(a) "Department of Transportation" means all of the administrations, including the Office of the Secretary. (b) "Administration" means the following: Office of the Secretary (OST) Federal Highway Administration National Highway Traffic Safety Administration Urban Mass Transportation Administration St. Lawrence Seaway Development Corporation Maritime Administration Research and Special Programs Administration (c) "Head of the agency" (also called "agency head") means the Assistant Secretary for Administration for OST acquisitions; and for acquisitions within their administrations, the Administrators of the Federal Aviation Administration, Federal Highway Administration, Federal Railroad Administration, Urban Mass Transportation Administration, National Highway Traffic Safety Administration, Maritime Administration, St. Lawrence Seaway Development Corporation, Research and Special Programs Administration, and the Commandant, U.S. Coast Guard, except to the extent that any law or executive order limits the exercise of authority to persons at the Secretarial level. In the latter situation, the Assistant Secretary for Administration shall exercise the authority for the administrations. (d) "Head of the contracting activity" (HCA) means the following: In the Office of the Secretary The Chief, Procurement Division, Washington, DC In the Federal Aviation Administration The Director, Alaskan Region, Anchorage, The Director, Western Pacific Region, Los Angeles, CA The Director, Southern Region, Atlanta, GA The Director, Northwest Mountain Region, Seattle, WA The Director, Central Region, Kansas City, ΜΟ The Director, Eastern Region, Jamaica, NY The Director, Southwest Region, Fort Worth, TX The Director, Aeronautical Center, Oklahoma City, OK The Director, FAA Technical Center, Atlantic City, NJ The Director, New England Region, Burlington, MA The Director, Great Lakes Region, Des Plaines, IL In the Coast Guard Chief, Contract Support Division, Commandant (G-ACS), Washington, DC, for Headquarters and Resident Inspection Offices. Chief, Procurement Management Division, Commandant (G-FPM), Washington, DC, for other designated Headquarters Units and Commandant (G-CAS-4). Commander, First Coast Guard District, Boston, MA Commander, Second Coast Guard District, St. Louis, MO Commander, Fifth Coast Guard District, Portsmouth, VA Commander, Seventh Coast Guard District, Miami, FL Commander, Eighth Coast Guard District, New Orleans, LA Commander, Ninth Coast Guard District, Cleveland, OH Commander, Eleventh Coast Guard District, Long Beach, CA Commander, Thirteenth Coast Guard District, Seattle, WA Commander, Fourteenth Coast Guard Dis trict, Honolulu, HI Commander, Seventeenth Coast Guard District, Juneau, AL Superintendent, U.S. Coast Guard Acade my, New London, CT Commander, Maintenance and Logistics Command, Atlantic Commander, Maintenance and Logistics Command, Pacific In the Federal Highway Administration Associate Administrator for Administration, Washington, DC Federal Lands Highway Program Administrator, Direct Federal Construction Program, Washington, DC In the Federal Railroad Administration Director, Office of Procurement, Washington, DC In the National Highway Traffic Safety Administration Director, Office of Contracts and Procurement, Washington, DC In the Urban Mass Transportation Director, Office of Procurement and Third In the Research and Special Programs Chief, Acquisition Division, Transportation In the Maritime Administration Associate Administrator for Administration, Washington, DC Central Region Director, New Orleans, LA Western Region Director, San Francisco, CA Assistant Superintendent for Administration, U.S. Merchant Marine Academy (e) "Senior Procurement Executive” means that individual formally designated by the Secretary, currently the Director of Acquisition and Grant Management, Office of the Secretary. (f) "Acquisition executive" means the Deputy Secretary for programs defined as major systems in accordance with OMB Circular A-109 and DOT Order 4200.14A, Major Systems Acquisition Review and Approval. [52 FR 44528, Nov. 19, 1987, as amended at 53 FR 28398, July 28, 1988] (a) Personnel involved in contracting activities must familiarize themselves with a number of Federal criminal statutes prohibiting certain acts by Government officials or employees and, in varying degrees, special Government employees (as defined in 18 U.S.C. 202), which generally provide, among other things, the following: (1) 18 U.S.C. 201: Prohibits the asking, demanding, exacting, soliciting, seeking, acceptance, or receipt of or agreement