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for Management and Acquisition. The competition advocates for the Department's primary contracting offices are as follows:

307.105–2 Special program clearances or ap

provals. 307.105-3 Specification, purchase descrip

tion, and statement of work. 307.170 Program training requirements. 307.170-1 Policy exceptions. 307.170-2 Training course prerequisites.

Subpart 307.3—Contractor Versus

Government Performance

307.302 General. 307.303 Determining availability of private

commercial sources. 307.304 Procedures. 307.307 Appeals.

HCFA-Associate Administrator for Manage

ment and Support Services OHDS-Director, Office of Management

Services OS-Director, Office of Acquisition and

Grants Management OASH–Director, Administrative Services

Center ADAMHA-Associate Administrator for

Management AHCPR-Executive Officer, Agency for

Health Care Policy and Research CDC-Director, Office of Program Support FDA-Associate Commissioner for Manage

ment and Operations HRSA-Associate Administrator for Oper

ations and Management IHS-Associate Director, Office of Adminis

tration and Management NIH~(R&D)-Associate Director for Extra

mural Affairs (Other than R&D)-Associate

Director for Intramural Affairs SSA-Deputy Commissioner for Manage

ment, RO's-Director, Regional Administrative

Support Center

Subpart 307.70_Considerations in

Selecting an Award Instrument

307.7000 Scope of subpart. 307.7001 Applicability. 307.7002 Purpose. 307.7003 Distinction between acquisition and

assistance. 307,7004 Procedures,

Subpart 307.71--Phase II Advance Acquisition Planning (Scheduling)

[50 FR 23127, May 31, 1985, and 50 FR 38004, Sept. 19, 1985, as amended at 52 FR 27558, July 22, 1987; 53 FR 15563, May 2, 1988; 53 FR 43207, Oct. 26, 1988; 54 FR 24343, June 7, 1989; 55 FR 42197, Oct. 18, 1990]

307.7101 Background. 307.7102 Accountability and responsibility. 307.7103 Purpose. 307.7104 Contracting activity actions.

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

SOURCE: 49 FR 13969, Apr. 9, 1984, unless otherwise noted.

306.502 Duties and responsibilities.

(b) The competition advocates listed in 306.501 shall assist the Department's competition advocate, when requested, by providing data and reports to aid in the accomplishment of the duties required of the Department's competition advocate as stated in FAR 6.502(a).

Subpart 307.1-Acquisition Plans

[50 FR 23127, May 31, 1985, as amended at 50 FR 38004, Sept. 19, 1985]



307.104 General procedures.

(a) The acquisition planning document is an administrative tool designed to enable the contracting officer and project officer to plan effectively for the accomplishment of an acquisition during a specified time frame. The acquisition planning document serves as an outline of the method by which the contracting officer expects to accomplish the acquisition task.

(c) If the plan proposes using other than full and open competition, the plan shall also be coordinated with the Chief of the contracting office, acting for the competition advocate.

Subpart 307.1-Acquisition Plans

Sec. 307.104 General procedures. 307.104–1 Requirement for acquisition plan

ning. 307.104–2 Responsibilities for acquisition

planning. 307.104–3 Preparation of acquisition plan. 307.105 Contents of written acquisition

plans. 307.105–1 Format and content.

[49 FR 13969, Apr. 9, 1984, as amended at 50 FR 23129, May 31, 1985; 50 FR 38004, Sept. 19, 1985; 51 FR 44293, Dec. 9, 1986]


307.104–1 Requirement for acquisition

planning. (a) The acquisition planning document is required for all new negotiated acquisitions which are expected to exceed $100,000, except the following:

(1) Acquisition of architect-engineer services;

(2) Acquisitions of utility services where the services are available from only one source; and

(3) Acquisitions made from through other Government agencies.

(b) An acquisition planning document is also required for all two-step sealed bid acquisitions expected to exceed $100,000.

(c) The principal official responsible for acquisition shall prescribe acquisition planning procedures for:

(1) Negotiated acquisitions which are not expected to exceed $100,000;

(2) Two-step sealed bid acquisitions which are not expected to exceed $100,000; and

(3) All other sealed bid acquisitions regardless of dollar amount.

