[Code of Federal Regulations] [Title 48, Volume 3] [Revised as of October 1, 2002] From the U.S. Government Printing Office via GPO Access [CITE: 48CFR253.204-71] [Page 554-559] TITLE 48--FEDERAL ACQUISITION REGULATIONS SYSTEM CHAPTER 2--DEPARTMENT OF DEFENSE PART 253--FORMS--Table of Contents Subpart 253.2--Prescription of Forms Sec. 253.204-71 DD Form 1057, Monthly Summary of Contracting Actions. (a) Scope of subsection. Policy on use of a DD Form 1057 is in 204.670. This subsection contains instructions on completion of the DD Form 1057. (1) Report actions in the month they are awarded, issued, executed, or placed, except-- (i) When the price of an order or call cannot be determined when it is placed, count the action and its dollars when it is paid. (ii) Count the following actions when the voucher is paid (count each voucher as one action): (A) Meals and lodging. (B) Automatic deliveries, e.g., bread, milk, and ice cream. (iii) The Navy Facilities Engineering Command will report vouchers it processes on Naval shore establishment contracts for electricity and gas in accordance with departmental procedures. (2) Enter all dollar amounts in whole dollars only. Do not enter cents. If the net amount is a decrease, enter a minus sign (-) immediately preceding the amount to indicate a credit entry. Do not enter parentheses. (3) Report actions of $25,000 or less in support of a contingency operation as defined in 10 U.S.C. 101(a)(13), or a humanitarian or peacekeeping operation as defined in 10 U.S.C. 2302(8), in accordance with the instructions in paragraphs (c) through (j) of this subsection. Report actions exceeding $25,000 but not exceeding $200,000 that support a contingency, humanitarian, or peacekeeping operation, and actions exceeding $25,000 but not exceeding $200,000 that are placed by a contracting officer on a Navy vessel, on the monthly DD Form 1057 as follows: (i) Section B; the applicable lines are 5 through 5e and 8 through 8e. (ii) Section C; the applicable lines are 1 and 1c, 2 and 2c, and 3 and 3c. (iii) Sections D, E, and F are not applicable. (iv) Section G; complete fully. (b) Definitions. For purposes of this subsection' ``All Other Orders'' means orders, and modifications of such orders, under basic ordering agreements or indefinite-delivery contracts. GSA Schedule Orders means only orders or calls, and modifications of such orders or calls, under Federal schedules awarded by GSA. Other Contracting Actions means all actions that do not meet the definitions, in this paragraph (b), of an order. Other Federal Schedule Orders means only orders, and modifications of such orders, under Federal schedules awarded by an agency other than GSA, e.g., awarded by VA or OPM. Simplified Acquisition Procedures means purchase orders, calls under blanket purchase agreements (BPAs) (except BPAs written under Federal schedules), and modifications to those actions. (c) Section A, General Information. (1) LINE A1, REPORT MONTH. Enter four digits for the year and two digits for the month. Use 01 through 12 for January through December. For example, enter January 2003 as 200301. (2) LINE A2, NAME OF CONTRACTING OFFICE. Enter sufficient detail to establish the identity of the contracting office submitting the report on Lines 2a and b. (3) LINE A3, CONTRACTING OFFICE CODES. (i) Line A3a, Reporting Agency FIPS 95 Code. Enter one of the following codes: 2100 (Army); 1700 (Navy); 5700 (Air Force); 96CE (Army Civil Works); [[Page 555]] 97AS (DLA); 9700 (all other defense agencies). (ii) Line A3b, Contracting Office Code. Enter the code assigned by the departmental data collection point in 204.670-1(c). (d) Section B, Contracting Actions. (1) LINE B1, TARIFF OR REGULATED ACQUISITIONS. Enter the number and dollar value of contracting actions (including modifications that will also be reported on Line B9) with tariff or regulated industries (industries with sole source and service rates that are fixed or adjusted by a Federal, State, or other public regulatory body). (2) LINE B2, FOREIGN OR INTERAGENCY. (i) Enter the total number and dollar value of contracting actions (including