FAR 9.106—Preaward surveys.

Conditions for preaward surveys.

FAR 9.106-1 explains when a preaward survey should be used, when it should be avoided, and what must happen if adverse information or exclusion status is discovered. It covers three main topics: the general condition for requesting a preaward survey, the special rule that discourages surveys for fixed-price awards at or below the simplified acquisition threshold and for commercial products or commercial services unless there is a good reason, and the duty of a cognizant contract administration office to pass along unfavorable information if it learns of it before a survey is requested. It also requires the surveying activity to check whether the prospective contractor is debarred, suspended, or otherwise ineligible before starting the survey. In practice, this section is about using preaward surveys only when they are actually needed to support a responsibility determination, avoiding unnecessary delay and cost, and ensuring that exclusion information is identified early so the Government does not waste time surveying a contractor that cannot receive award. For contracting officers, it is a gatekeeping rule that helps decide whether to seek additional information; for contract administration offices and surveying activities, it creates prompt reporting and screening duties.

Requests for preaward surveys.

FAR 9.106-2 explains what a contracting officer must include when asking a surveying activity to conduct a preaward survey using SF 1403, Preaward Survey of Prospective Contractor (General). The section covers five specific request elements: identifying any additional factors needing information, providing the complete solicitation package and any known information about prior unsatisfactory performance, stating whether the contracting office will participate in the survey, setting the due date for the survey report, and limiting the scope of the survey when appropriate. Its purpose is to make sure the survey team has enough information to evaluate the prospective contractor efficiently and on the right issues before award. In practice, this section helps prevent incomplete or delayed surveys, focuses the survey on the government’s actual concerns, and supports a better-informed responsibility determination or award decision. It also signals that the contracting officer must actively manage the request, not simply forward a form without context.

Interagency preaward surveys.

FAR 9.106-3 addresses how to handle preaward surveys when the contracting office and the surveying activity are in different federal agencies. It tells the reader that the basic procedures in FAR 9.106 and the survey-related procedures in FAR subpart 42.1 still apply, but they must be used together with the regulations of the agency that is actually performing the survey. The section also recognizes that interagency coordination can create practical issues, so it requires the surveying agency to accommodate reasonable special requests from the contracting office. In practice, this provision is about making sure the preaward responsibility review is still useful and timely even when one agency is relying on another agency’s personnel or processes to gather information about a prospective contractor. It also points readers to FAR subpart 17.5, which may be relevant when the arrangement involves interagency acquisition support or related interagency relationships. The overall purpose is to preserve consistency, cooperation, and flexibility while avoiding procedural conflicts between agencies.

Reports.

FAR 9.106-4 explains how preaward survey findings must be documented and reported, and it ties those reports directly to responsibility determinations. It covers completion of the applicable Standard Forms 1403 through 1408, the need for a narrative discussion that supports the ratings and recommendations, special consultation requirements with the Small Business Administration (SBA) for certain small businesses with 8(a) status or recent Certificates of Competency, how to report prior unsatisfactory performance and corrective action, and when a short-form preaward survey report is allowed instead of a full on-site survey. In practice, this section ensures that contracting officers receive enough factual support to make a sound award decision, especially when the prospective contractor’s capability, past performance, or business status raises concern. It also protects small business interests by requiring SBA coordination before an adverse or affirmative responsibility recommendation in specified cases. For contractors, the section matters because survey findings can influence whether they receive award, whether they are viewed as responsible, and whether their past performance or need for Government assistance is documented in the procurement record.