(d) An acquisition planning document is not required for a contract modification which either exercises an option or adds funds to an incrementally funded contract, provided there is an approved acquisition planning document in accordance with 307.105 and there is no significant deviation from that plan.

be responsible for these acquisitions to compare current staff capabilities with anticipated requirements to achieve an even distribution of fiscal year workload consistent with program needs. These discussions should result in understandings on:

(1) The details of the acquisition plan;

(2) Schedule for the completion of the acquisition plan;

(3) Preliminary discussions on the work statement/specifications and appropriate evaluation criteria; and

(4) Preliminary discussions on the content and timing of the request for contract (RFC).

(c) Planning by contracting activities. Contracting activities are required to coordinate with program and staff offices to ensure:

(1) Timely and comprehensive planning for acquisitions;

(2) Timely initiation of requests for contracts; and

(3) Instruction of program and staff offices in proper acquisition practices and methods.

[49 FR 13969, Apr. 9, 1984, as amended at 50 FR 23126, May 31, 1985; 50 FR 38004, Sept. 19, 1985]

307.104-3 Preparation of acquisition

plan. (a) The acquisition planning document serves as an advance agreement between program and contracting personnel by outlining the methods of how and when the acquisition is to be accomplished. It serves to resolve problems early in the acquisition cycle thereby precluding delays in contract placement. It is developed prior to the preparation and submission of the formal request for contract to the contracting activity. (For detailed information concerning the request for contract, see Subpart 315.70.)

(b) The acquisition planning document shall be prepared jointly by the project officer and the contract negotiator or in accordance with procedures prescribed by the principal official responsible for acquisition.

307.104–2 Responsibilities for acquisi

tion planning. (a) Planning by program and staff activities. Whenever execution of a program or project requires the acquisition of property or services by contract, the program or project plan shall delineate all elements to be acquired by contract. The program or project plans must include a plan and timeframe for completion action.

(b) Planning for acquisition actions. Action should commence as early as possible to effect an orderly and balanced acquisition workload throughout a fiscal year. Project officers who expect to initiate acquisitions are required to discuss their requirements with the contracting officials who will

307.105 Contents of written acquisi

tion plans.

307.105-1 Format and content.

The Department does not prescribe a standard format for the acquisition planning document, but recommends the use of a format similar to what is


provided in this section. The subject Describe criteria for evaluation of perareas

addressed in paragraphs (a) formance of each phase before proceedthrough (e) must be included in every ing to the next. (See 307.105–3(c)(3) for a acquisition planning document. An discussion on phasing.) OPDIV, agency, or regional office con- (8) Government furnished material/fatracting activity may prescribe cilities. Indicate material and facilities standard format for the acquisition that will be furnished to the contractor planning document and may include and any associated problems which additional subject areas that are perti- may be encountered. Discuss possible nent to that activity's needs.

inequities which may arise in furnish(a) Identification information. The con- ing the materials or facilities. Discuss tracting activity shall prescribe the in- screening efforts for availability formation necessary for readily identi- through GSA excess property schedfying a planned acquisition. The infor- ules. mation may include items such as ac- (9) Discussion of project risk. Provide a quisition planning document number, discussion of major areas of project request for contract number, public risk including technical, cost, and law, program or project officer, etc.

schedule risk. Describe what efforts are (b) Programmatic considerations. (1) planned to reduce risk. If an acquisiDescription of the project/supplies/serv- tion, which is planned to be awarded ices. Include a brief description of the using other than full and open competiproposed project/supplies/services. Dis- tion represents a significant portion of cuss all anticipated future require- a proposed contractor's business, disments related to the acquisition. Dis- cuss the impact on technical capabilcuss any past, present or future inter- ity, realism of schedule, changes in related projects.

contractor workload and related cost (2) Project funding. Include the sum- impact. mary of funds expected to be obligated (10) Reporting delivery requirements. for the entire project by fiscal years Describe the basis for establishing the and phases. Include expenditures for delivery/reporting requirements and inprevious years. Discuss the probability clude the anticipated deliverables and of obtaining future years funding and/ time(s) for delivery. or what specific managerial action can (11) Replication, dissemination, or use be taken to insure future funding (if of the results. Discuss anticipated repapplicable).

lication, dissemination, or use of the (3) Background and acquisition history. results. Describe user audience and Provide a brief factual summary of the their expected use. Include a descriptechnical and contractual history of tion of the delivery system. the supplies/services being acquired.