modifications that will also be reported on Line B9)-- (A) For foreign military sales (FMS) or other arrangement where the foreign government or international organization is paying all or part of the cost of the action. (B) Placed directly with foreign governments under the terms of an international agreement, e.g., base maintenance performed with the foreign government acting as the contractor (any other actions directly with foreign governments go on Line B5). (C) With another Federal agency or Government corporation, e.g., Federal Prison Industries (UNICOR). (ii) Enter the subtotals for the number and dollar value of contracting actions (including modifications that will also be reported on Line B9) for-- (A) Line B2a, FMS or International Agreements. Enter subtotals for paragraphs (d)(2)(i)(A) and (B) of this subsection. (B) Line B2b, Actions with UNICOR. Enter subtotal for contracting actions with UNICOR. (C) Line B2c, Actions with Other Government Agencies. Enter subtotal for actions with government agencies other than UNICOR. (3) LINE B3, SMALL BUSINESS. (i) Enter the total number and dollar value of contracting actions (including modifications that will also be reported on Line B9) where the-- (A) Contractor is a small business concern; and (B) Place of performance is in the United States and outlying areas (see 204.670-1). (ii) Enter the subtotals for the number and dollar value of contracting actions (including modifications that will also be reported on Line B9) for-- (A) Line B3a, Simplified Acquisition Procedures; (B) Line B3b, GSA Schedule Orders; (C) Line B3c, Other Federal Schedule Orders; (D) Line B3d, All Other Orders; and (E) Line B3e, Other Contracting Actions. (4) LINE B4, LARGE BUSINESS. (i) Enter the total number and dollar value of contracting actions (including modifications that will also be reported on Line B9) where the-- (A) Contractor is a large business concern; and (B) Place of performance is in the United States and outlying areas. (ii) Enter the subtotals for the number and dollar value of contracting actions (including modifications that will also be reported on Line B9) for-- (A) Line B4a, Simplified Acquisition Procedures; (B) Line B4b, GSA Schedule Orders; (C) Line B4c, Other Federal Schedule Orders; (D) Line B4d, All Other Orders; and (E) Line B4e, Other Contracting Actions. (5) LINE B5, DOMESTIC OR FOREIGN ENTITIES PERFORMING OUTSIDE THE UNITED STATES. (i) Enter the total number and dollar value of contracting actions (including modifications that will also be reported on Line B9) where the place of performance is outside the United States and outlying areas (see 204.670-1(c)). This includes actions placed directly with a foreign government that are not under international agreements (see paragraph (d)(2)(i)(B) of this subsection). It does not matter whether the contractor is domestic or foreign. (ii) Enter the subtotals for the number and dollar value of contracting actions (including modifications that will also be reported on Line B9) for-- (A) Line B5a, Simplified Acquisition Procedures; (B) Line B5b, GSA Schedule Orders; [[Page 556]] (C) Line B5c, Other Federal Schedule Orders; (D) Line B5d, All Other Orders; and (E) Line B5e, Other Contracting Actions. (6) LINE B6, EDUCATIONAL. (i) Enter the total number and dollar value of contracting actions with educational institutions (including modifications that will also be reported on Line B9). (ii) Enter the subtotals for the number and dollar value of contracting actions (including modifications that will also be reported on Line B9) for-- (A) Line B6a, Simplified Acquisition Procedures; (B) Line B6b, GSA Schedule Orders; (C) Line B6c, Other Federal Schedule Orders; (D) Line B6d, All Other Orders; and (E) Line B6e, Other Contracting Actions. (7) LINE B7, NONPROFIT AND OTHER. (i) Enter the total number and dollar value of contracting actions (including modifications that will also be reported on Line B9) with-- (A) Nonprofit organizations as defined in FAR 31.701; (B) Qualified nonprofit agencies employing people who are blind or severely disabled; and (C) Any other entities not