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be excluded from competing for such (b) Positive efforts shall be made by procurements. Awards shall be made to recipients to utilize small businesses, the bidder or offeror whose bid or offer minority-owned firms, and women's is responsive to the solicitation and is business enterprises, whenever posmost advantageous to the recipient, sible. Recipients of DOE awards shall price, quality and other factors consid- take all of the following steps to furered. Solicitations shall clearly set ther this goal. forth all requirements that the bidder (1) Ensure that small businesses, mior offeror shall fulfill in order for the nority-owned firms, and women's busibid or offer to be evaluated by the re- ness enterprises are used to the fullest cipient. Any and all bids or offers may extent practicable. be rejected when it is in the recipient's (2) Make information on forthcoming interest to do so.

opportunities available and arrange

time frames for purchases and con8600.144 Procurement procedures.

tracts to encourage and facilitate par(a) All recipients shall establish writ ticipation by small businesses, minorten procurement procedures. These ity-owned firms, and women's business procedures shall provide for, at a min enterprises. imum, that paragraphs (a)(1), (2) and (3) Consider in the contract process (3) of this section apply.

whether firms competing for larger (1) Recipients avoid purchasing un contracts intend to subcontract with necessary items.

small businesses, minority-owned (2) Where appropriate, an analysis is firms, and women's business entermade of lease and purchase alter- prises. natives to determine which would be (4) Encourage contracting with conthe most economical and practical pro sortiums of small businesses, minority. curement.

owned firms and women's business en(3) Solicitations for goods and serv- terprises when a contract is too large ices provide for all of the following for one of these firms to handle individ

(i) A clear and accurate description ually. of the technical requirements for the (5) Use the services and assistance, as material, product or service to be pro- appropriate, of such organizations as cured. In competitive procurements, the Small Business Administration and such a description shall not contain the Department of Commerce's Minorfeatures which unduly restrict com- ity Business Development Agency in petition.

the solicitation and utilization of (ii) Requirements which the bidder/ small businesses, minority-owned firms offeror must fulfill and all other fac- and women's business enterprises. tors to be used in evaluating bids or (c) The type of procuring instruments proposals.

used (e.g., fixed price contracts, cost (iii) A description, whenever prac- reimbursable contracts, purchase orticable, of technical requirements in ders, and incentive contracts) shall be terms of functions to be performed or determined by the recipient but shall performance required, including the be appropriate for the particular prorange of acceptable characteristics or curement and for promoting the best minimum acceptable standards.

interest of the program or project in(iv) The specific features of "brand volved. The "cost-plus-a-percentage-ofname or equal" descriptions that bid- cost" or "percentage of construction ders are required to meet when such cost' methods of contracting shall not items are included in the solicitation. be used.

(v) The acceptance, to the extent (d) Contracts shall be made only with practicable and economically feasible, responsible contractors who possess of products and services dimensioned in the potential ability to perform sucthe metric system of measurement. cessfully under the terms and condi

(vi) Preference, to the extent prac tions of the proposed procurement. ticable and economically feasible, for Consideration shall be given to such products and services that conserve matters as contractor integrity, record natural resources and protect the envi- of past performance, financial and ronment and are energy efficient.

technical resources or accessibility to

other necessary resources. In certain procurement files in connection with circumstances, contracts with certain every procurement action. Price analparties are restricted by DOE's imple- ysis may be accomplished in various mentation, in 10 CFR part 1036, of ways, including the comparison of E.O.'s 12549 and 12689, "Debarment and price quotations submitted, market Suspension."

prices and similar indicia, together (e) Recipients shall, on request, make with discounts. Cost analysis is the reavailable for DOE, pre-award review view and evaluation of each element of and procurement documents, such as cost to determine reasonableness, request for proposals or invitations for allocability and allowability. bids, independent cost estimates, etc., when any of the following conditions

$ 600.146 Procurement records. apply.