(12) Data, data rights, patents, copy(4) Related projects, efforts undertaken rights. Discuss data to be developed. to avoid duplication of effort. Discuss ef- Specify data to be delivered and data forts made to determine if existing

to remain in the contractor's possesprojects, supplies or materials will sat- sion. Discuss how the data is to be isfy the requirement. Include any re- used, maintained, disclosed and dislated in-house efforts, searches, and posed of by the contractor. Discuss clearinghouse reviews made to avoid data subject to the Privacy Act or Conduplication of effort.

fidentiality of Information clause. Dis(5) Need for project/supplies/services. cuss data to be delivered with limited Discuss rationale for deciding on the rights, data where title would not vest need for the project/supplies/services. in the Government, and anticipated

(6) Special program clearances or ap- copyrights or patents. Discuss whether provals. Review 307.105–2 to determine or not the data will permit any followwhich special program clearances or on acquisitions to be competitive. approvals are required. Specify clear- (13) Post-award administration and ances or approvals applicable to this monitoring. Detail milestones that reacquisition.

quire periodic evaluation of the con(7) Phasing. Briefly describe discrete tractor's progress. Discuss any formal tasks or stages of accomplishment management systems to be used to which could be susceptible to phasing. monitor the contractor. Discuss plans

tional items may be added as appropriate.


Actions and Date

Advance or sources sought synopsis released
Advance or sources sought synopsis closed
Synopsis evaluation received
Request for contract received
Special program approvals received
Synopsis publicizing proposed acquisition re-

Request for proposal released
Preproposal conference conducted
Proposals received
Technical evaluation received
Cost advisory or audit report received
Equal opportunity clearance obtained
Prenegotiation conference conducted
Negotiation completed
Contract document prepared
Contract approval completed
Contract released

for post-award conference and site visits. Delineate the timing of the periodic status reports.

(14) Technical evaluation plans. Discuss the plans for technical evaluation of the proposal. Discuss whether nonFederal technical evaluators will review the proposals. Discuss potential conflict of interest situations.

(c) Acquisition approach. (1) Proposed sources. Include sources or categories of sources (if apparent). Address the pertinent areas stated in FAR 7.105(b)(2).

(2) Contract type. Provide the rationale for recommendation of contract type.

(3) Socioeconomic programs. Discuss preliminary liaison with the Small and Disadvantaged Business Utilization Specialist for review to determine requirements susceptible for the various socioeconomic acquisition programs; i.e., small business, disadvantaged business, or labor surplus area setasides.

(4) Other considerations, as applicable. Discuss special contract clauses and proposed HHSAR deviations, if required. Discuss circumstances such as the effect of a protest on a previous acquisition to this acquisition, special public law or regulatory requirements which place restrictions on this acquisition, and use of a special type of synopsis. Address planned preproposal conference, preaward survey and preaward site visits.

(d) Planning for the acquisition cycle. (1) Scheduling considerations. The project officer and the contract negotiator shall establish realistic planned dates which meet the program needs for award to assure timely delivery or completion of the project. The following factors should be considered in planning realistic dates:

(i) Individual project officer and contract negotiator workloads;

(ii) Planned, extended absences from the office; and (iii) Schedules

in consonance with established office goals for overall orderly and balanced workloads.

(2) Acquisition planning schedule. The following acquisition planning schedule should be included in all plans to the extent the items are significant or appropriate to the acquisition. Addi

(e) Approvals. All acquisition planning documents shall be signed by the project officer and the contract negotiator. Acquisition planning documents for acquisitions estimated to be between $100,000 and $1,000,000 shall be approved by the contracting officer. Acquisition planning documents for acquisitions estimated to be in excess of $1 million shall be approved by the principal official responsible for acquisition or his/her designee. The designated official shall be in a position no lower than the level above the contracting officer. One copy of all acquisition planning documents shall be filed with the principal official responsible for acquisition or the designated official for planning purposes. The original acquisition planning document shall be retained in the contract file.

