not). 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/contracting official, has there been any previous occurrences of ratification requests submitted by the organization prior to this one?

(17)  Ratification Approval Level (HCO, HCA or SPE)/Phone Number/Approval Date/Ratifying Official/Phone - Identify the appropriate approval level for the submitted ratification request; the applicable telephone number, the date on which the ratification was approved, the resulting contracting officer responsible for implementing the ratification action on contract, and the contracting officer's telephone number.