Act to supply livestock products, the statement to be such that the maker will be subject to prosecution if the statement is false.

§ 1-4.602 Definition of livestock products. "Livestock products" means any article of food, or any article intended for or capable of being used as food, for either humans or animals, which is derived or prepared, in whole or in part, from slaughtered cattle, calves, horses, mules, sheep, swine, or goats. Livestock products do not include (a) supplies, the animal product portion of which is less than 5 percent by weight of the net unit weight, and (b) poultry.

(a) Proposed suppliers of livestock products shall be informed of the requirements of the Humane Slaughter Act and shall be required to furnish a statement of eligibility in accordance with this § 1-4.604.

(b) Except as provided in (c) and (d) of this § 1-4.604, the Statement of Eligibility (Humane Slaughter Act) set forth in § 1-4.605 shall be included in all invitations for bids, requests for proposals, and other contractual documents for livestock products, and shall be required to be duly signed by the supplier (contractor).

(c) Where small purchases are involved (see Subpart 1-3.6), it will be sufficient if, as a part of the purchase documentation, the supplier (contractor) furnishes, over his signature, only paragraph (a) of said Statement of Eligibility (Humane Slaughter Act).

(d) When frequent purchases are made from the same supplier (contractor) or the contracting officer deems it otherwise appropriate, the Statement of Eligibility (Humane Slaughter Act) may be obtained from the supplier (contractor) at reasonable intervals, but not less often than annually. When such Statement has been obtained, the clause set forth in § 1-4.606 may be inserted, in lieu of said State

ment of Eligibility (Humane Slaughter Act), in all contracts or purchase orders issued to the supplier.

§ 1-4.605 Statement of eligibility clause.

The following statement of eligibility clause shall be used in accordance with § 1-4.604:

STATEMENT OF ELIGIBILITY (HUMANE
SLAUGHTER ACT)

(a) The supplier (contractor) agrees that livestock products sold to the Government, except products produced or processed from livestock slaughtered outside the United States, its possessions, and Puerto Rico, conform to the requirements of the Humane Slaughter Act of 1958 (7 U.S.C. 1901-1906).

(b) "Livestock products” means any article of food, or any article intended for or capable of being used as food, for either humans or animals, which is derived or prepared, in whole or in part, from slaughtered livestock, namely, cattle, calves, horses, mules, sheep, swine, or goats. Livestock products do not include (1) supplies, the animal product portion of which is less than 5 percent by weight of the net unit weight, and (2) poultry.

(c) A slaughterer or processor shall be deemed to be affiliated with another slaughterer or processor if it controls, or is controlled by, or is under common control with, such other slaughterer or processor.

(d) Livestock products which conform to the requirements of the Humane Slaughter Act of 1958 are products which have been produced and processed either:

(1) By those slaughterers and processors which, in all of their plants and in all of the plants of slaughterers and processors with which they are affiliated, slaughter, and handle in connection with slaughter, livestock only by methods designated as humane by the Secretary of Agriculture; or

(2) From livestock slaughtered in accordance with the ritual requirements of the Jewish faith or any other religious faith that prescribes a method of slaughter whereby the animal suffers loss of consciousness by anemia of the brain caused by the simultaneous and instantaneous severance of the carotid arteries with a sharp instrument, which ritual requirements have been designated as humane methods of slaughter by the subject Act.

(e) This statement is made with full knowledge that it will be relied upon by the Government in entering into contracts with the supplier (contractor) and in payment of claims thereunder.

WARNING

Making any false statement herein or submission of any false claim hereunder will

§ 1-4.606 Humane method of livestock slaughter clause.

The following clause shall be used in accordance with § 1-4.604(d):

HUMANE METHOD OF LIVESTOCK SLAUGHTER

(a) The supplier (contractor) agrees that livestock products sold to the Government, except products produced or processed from livestock slaughtered outside the United States, its possessions, and Puerto Rico, conform to the requirements of the Humane Slaughter Act of 1958 (7 U.S.C. 1901-1906).

(b) The supplier (contractor) shall have furnished the Government a Statement of Eligibility (Humane Slaughter Act) before award of this contract or issuance of this purchase order, and such Statement is hereby incorporated by reference.

§ 1-4.607 Reporting violations.