Procurement records and files for (1) A recipient's procurement proce- purchases in excess of the small purdures or operation fails to comply with chase threshold shall include the folthe procurement standards in this sub- lowing at a minimum: part.

(a) Basis for contractor selection, (2) The procurement is expected to (b) Justification for lack of competiexceed the small purchase threshold tion when competitive bids or offers fixed at 41 U.S.C. 403 (11) (currently are not obtained, and $25,000) and is to be awarded without (c) Basis for award cost or price. competition or only one bid or offer is received in response to a solicitation.

$ 600.147 Contract administration. (3) The procurement, which is ex A system for contract administration pected to exceed the small purchase shall be maintained to ensure conthreshold, specifies a “brand name" tractor conformance with the terms, product.

conditions and specifications of the (4) The proposed award over the contract and to ensure adequate and small purchase threshold is to be timely follow up of all purchases. Reawarded to other than the apparent cipients shall evaluate contractor perlow bidder under a sealed bid procure formance and document, as approment.

priate, whether contractors have met (5) A proposed contract modification the terms, conditions and specificachanges the scope of a contract or in tions of the contract. creases the contract amount by more than the amount of the small purchase

$ 600.148 Contract provisions. threshold.

The recipient shall include, in addi(1) By agreement of the recipient or tion to provisions to define a sound and subrecipient and the contractor, if con- complete agreement, the following prosistent with the recipient's or sub visions in all contracts. The following recipient's usual business practices and provisions shall also be applied to subapplicable state and local law, any con- contracts. tract to which this section applies may (a) Contracts in excess of the small provide for the payment of interest purchase threshold shall contain conpenalties on amounts overdue under tractual provisions or conditions that such contract except that

allow for administrative, contractual, (1) In no case shall any obligation to or legal remedies in instances in which pay such interest penalties be con a contractor violates or breaches the strued to be an obligation of the Fed contract terms, and provide for such eral government, and

remedial actions as may be appro(2) Any payment of such interest pen priate. alties may not be made from DOE (b) All contracts in excess of the funds nor be counted toward meeting a small purchase threshold shall contain cost sharing requirement of a DOE suitable provisions for termination by award.

the recipient, including the manner by

which termination shall be effected 1600.145 Cost and price analysis.

and the basis for settlement. In addiSome form of cost or price analysis tion, such contracts shall describe conshall be made and documented in the ditions under which the contract may

197-031 D-01--5

General of the United States, or any of their duly authorized representatives, shall have access to any books, documents, papers and records of the contractor which are directly pertinent to a specific program for the purpose of making audits, examinations, excerpts and transcriptions.

(e) All contracts, including small purchases, awarded by recipients and their contractors shall contain the procurement provisions of Appendix A to this subpart, as applicable.

8 600.149 Resource Conservation and

Recovery Act (RCRA). Recipients' procurements shall comply with applicable requirements of RCRA, as described at $600.116 of this subpart.

Reports and Records

be terminated for default as well as conditions where the contract may be terminated because of circumstances beyond the control of the contractor.

(c) Except as otherwise required by statute, an award that requires the contracting (or subcontracting) for construction or facility improvements shall provide for the recipient to follow its own requirements relating to bid guarantees, performance bonds, and payment bonds unless the construction contract or subcontract exceeds $100,000. For those contracts or subcontracts exceeding $100,000, DOE may accept the bonding policy and requirements of the recipient, provided the DOE has made a determination that the Federal Government's interest is adequately protected. If such a determination has not been made, the minimum requirements shall be as follows.

(1) A bid guarantee from each bidder equivalent to five percent of the bid price. The "bid guarantee" shall consist of a firm commitment such as a bid bond, certified check, or other negotiable instrument accompanying a bid as assurance that the bidder shall, upon acceptance of his bid, execute such contractual documents as may be required within the time specified.