to accept anything of value for him or herself or for any other person or entity in return for being influenced in the performance or non-performance of their official duties or other conduct of their office. (i.e., "bribes"). (2) 18 U.S.C. 203: Prohibits compensation for services rendered by any officer, employee, or another, such as partnership income in an accounting firm in relation to any particular matter in which the United States is a party. (3) 18 U.S.C. 205: Prohibits acting as an agent or attorney in prosecuting any claim against the United States or before any United States agency in relation to any matter in which the United States is a party, with or without compensation. (4) 18 U.S.C. 208: Prohibits personal and substantial participation in any particular matter in which an individual or an individual's spouse, minor child, partner, organization in which the individual serves as an officer, director, trustee, partner, or employee, or potential employer (with whom the individual is negotiating or has an arrangement for future employment) has a financial interest. (5) 18 U.S.C. 209: Prohibits receipt of any salary or supplementation of salary (anything of value) from a nonGovernment source as compensation for services as an officer or employee. (b) Under 18 U.S.C. 218, a conviction under one of these statutes in relation to a contract makes the contract voidable. (c) In addition to these statutory provisions, personnel involved in contracting activities must familiarize themselves with the Department's Employee Responsibilities and Conduct regulations in 49 CFR Part 99. These regulations, among other things, set forth standards of employee conduct and prohibit an employee's doing anything which could result in, or create the appearance of having, a conflict of interest. (d) Personnel involved in contracting activities must be particularly aware of the prohibitions against accepting gifts. In general, contracting personnel must not accept a gift from anyone who has, is seeking, or is likely to seek a contract with the Department. Gifts includes meals (lunches, dinners, etc.), entertainment (theater or sporting event tickets, weekends at private retreats, private cocktail parties, hospitality suites, etc.), and travel expenses (airplane tickets, hotel accommoda tions, etc.), as well as tangible gifts. The only general exception is gifts of unsolicited advertising or promotional material, such as pens, calendars, or desk toys, that are worth $10 or less. (e) Refer any questions concerning the matters discussed in this subpart to administration legal counsel. Subpart 1203.5-Other Improper Business Practices 1203.502 Subcontractor kickbacks. Contracting officers shall report suspected violations of the Anti-Kickback Act through the head of the contracting activity to administration legal counsel. Subpart 1203.6-Contracts With Gov ernment Employees or Organizations Owned or Controlled by Them 1203.602 Exceptions. The agency head has the authority to authorize an exception to the policy in FAR 3.601. This authority may be redelegated to a level not below the head of the contracting activity for contracts under $25,000. Before an exception is granted in any case, consult administration legal counsel as to the effect of the conflict of interest laws. Subpart 1203.70-Reporting Suspected Fraud and Improper Business Practices 1203.7000 Policy. Contracting officers shall report suspected violations of the gratuities clause, anti-trust violations, misrepresentations or violations of the coVenant against contingent fees, subcontractor kickbacks, and other suspected fraudulent behavior through normal administrative channels to the Office of Inspector General (J-1), with a copy to General Counsel or the appropriate Chief Counsel. Subpart 1203.71—Contracts Between DOT and Former DOT Employees 1203.7101 Policy. (a) Agency head approval is required for all contracts with individuals who have been employed by DOT within the two years prior to the expected date of contract award, and with firms in which such a former DOT employee is a partner, principal officer, majority stockholder, or which is otherwise controlled or predominantly staffed by such former DOT employees. (b) When current DOT employees are initially contacted by a former DOT official or employee on behalf of him or herself or a contractor in connection with a contract matter, they shall consult with appropriate legal counsel for a determination of impact on the acquisition involved, and to take action, as necessary, regarding violation of post-employment laws. |