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absence of coverage in the HHS Acquisition Regulation, the Federal Acquisition Regulation. To ensure proper control of redelegated acquisition authorities, HCA's shall maintain a file containing successive delegations of HCA authority through and including the contracting officer level.

(b) Personnel delegated responsibility for acquisition functions must possess a level of experience, training, and ability commensurate with the complexity and magnitude of the acquisition actions involved.

for Management and Budget (ASMB) for the Office of the Secretary (OS).

Head of the contracting activity (HCA)see 301.670–2.

Principal official responsible for acquisition (PORA) is defined in terms of certain organizational positions within the Office of Management and Acquisition (OMAC-OS), Health Care Financing Administration (HCFA), Office of Human Development Services (OHDS), Office of the Assistant Secretary for Health (DASH), Alcohol, Drug Abuse, and Mental Health Administration (ADAMHA), Centers for Disease Control (CDC), Food and Drug Administration (FDA), Health Resources and Services Administration (HRSA), Indian Health Service (IHS), National Institutes of Health (NIH), Social Security Administration (SSA), and the Regional Offices (RO's), as follows:

Subpart 301.7-Determinations

and Findings

SOURCE: 50 FR 23127, May 31, 1985 (interim rule) and 50 FR 38004, Sept. 19, 1985 (final rule), unless otherwise noted.

301.703 Class determinations and find

ings. (b) All class determinations and findings (D&F's) shall be limited to a period of one year or less.

301.704 Content.

An example of a D&F format may be found in 316.301-3(c). All D&F's shall be prepared using the referenced format and shall include the information required by FAR 1.704(a)-g).



OMAC-OS-Director, Division of Contract

Operations HCFA-Director, Office of Acquisition and

Grants, Office of Budget and Administra

tion OHDS- Director, Grants and Contracts Man

agement Division, Office of Management

Services QASH–Director, Division of Acquisitions

Management, Administrative Services

Center, Office of Management ADAMHA-- Director, Division of Grants and

Contracts Management, Office of the Ad

ministrator CDC- Director, Procurement and Grants Of

fice, Office of the Center Director FDA- Director, Division of Contracts and

Grants Management, Office of the Associate Commissioner for Management and Op

erations HRSA- Director, Division of Grants and

Procurement Management, Office of Man

agement IHS- Director, Division of Contracts and

Grants Policy, Office of Administration

and Management NIH- Director, Division of Contracts and

Grants, Office of Administration SSA– Associate Commissioner, Office of AC

quisition and Grants RO'S- Director, Regional Administrative

Support Center

AUTHORITY: 5 U.S.C. 301; 40 U.S.C. 486(C).

Subpart 302.1-Definitions

302.100 Definitions of terms.

Chief of the contracting office (CCO) is a mid-level management official in charge of a contracting office who controls and oversees the daily contracting operation of an Operating Division (OPDIV) or major component of an OPDIV. The CCO is subordinate to the principal official responsible for acquisition and is located at a management level above other contracting personnel, usually as a branch chief.

Head of the agency or agency head means the head of the Operating Division (OPDIV) for HCFA, OHDS, PHS, and SSA, or the Assistant Secretary

The PORA is subordinate to the head of the contracting activity and is the official in charge of the major contracting operation activity within the

[blocks in formation]

Sec. 303.101 Standards of conduct. 303.101–3 Agency regulations. 303.104 Procurement integrity. 303.104-4 Definitions. 303.104-5 Disclosure of proprietary and

source selection information. 303.1046 Restrictions on Government offi

cials, employees, and consultants. 303.104-9 Certification requirements. 303.104-11 Processing violations or possible

violations. 303.104-12 Ethics program training require


Subpart 303.2-Contract Gratuities to

Government Personnel

303.203 Reporting suspected violations of

the Gratuities clause.

Subpart 303.3—Report of Suspected

Antitrust Violations

303.303 Reporting suspected antitrust viola


Subpart 303.4—Contingent Fees

(h)(1) Procurement official means any individual who has participated personally and substantially in the conduct of a procurement. The following classes of employees may be considered procurement officials depending on the circumstances prevailing in a given case: contracting officers, contract specialists, contract administrators, procurement agents, procurement clerks, cost/ price analysts, procurement analysts, clerical support and administrative personnel, auditors, professional staff of the Division of Cost Allocation, acquisition review and approval officials, contract clearance staff, board of award members, supervisory procurement officials, small and disadvantaged business utilization specialists, project officers, project managers, program officials, officials who provide special program clearances and approvals, program managers, technical evaluation panelists, peer reviewers, source selection evaluation board members, source selection advisory council members, source selection authorities, finance officials, and procurement lawyers. Concept peer reviewers are not considered to be procurement officials when participating in project concept reviews pursuant to 42 CFR 524.10(a). However, concept peer reviewers, or other peer reviewers, who participate in a project approach review are procurement officials. When there is a question whether an individual is a procurement official, the activities of the individual should be analyzed by the contracting officer to determine

303.408 Evaluation of the SF 119. 303.408–1 Responsibilities. 303.409 Misrepresentations or violations of

the Covenant Against Contingent Fees.