(2) A performance bond on the part of the contractor for 100 percent of the contract price. A "performance bond" is one executed in connection with a contract to secure fulfillment of all the contractor's obligations under such contract.

(3) A payment bond on the part of the contractor for 100 percent of the contract price. A "payment bond” is one executed in connection with a contract to assure payment as required by statute of all persons supplying labor and material in the execution of the work provided for in the contract.

(4) Where bonds are required in the situations described herein, the bonds shall be obtained from companies holding certificates of authority as acceptable sureties pursuant to 31 CFR part 223, “Surety Companies Doing Business with the United States."

(d) All negotiated contracts (except those for less than the small purchase threshold) awarded by recipients shall include a provision to the effect that the recipient, DOE, the Comptroller

8600.150 Purpose of reports and

records. Sections 600.151 through 600.153 set forth the procedures for monitoring and reporting on the recipient's financial and program performance and the necessary standard reporting forms. They also set forth record retention requirements.

$ 600.151 Monitoring and reporting

program performance. (a) Recipients are responsible for managing and monitoring each project, program, subaward, function or activity supported by the award. Recipients shall monitor subawards to ensure subrecipients have met the audit requirements as delineated in $ 600.126.

(b) The terms and conditions of the award will prescribe the frequency with which the performance reports shall be submitted. Except as provided in paragraph (f) of this section, performance reports shall not be required more frequently than quarterly or less frequently than annually. Annual reports shall be due 90 calendar days after the award year; quarterly or semi-annual reports shall be due 30 days after the reporting period. DOE may require annual reports before the anniversary dates of multiple year awards in lieu of these requirements. The final performance reports are due 90 calendar days

after the expiration or termination of the award.

(c) If inappropriate, a final technical or performance report shall not be required after completion of the project.

(d) When required, performance reports shall generally contain, for each award, brief information on each of the following.

(1) A comparison of actual accomplishments with the goals and objectives established for the period, the findings of the investigator, or both. Whenever appropriate and the output of programs or projects can be readily quantified, such quantitative data should be related to cost data for computation of unit costs.

(2) Reasons why established goals were not met, if appropriate.

(3) Other pertinent information including, when appropriate, analysis and explanation of cost overruns or high unit costs. DOE may specify in the award that the recipient provide this information on the Federal Assistance Program Project Status Report (DOE F 4600.6), the technical reporting formats, or the Federal Assistance Management Summary Report. DOE may require that the Federal Assistance Management Summary Report be used as a performance report only when such use is authorized by program rule or the need for this form is explained in the solicitation. The requirements of this section concerning reporting frequency and deadlines shall apply to the Federal Assistance Management Summary Report. (See also $ 600.112 with regard to use of this form as part of the award application.)

(e) Recipients shall not be required to submit more than the original and two copies of performance reports.

(f) Recipients shall immediately notify DOE of developments that have a significant impact on the award-supported activities. Also, notification shall be given in the case of problems, delays, or adverse conditions which materially impair the ability to meet the objectives of the award. This notification shall include a statement of the action taken or contemplated, and any assistance needed to resolve the situation.

(g) DOE may make site visits, as needed.

(h) DOE shall comply with applicable clearance requirements of 5 CFR part 1320 when requesting performance data from recipients.

(i) Recipients may place performance reporting requirements on subawards consistent with the provisions of this section and shall require interim reporting in accordance with $ 600.151(f). 8 600.152 Financial reporting.

(a) The following forms or such other forms as may be approved by OMB are authorized for obtaining financial information from recipients.

(1) SF-269 or SF-269A, Financial Status Report.

(i) Recipients shall use the SF-269 or SF-269A to report the status of funds for all nonconstruction projects or programs, except that DOE has the option of not requiring the SF-269 or SF-269A when the SF-270, Request for Advance or Reimbursement, or SF-272, Report of Federal Cash Transactions, is determined to provide adequate information to meet DOE needs. However, a final SF-269 or SF-269A shall be required at the completion of the project when the SF-270 is used only for advances.