[49 FR 13969, Apr. 9, 1984, as amended at 50 FR 23129, May 31, 1985; 50 FR 38004, Sept. 19, 1985]


307.105–2 Special program clearances

or approvals. The following special program clearances or approvals should be reviewed for applicability to each planned acquisition. The ones which are applicable should be addressed in the acquisition planning document and immediate programmatic action should be initiated to obtain the necessary clearances or approvals.

(a) Clearances or approvals required to be completed and submitted with the request for contract (RFC). (1) Automatic data processing. All proposed acquisitions of automatic data processing hardware, software packages, and services, as well as telecommunications equipment, which exceed the dollar thresholds stated in Chapter 410 of the HHS Information Resources Management (IRM) Manual, must be reviewed and approved by the Office of Information Resources Management (OIRM), OASMB-OS. (See HHS Information Resources Management (IRM) Manual, Chapter 410; Title 41 CFR Chapter 201; and Subpart 339.70.)

(2) ADP systems security. All ADP systems regardless of dollar amount are required to have a Certification of ADP Systems Security Adequacy signed by the ADP system manager and the cognizant ADP systems security officer. (See HHS IRM Manual, Part 6ADP Systems Security; OMB Circular No. A-71, Transmittal Memorandum No. 1; and Subpart 339.70.)

(3) Advisory and assistance services. OPDIV and STAFFDIV heads and regional directors are responsible for review and approval of all proposed advisory and assistance services contracts and purchase orders. (See General Administration Manual Chapter 8–15.)

(4) Evaluation contracts. The Assistant Secretary for Planning and Evaluation (ASPE) must approve all evaluation projects for proposed solicitations, except those which have been included in research, demonstration, or evaluation plans previously approved by the ASPE.

(5) Commercial activities. (OMB Circular No. A-76) A request for contract (RFC) must contain a statement as to whether the proposed solicitation is or is not to be used as part of an OMB Circular No. A-76 cost comparison. (See General Administrative Manual (GAM) Chapter 18–10; FAR Subpart 7.3, Subpart 307.3; OMB Circular No. A-76.)

(6) Paid advertising. Paid advertisements, notices or contract proposals to be published in newspapers and periodicals may be authorized by the contracting officer. (See FAR Subpart 5.5, Subpart 305.5; Title 7, Chapter 5-25.2, and the General Accounting Office Pol

icy and Procedures Manual for Guidance of Federal Agencies.)

(7) Printing. The acquisition of printing by contract is prohibited unless it is authorized by the Joint Committee on Printing of the U.S. Congress. Procedures to be followed are contained in the “Government Printing and Binding Regulations" and the HHS Printing Management Manual and FAR Subpart 8.8.

(8) Fraud, abuse and waste. All proposed acquisitions that concern the subjects of fraud, abuse and waste must be reviewed and approved by the Inspector General or Deputy Inspector General, and written approval from either must be included in the request for contract.

(9) Paperwork Reduction Act. Under the Paperwork Reduction Act of 1980 (Pub. L. 96–511), a Federal agency shall not collect information or sponsor the collection of information from ten or more persons (other than Federal employees acting within the scope of their employment) unless, in advance, the agency has submitted Standard Form 83, Request for OMB Review, to the Director of the Office of Management and Budget, and the Director has approved the proposed collection of information. Procedures for the approval may be obtained by contacting the OPDIV reports clearance officer. (See Title 5 CFR Part 1320 and General Administration Manual Chapter 10–20.)

(10) Contracts with federal employees. Contracts between the Government and Government employees or between the Government and organizations which are substantially owned or controlled by Government employees may not knowingly be entered into, except for the most compelling reasons (see FAR Subpart 3.6). Authority to enter into a contract with a Government employee or an organization substantially owned or controlled by a Government employee must be approved prior to award of the contract by either the Assistant Secretary for Management and Budget, the head of the OPDIV, or the regional director, or their designees. (See 45 CFR Part 73 and HHS Standards of Conduct.)

(11) Publications. All projects which will result in contracts and which include publications require review and

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