Subpart 303.5-Other improper Business


303.502 Subcontractor kickbacks. . Subpart 303.6—Contracts With Govern

ment Employees or Organizations Owned or Controlled by Them

303.602 Exceptions.

Subpart 303.7—Voiding and Rescinding


303.704 Policy.

AUTHORITY: 5 U.S.C. 301; 40 U.S.C. 486(c).

whether there is both personal and sub- later modifications or supplements to stantial involvement in a procurement. such informationIf there is doubt in a particular case, (1) The generators of the requirethe doubt should be resolved by includ- ments, including program, scientific, ing the individual as a procurement of- and technical experts involved in the ficial. The contracting officer has the development of the statements of authority to decide who is or who is work, specifications, evaluation plans, not a procurement official in a particu- budget estimates, or similar docular case. The opinion of the Office of ments; the General Counsel (OGC) should be (2) Reviewing officials; and requested when the contracting officer (3) Supervisors in the management believes the situation is particularly

chain of the individuals listed in paracomplex or sensitive. When the con- graphs (d) (1) and (2) of this section. tracting officer's decision is disputed The contracting officer shall include in by the individual whose status as a

the contract file names and functions procurement official is in question, the

of any other individuals authorized acmatter will be referred to the Principal cess to proprietary or source selection Official Responsible for Acquisition

information. (PORA) for a final determination.

303.1046 Restrictions on Government (k)(1) Source selection information in

officials, employees, and consultcludes "derivative documents” which

ants. are documents containing references to or directly citing or paraphrasing pro

(b) Procurement officials leaving the prietary or source selection informa

Department will be required to com

plete the certification set forth in tion.

Chapter 1-90 of the General Adminis303.104-5 Disclosure

tration Manual if that official leaves of proprietary and source selection information. the Department during the conduct of

a procurement expected to result in a (a) The contracting officer or any

contract or modification in excess of other individual who prepares, makes

$100,000. The administrative officer will or controls proprietary, source selec

forward a copy of the certification to tion information, or derivative docu

each responsible contracting officer for ments shall

incorporation into the contract file. (1) Ensure documents are marked as prescribed in FAR 3.104 4 (j) and (k); 303.104-9 Certification requirements. (2) Provide physical security for doc

(c) The contracting officer shall inuments in the office environment dur

clude the contracting officer certifiing and after duty hours; and

cation in the contract file for each con(3) Ensure security of interoffice

tract action over $100,000. Including the mailing of documents by using opaque certificate in the contract file shall be envelopes, double wrapping with more

considered notification to the head of than one envelope, and sealing of enve

the agency. lopes, as necessary.

(e)(2) The waiver shall be submitted (b) Individuals responsible for prepar- to the Office of Acquisition and Grants ing derivative documents are respon- Management in the Office of Managesible for marking such documents in ment and Acquisition, Office of Manaccordance with FAR 3.104–5(b).

agement and Budget in the Office of (c) Only the contracting officer has the Secretary for review and approval the authority to authorize individuals, before submission to the head of the or classes of individuals, access to pro

agency. prietary or source selection information for each procurement except for 303.104-11 Processing violations paragraph (d) of this section.

possible violations. (d) The following classes of individ- (a)(1) The contracting officer deteruals are authorized blanket access to mination that a reported violation or only that source selection information possible violation of the statutory prodeveloped before a request for contract hibitions has no impact on the impendis sent to the contract office, or to ing award or selection of a source must


be submitted through channels, along er. A copy of the certificate shall be with supporting documentation, to the provided to the contract office which PORA for review and approval of the shall maintain a list of the procuredetermination before award of a con- ment officials who have signed the certract.

tificates. (2) The contracting officer's deter- (c) Procurement officials who serve mination that a reported violation or multiple contracting offices (such as possible violation of the statutory pro- procurement lawyers) shall submit cophibitions has an impact on the pending ies of their certificates to OAGM with award or selection of a source must be the originals being transmitted to referred through channels, along with their servicing personnel office. OAGM all related information available, to shall maintain a list of such procurethe PORA (if the PORA is an SES) or ment officials and inform cognizant to another SES official designated by contracting officers upon telephonic the OPDIV. That individual will

request whether particular individuals (i) Refer the matter immediately to are included on the list. the Office of Acquisition and Grants Management in the Office of Manage- Subpart 303.2—Contractor Gratument and Acquisition, Office of Man

ities to Government Personnel agement and Budget, Office of the Secretary for review, which office may

303.203 Reporting suspected violations consult with the Office of the General

of the Gratuities clause. Counsel and the Office of the Inspector General, as appropriate; and

Departmental personnel shall report (ii) Determine the action to be taken

suspected violations of the Gratuities

clause in accordance with subpart M, on the procurement in accordance with FAR 3.104–11 (c) and (d).