listed on Lines B1 through B6. (ii) Enter the subtotals for the number and dollar value of contracting actions (including modifications that will also be reported on Line B9) for-- (A) Line B7a, Simplified Acquisition Procedures; (B) Line B7b, GSA Schedule Orders; (C) Line B7c, Other Federal Schedule Orders; (D) Line B7d, All Other Orders; and (E) Line B7e, Other Contracting Actions. (8) LINE B8, TOTAL CONTRACTING ACTIONS. (i) Add the amounts on Lines B1 through B7 and enter the totals on Line B8. (ii) If directed by data collection point procedures, also enter the subtotals for the number and dollar value of contracting actions for-- (A) Line B8a, Simplified Acquisition Procedures, sum of Lines 3a + 4a + 5a + 6a + 7a. (B) Line B8b, GSA Schedule Orders, sum of Lines 3b + 4b + 5b + 6b + 7b. (C) Line B8c, Other Federal Schedule Orders, sum of Lines 3c + 4c + 5c + 6c + 7c. (D) Line B8d, All Other Orders, sum of Lines 3d + 4d + 5d + 6d + 7d. (E) Line B8e, Other Contracting Actions, sum of Lines 3e + 4e + 5e + 6e + 7e. (9) LINE B9, TOTAL MODIFICATIONS EXCLUDING SIMPLIFIED ACQUISITION PROCEDURES. Enter the total number and dollar value of modification actions, excluding simplified acquisition procedures. (e) Section C, Extent Competed. (1) LINE C1, COMPETED. (i) Enter the total number and dollar value of contracting actions that were competed. (A) Include on Line C1-- (1) Actions not subject to Competition in Contracting Act (CICA) (see FAR 6.001) when at least two quotations or offers were received; (2) Actions when competitive procedures were used to fulfill the requirement for full and open competition (see FAR Subpart 6.1); (3) Actions when full and open competition was provided for after exclusion of sources, to establish or maintain alternative sources or to set aside an acquisition exceeding the micro-purchase threshold for small business (see FAR subpart 6.2); (4) Actions when statutory authorities for other than full and open competition (see FAR subpart 6.3) were used and more than one offer was received, except as provided in paragraphs (e)(1)(i)(B)(2) and (3) of this subsection; (5) Actions resulting from a contract awarded competitively before CICA (including two-step formal advertising); (6) Orders, calls, and modifications under a Federal schedule; and (7) Section 8(a) awards competed under FAR 6.204. (B) Do not include-- (1) Actions that meet the criteria for Section C, Line C2; [[Page 557]] (2) Actions awarded under the authority of FAR 6.302-5(b)(2) or (4), authorized or required by statute (report these in Section C, Line C2); or (3) Actions reported in Section B, Lines B1 and B2, including actions with the Federal Prison Industries (UNICOR). These actions are treated as not available for competition in published competition reports. (ii) Enter the subtotals for the number and dollar value of contracting actions for-- (A) Line C1a, Small Business Concerns; (B) Line C1b, Large Business Concerns; (C) Line C1c, Domestic or Foreign Entities Performing Outside the United States; (D) Line C1d, Educational; and (E) Line C1e, Nonprofit and Other. (2) LINE C2, NOT AVAILABLE FOR COMPETITION. (i) Enter the total number and dollar value of contracting actions that were not available for competition. (A) Include on Line C2-- (1) Actions for brand name commercial products for authorized resale; (2) Actions authorized or required by statute to be awarded to a specific source or through another agency in accordance with FAR 6.302- 5(b)(2) or (4); e.g., actions with qualified nonprofit agencies employing people who are blind or severely disabled, and noncompetitive 8(a) actions; (3) Actions (including modifications) at or below the micro-purchase threshold at FAR 2.101; and (4) Other contracting actions when the Director of Defense Procurement has determined that there is no opportunity for competition. (B) Do not include any actions reported in Section B, Line B1 or B2 (e.g., actions with regulated monopolies, actions under foreign military sales or international agreements, and actions with another Federal agency or Government corporation). These actions are treated as not