9.106-4 Reports
Source: FAR 9.106-4 on acquisition.gov
Preaward survey reports must be thorough, use the correct forms, and involve SBA consultation for certain small businesses to ensure accurate contractor responsibility determinations.
Overview
FAR 9.106-4 outlines the reporting requirements for preaward surveys conducted to assess a prospective contractor’s responsibility. Surveying activities must complete specific Standard Forms (SF 1403-1408) relevant to the areas being evaluated (general, technical, production, quality assurance, financial capability, and accounting system) and provide narrative support for their findings and recommendations. Special procedures apply when the contractor is a small business with recent 8(a) or Certificate of Competency status, requiring consultation with the SBA before making recommendations. If prior unsatisfactory performance is found, the report must detail corrective actions and note any ongoing need for government assistance. In cases where a full on-site survey is unnecessary, a short-form report using only SF 1403 may be submitted, with specific sections completed and marked accordingly.
Key Rules
- Completion of Standard Forms (SF 1403-1408)
- Surveying activities must fill out the relevant preaward survey forms and provide narrative justification for ratings and recommendations.
- SBA Consultation for Certain Small Businesses
- If the contractor is a small business with recent 8(a) or Certificate of Competency status, the SBA field office must be consulted before making responsibility recommendations.
- Reporting on Past Performance
- Reports must specify corrective actions for prior unsatisfactory performance and document any persistent need for government assistance.
- Short-Form Preaward Survey Option
- When appropriate, a short-form report using only SF 1403 may be submitted, with specific sections completed and the report clearly marked as short-form.
Responsibilities
- Contracting Officers: Ensure preaward survey reports are complete, accurate, and meet all regulatory requirements.
- Contractors: Provide necessary information and documentation during the survey process.
- Agencies: Surveying activities must consult SBA when required and ensure all forms and narratives are properly completed.
Practical Implications
- This section ensures thorough and standardized evaluation of contractor responsibility before award, reducing risk for the government.
- Failure to follow these procedures can delay contract awards or result in improper responsibility determinations.
- Common pitfalls include incomplete forms, lack of narrative support, or failure to consult SBA when required.
(a) The surveying activity shall complete the applicable parts of https://www.gsa.gov/forms-library/pre-award-survey-prospective-contractor-general" target="_blank">SF 1403, Preaward Survey of Prospective Contractor (General); https://www.gsa.gov/forms-library/pre-award-survey-prospective-contractor-technical" target="_blank">SF 1404, Preaward Survey of Prospective Contractor-Technical; https://www.gsa.gov/forms-library/pre-award-survey-prospective-contractor-production" target="_blank">SF 1405, Preaward Survey of Prospective Contractor-Production; https://www.gsa.gov/forms-library/pre-award-survey-prospective-contractor-quality-assurance" target="_blank">SF 1406, Preaward Survey of Prospective Contractor-Quality Assurance; https://www.gsa.gov/forms-library/pre-award-survey-prospective-contractor-financial-capability" target="_blank">SF 1407, Preaward Survey of Prospective Contractor-Financial Capability; and https://www.gsa.gov/forms-library/pre-award-survey-prospective-contractor-accounting-system" target="_blank">SF 1408, Preaward Survey of Prospective Contractor-Accounting System; and provide a narrative discussion sufficient to support both the evaluation ratings and the recommendations.
(b) When the contractor surveyed is a small business that has received preferential treatment on an ongoing contract under Section 8(a) of the Small Business Act (15 U.S.C. 637) or has received a Certificate of Competency during the last 12 months, the surveying activity shall consult the appropriate Small Business Administration field office before making an affirmative recommendation regarding the contractor’s responsibility or nonresponsibility.
(c) When a preaward survey discloses previous unsatisfactory performance, the surveying activity shall specify the extent to which the prospective contractor plans, or has taken, corrective action. Lack of evidence that past failure to meet contractual requirements was the prospective contractor’s fault does not necessarily indicate satisfactory performance. The narrative shall report any persistent pattern of need for costly and burdensome Government assistance (e.g., engineering, inspection, or testing) provided in the Government’s interest but not contractually required.
(d) When the surveying activity possesses information that supports a recommendation of complete award without an on-site survey and no special areas for investigation have been requested, the surveying activity may provide a short-form preaward survey report. The short-form report shall consist solely of the Preaward Survey of Prospective Contractor (General), https://www.gsa.gov/forms-library/pre-award-survey-prospective-contractor-general" target="_blank">SF 1403. Sections III and IV of this form shall be completed and block21 shall be checked to show that the report is a short-form preaward report.