(ii) The terms and conditions of award shall prescribe whether the report shall be on a cash or accrual basis. DOE may require accrual reporting only if such reporting is required by program statute or rule. If the award requires accrual information and the recipient's accounting records are not normally kept on the accrual basis, the recipient shall not be required to convert its accounting system, but shall develop such accrual information through best estimates based on an analysis of the documentation on hand.

(iii) DOE shall determine the frequency of the Financial Status Report for each project or program, considering the size and complexity of the particular project or program. However, the report shall not be required more frequently than quarterly or less frequently than annually. A final report shall be required at the completion of the agreement.

(iv) DOE shall require recipients to submit the SF-269 or SF-269A (an original and no more than two copies) no

later than 30 days after the end of each (2) When DOE determines that a respecified reporting period for quarterly cipient's accounting system does not and semi-annual reports, and 90 cal meet the standards in $600.121, addiendar days for annual and final reports. tional pertinent information to further Extensions of reporting due dates may monitor awards may be obtained upon be approved by the DOE upon request written notice to the recipient until of the recipient.

such time as the system is brought up (2) SF-272, Report of Federal Cash to standard. DOE, in obtaining this Transactions.

formation, shall comply with report (i) When funds are advanced, each re- clearance requirements of 5 CFR part cipient shall submit the SF-272 and, 1320. when necessary, its continuation sheet, (3) Contracting officers are encourSF-272a. DOE will use this report to aged to shade out any line item on any monitor cash advanced to recipients report if not necessary. and to obtain disbursement informa- (4) DOE may accept the identical intion for each agreement with the re- formation from the recipients in macipients.

chine readable format or computer (ii) Recipients shall forecast Federal printouts or electronic outputs in lieu cash requirements in the "Remarks" of prescribed formats. section of the report.

(5) Computer or electronic outputs (iii) When practical and deemed nec- may be provided to recipients when essary, DOE may require recipients to that expedites or contributes to the acreport in the "Remarks" section the curacy of reporting. amount of cash advances received in excess of three days. Recipients shall

$ 600.153 Retention and access reprovide short narrative explanations of

quirements for records. actions taken to reduce the excess bal (a) This section sets forth requireances.

ments for record retention and access (iv) Recipients shall be required to to records for awards to recipients. submit not more than the original and DOE shall not impose any other record two copies of the SF-272 15 calendar retention or access requirements upon days following the end of each quarter. recipients, unless such requirements DOE may require a monthly report are established in program regulations. from those recipients receiving ad (b) Financial records, supporting docvances totaling $1 million or more per uments, statistical records, and all year.

other records pertinent to an award (v) DOE may waive the requirement shall be retained for a period of three for submission of the SF-272 for any years from the date of submission of one of the following reasons:

the final expenditure report or, for (A) When monthly advances do not awards that are renewed quarterly or exceed $25,000 per recipient, provided annually, from the date of the submisthat such advances are monitored sion of the quarterly or annual finanthrough other forms contained in this cial report, as authorized by DOE. The section;

only exceptions are the following: (B) If, in the contracting officer's (1) If any litigation, claim, or audit is opinion, the recipient's accounting started before the expiration of the 3controls are adequate to minimize ex year period, the records shall be recessive Federal advances; or,

tained until all litigation, claims or (C) When electronic payment mecha- audit findings involving the records nisms provide adequate data.

have been resolved and final action (b) When DOE needs additional infor- taken. mation or more frequent reports, the (2) Records for real property and following shall be observed:

equipment acquired with Federal funds (1) When additional information is shall be retained for 3 years after final needed to comply with legislative re disposition. quirements, DOE shall issue instruc (3) When records are transferred to or tions to require recipients to submit maintained by DOE, the 3-year retensuch information under the "Remarks". tion requirement is not applicable to section of the reports.

the recipient.

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