available for competition in published competition reports. (ii) Enter the subtotals for the number and dollar value of contracting actions for-- (A) Line C2a, Small Business Concerns; (B) Line C2b, Large Business Concerns; (C) Line C2c, Domestic or Foreign Entities Performing Outside the United States; (D) Line C2d, Educational; and (E) Line C2e, Nonprofit and Other. (3) LINE C3, NOT COMPETED. (i) Enter the total number and dollar value of contracting actions that were not competed, i.e., any actions not reported on Line B1 or B2. Do not include actions reported in Section B, Line B1 or B2. These actions are treated as not available for competition in published competition reports. (ii) Enter the subtotals for the number and dollar value of contracting actions for-- (A) Line C3a, Small Business Concerns; (B) Line C3b, Large Business Concerns; (C) Line C3c, Domestic or Foreign Entities Performing Outside the United States; (D) Line C3d, Educational; and (E) Line C3e, Nonprofit and Other. (f) Section D, RDT&E Actions. Do not include actions for supplies or services in support of research, development, test, and evaluation (RDT&E) work that do not require the contractor to perform RDT&E. (1) LINE D1, SMALL BUSINESS. Enter the total number and dollar values of RDT&E actions with small business concerns. (2) LINE D2, LARGE BUSINESS. Enter the total number and dollar value of RDT&E actions with large business concerns. (3) LINE D3, DOMESTIC OR FOREIGN ENTITIES PERFORMING OUTSIDE THE UNITED STATES. Enter the total number and dollar value of RDT&E actions where the principal place of performance is outside the United States and outlying areas (see 204.670-1). (4) LINE D4, HISTORICALLY BLACK COLLEGES AND UNIVERSITIES (HBCU). Enter the total number and dollar value of RDT&E actions with HBCUs. (5) LINE D5, MINORITY INSTITUTIONS (MI). Enter the total number [[Page 558]] and dollar value of RDT&E actions with MIs. (6) LINE D6, OTHER EDUCATIONAL. Enter the total number and dollar value of RDT&E actions with educational institutions other than HBCUs or MIs. (7) LINE D7, OTHER ENTITIES. Enter the total number and dollar value of RDT&E actions that were not reported on Lines D1 through D6. (g) Section E, Selected Socioeconomic Statistics. (1) LINE E1, SMALL BUSINESS (SB) SET-ASIDE. (i) Enter the total number and dollar value of contracting actions that were small business set-aside actions, including awards to SDBs reported on Lines E2c and E2d. Do not include orders under Federal schedules that are reported on Line E3 or E5. (ii) If the action is an emerging small business set-aside (see FAR 19.1006(c)), use the most appropriate line. (iii) Enter the subtotals for the number and dollar value of contracting actions for-- (A) Line E1a, SB Set-Aside Using Simplified Acquisition Procedures. Enter actions pursuant to FAR 13.003(b)(1). (B) Line E1b, SB Set-Aside. Enter actions pursuant to FAR 19.502. (C) Line E1c, Reserved. (2) LINE E2, SMALL DISADVANTAGED BUSINESS (SDB) ACTIONS. (i) Enter the total number and dollar value of contracting actions that were SDB actions. Do not include orders under Federal schedules that are reported on Line E3 or E5. (ii) Enter the subtotals for the number and dollar value of contracting actions for-- (A) Line E2a, Through SBA--Section 8(a). Enter actions with the Small Business Administration pursuant to Section 8(a) of the Small Business Act (see FAR subpart 19.8) or under the 8(a) direct award procedures at 219.811. (B) Line E2b, SDB Set-Aside, SDB Preference, or SDB Evaluation Adjustment. Enter actions resulting from-- (1) A set-aside for SDB concerns; (2) Application of an SDB price preference or evaluation adjustment (see FAR subpart 19.11); or (3) SDB preferential consideration. (C) Line E2c, SB Set-Aside Using Simplified Acquisition Procedures. Enter actions pursuant to FAR 13.003(b)(1) when award is to an SDB, but a preference or evaluation adjustment was not applied. (D) Line E2d, SB Set-Aside. Enter actions under FAR 19.502 when award is to an SDB, but a preference or evaluation adjustment was not applied nor was preferential consideration