Reporting Violations, of the Depart(b) The individual in paragraph (a)(2)

ment's Standards of Conduct (45 CFR of this section acts as the agency head

part 73) and General Administration designee with respect to actions taken

Manual Chapter 5-10, rather than as under the FAR clause at 52.203–10,

specified in FAR 3.203. Refer to subpart Remedies for Illegal or Improper Activ

E, Gifts, Entertainment, and Favors, of

45 CFR part 73 for an explanation reity.

garding what is prohibited and what is 303.104-12 Ethics program training re

permitted. quirements. (a) The Office of Acquisition and

Subpart 303.3—Report of Grants Management in the Office of Suspected Antitrust Violations Management and Acquisition (OAGM), Office of Management and Budget in 303.303 Reporting suspected antitrust the Office of the Secretary is respon

violations. sible for developing a training module

A copy of each report of suspected which can be used by the Department's

antitrust violations submitted to the OPDIVs and Regional offices to train

Attorney General shall also be submitprocurement officials. Upon receipt of ted to the Director, Office of Acquisithe module, each OPDIV and Regional tion and Grants Management. Office must train the procurement officials set forth in 303.104 4(h)(1) before

[49 FR 13964, Apr. 9, 1984, as amended at 54

FR 24342, June 7, 1989) they can act as procurement officials.

(b) After the training has been completed, each procurement official must Subpart 303.4-Contingent Fees sign the “Procurement Official's Certificate of Procurement Integrity” be

303.408 Evaluation of the SF 119. fore he/she can act as a procurement official on any procurement. The cer

303.408–1 Responsibilities. tificate shall be submitted to the serv- (b) The chief of the contracting office icing personnel office, where the cer- shall perform the review required by tificate will be filed on the left side of FAR 3.408–1(b) and should consult with the employee's Official Personnel Fold- the Office of General Counsel, Business and Administrative Law Division, Subpart 303.6—Contracts With when deemed necessary.

Government Employees or 303.409 Misrepresentations or viola

Organizations Owned or Contions of the Covenant Against Con.

trolled by Them tingent Fees.

303.602 Exceptions. (a) Reports shall be made promptly

Approval of an exception to the polto the contracting officer.

icy stated in FAR 3.601 shall be made (b)(1)-(3) [Reserved]

by the head of the OPDIV (Assistant (4) Suspected fraudulent or criminal

Secretary for Management and Budget matters to be reported to the Depart

in OS cases) or the Regional Director. ment of Justice shall be prepared in letter format and forwarded through

Subpart 303.7–Voiding and acquisition channels to the head of the

Rescinding Contracts contracting activity for signature. The letter must contain all pertinent facts

303.704 Policy. and background information consid

For the purposes of implementing ered by the contracting officer and

FAR subpart 3.7, the authorities grantchief of the contracting office that led

ed to the "agency head or designee" to the decision that fraudulent or

shall be exercised by the principal officriminal matters may be present. A

cial responsible for acquisition. copy of the signed letter shall be sent to the Director, Office of Acquisition

(51 FR 44293, Dec. 9, 1986) and Grants Management.

PART 304-ADMINISTRATIVE [49 FR 13964, Apr. 9, 1984, as amended at 54

MATTERS FR 24342, June 7, 1989)

Subpart 304.1-Contract Execution

Subpart 303.5-Other Improper

Business Practices

304.101 Contracting officer's signature.
304.170 (Reserved]

303.502 Subcontractor kickbacks.

Subpart 304.2-Contract Distribution

304.201 Procedures.

Subpart 304.6m Contract Reporting

304.602 Federal Procurement Data System.

Subpart 304.8-Contract Files

(b) Any known or suspected violations of the Anti-Kickback Act (41 U.S.C. 51-54) shall be reported to the contracting officer who shall investigate the matter, document the findings, and report the results to the chief of the contracting office. If the results substantiate the known or suspected violation, the chief of the contracting office shall notify the Office of General Counsel, Business and Administrative Law Division and report the matter, through acquisition channels, to the head of the contracting activity. The head of the contracting activity shall take appropriate action is consonance with the Act, and notify the Director, Office of Acquisition and Grants Management of the case and its disposition.

304.801 General.
304.804 Closeout of contract files.
304.804-1 Closeout by the office administer-

ing the contract.
304.870 Closing review.

Subpart 304.70 Acquisition Instrument

Identification Numbering System

304.7000 Scope of subpart.
304.7001 Numbering contracts.
304.7002 Numbering solicitation documents.
304.7003 Numbering purchase and delivery

304.7004 Numbering basic agreements.

[49 FR 13964, Apr. 9, 1984, as amended at 54 FR 24342, June 7, 1989]

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