given. (E) Line E2e, Other. Enter awards to SDB concerns that are not reported on Lines E2a through E2d. (3) LINE E3, SDB FEDERAL SCHEDULE ORDERS. Enter the total number and dollar value of contracting actions that were orders under Federal schedules with SDBs. (4) LINE E4, WOMEN-OWNED SMALL BUSINESS. Enter the total number and dollar value of contracting actions with women-owned small businesses (see FAR 19.001). Do not include orders under Federal schedules that are reported on Line E5. (5) LINE E5, WOMEN-OWNED SMALL BUSINESS FEDERAL SCHEDULE ORDERS. Enter the total number and dollar value of contracting actions that were orders under Federal schedules with women-owned small businesses. (6) LINE E6, HBCU. Enter the total number and dollar value of contracting actions with HBCUs pursuant to subpart 226.70. (7) LINE E7, MI. Enter the total number and dollar value of contracting actions with MIs pursuant to subpart 226.70. (8) LINE E8, JWOD PARTICIPATING NONPROFIT AGENCIES. Enter the total number and dollar value of contracting actions with qualified nonprofit agencies employing people who are blind or severely disabled for supplies or services from the Procurement List pursuant to FAR subpart 8.7. (9) LINE E9, EXEMPT FROM SMALL BUSINESS ACT REQUIREMENTS. Enter the total number and dollar value of contracting actions exempt from the set-aside requirements of the Small Business Act (see FAR 19.502-1). (10) LINE E10, HUBZONE. (i) Enter the total number and dollar value of contracting actions that were [[Page 559]] awarded to HUBZone small business concerns. (ii) Enter the subtotals for the number and dollar value of contracting actions for-- (A) Line E10a, HUBZone Set-Aside; (B) Line E10b, HUBZone Price Evaluation Preference; (C) Line E10c, HUBZone Sole Source; and (D) Line E10d, HUBZone Concern--Other. Use this category when the award is to a HUBZone small business concern and Lines E10a, E10b, and E10c do not apply. (11) LINE E11, SERVICE-RELATED DISABLED VETERAN-OWNED SMALL BUSINESS. Enter the total number and dollar value of contracting actions that were awarded to service-disabled veteran-owned small business concerns. (12) LINE E12, OTHER VETERAN-OWNED SMALL BUSINESS. Enter the total number and dollar value of contracting actions that were awarded to veteran-owned small business concerns, other than those reported on Line E11. (h) Section F, Simplified Acquisition Procedures--Ranges. Enter in each of the dollar ranges the total number and dollar value of contracting actions that used simplified acquisition procedures (FAR part 13). The total of Section F is normally the sum of Lines B3a, B4a, B5a, B6a, and B7a. (i) Section G, Contingency Actions. LINE G1, TOTAL ACTIONS. (1) Enter the total number and dollar value of contracting actions that were awarded in support of a contingency operation as defined in 10 U.S.C. 101(a)(13) or a humanitarian or peacekeeping operation as defined in 10 U.S.C. 2302(8). The numbers entered here are a breakout of the numbers already entered in Sections B and C. (2) Enter the subtotals based on the instructions for completion of Section C for the number and dollar value of contracting actions for-- (i) Line G1a, Competed; (ii) Line G1b, Not Available for Competition; and (iii) Line G1c, Not Competed. (j) Section H, Remarks and Authentication. (1) LINE H1, REMARKS. Enter any remarks applicable to this report. (2) LINE H2, CONTRACTING OFFICER. (i) Line H2a, Name. Enter the name (last, first, middle initial) of the contracting officer or representative. (ii) Line H2b, Signature. The person identified on Line H2a must sign. (iii) Line H2c, Telephone Number. Enter the telephone number (with area code) of the person identified on Line H2a. Installations with Defense Switched Network (DSN) must enter their DSN number. (3) LINE H3, DATE REPORT SUBMITTED. Enter the date that the DD Form 1057 is submitted. Enter four digits for the year, two digits for the month, and two digits for the day. Use 01 through 12 for January through December. For example, enter January 2, 2003, as 20030102. [65 FR 39718, June 27, 2000, as amended at 66 FR 47107, Sept. 11, 2001]