Reports of possible violation of a statement of eligibility given in accordance with § 1-4.604 shall be made to the Department of Justice by each agency in accordance with agency procedures.

have originated or developed outside the Government can be made available to Government agencies for use in the accomplishment of their missions. It is offered in the hope that the Government will enter into a contract with the offeror for (a) research on or development of the methods, approaches, or ideas it contains, or (b) the conduct of the activity or services or the delivery of the items it proposes. It should not be merely an advance proposal for a specific agency requirement which would normally be procured by competitive methods. An unsolicited proposal should be prepared independent of Government supervision. It often represents a substantial investment of time and effort by the offeror. It should present the proposed work in sufficient detail to allow a determination that Government support could be worthwhile and that the proposed work could enhance, benefit, and/or provide valuable input to an agency's research and development mission or to some other area of agency responsibility.

§ 1-4.902 Policy.

It is the policy of the Government to foster and encourage the submission of unsolicited proposals.

§ 1-4.903 Agency program direction and operation.

Each agency shall adopt and publish policies and procedures which will encourage the submission of unsolicited proposals relating to the agency's mission. Such policies and procedures shall be consistent with the requirements of this Subpart 1-4.9. They shall be developed with an objective to eliminate restraints which discourage the generation and acceptance of innovative ideas through unsolicited proposals.

§ 1-4.904 Definitions.

As used in this Subpart 1-4.9, the following terms have the meanings stated:

(a) "Unsolicited proposal" means a written offer to perform a proposed task or effort, initiated and submitted to the Government by a prospective contractor (offeror) without a solicitation by the Government, with the ob

jective of obtaining a contract. Advertising material, commercial product offerings, contributions, or technical correspondence as defined in paragraphs (b) through (e) of this § 1-4.904 which are submitted to an agency shall not be considered to constitute unsolicited proposals within the intent of this Subpart 1-4.9.

(b) "Advertising material" means material designed to acquaint the Government with a prospective contractor's present off-the-shelf products or potential capabilities, or designed to determine the Government's interest in buying such products.

(c) "Commercial product offerings" means offers of standard commercial products usually sold in substantial quantities to the general public and which the vendor wishes to see introduced in the Government's supply system as an alternate or replacement for an existing supply item.

(d) "Contributions" means concepts, suggestions, or merely ideas presented to the Government for its use, with no indication on the part of the offeror that he will devote any further effort in relation to such concepts, suggestions, or ideas on behalf of the Government.

(e) "Technical correspondence" includes written inquiries regarding

Government interest in research areas, pre-proposal explorations, technical inquiries, and research descriptions.

§ 1-4.905 Advance guidance.

Organizations or individuals who are interested in submitting an unsolicited proposal should be encouraged, before expending extensive effort in preparing a detailed unsolicited proposal or submitting any proprietary information to the Government, to make preliminary inquiries as to the general need for the type of effort contemplated.

(a) Prior contact with agency technical personnel is permissible and should be encouraged with the limited objectives of conveying to the prospective offeror an understanding of the agency mission and needs relative to the type of effort contemplated.

(b) Agencies shall make free written information available to potential of

ferors regarding policies and procedures for unsolicited proposals. As a minimum, the following information shall be made available to potential offerors.

(1) Definition of an unsolicited proposal, consistent with that set forth in § 1-4.904.

(2) Characteristics of a suitable proposal acceptable for formal evaluation. Also see §§ 1-4.906 and 1-4.910.

(3) Requirements concerning (i) responsible prospective contractors (see Subpart 1-1.12), (ii) organizational conflicts of interest, and (iii) where applicable, cost sharing.

(4) Role of technical correspondence prior to proposal preparation.

(5) Agency points of contact for information regarding advertising, contributions, bidders mailing lists, and other types of transactions frequently misconstrued as unsolicited proposals.

(6) Information regarding unsolicited proposal submission procedures. (7) Information regarding evaluation procedures of the agency.

(8) Sources of information on agency objectives and areas of potential interest suitable for unsolicited proposal submissions.

(9) Instructions to the offeror that he identify proprietary information contained in his proposal and that any restrictive legend appearing in his proposal shall conform to the legend set for in § 1-4.913(a).

(10) Advice to the prospective offeror that an unsolicited proposal shall conform to the procedural and submission guidelines of the agency to which it is submitted.

(c) Personal contacts shall be conducted in a manner that will preclude agency commitments regarding acceptance of unsolicited proposals.

§ 1-4.906 Content of unsolicited proposals. Unsolicited proposals should contain the following information in order to permit consideration in an objective and timely manner.

(a) Basic information. This includes the name and address of the offeror; if an organization, indicate type; e.g., profit, nonprofit, educational, small business; names and telephone numbers of the offeror's technical and business personnel whom the agency

may contact for evaluation or negotiation purposes; identification of any proprietary data which the offeror intends to be used by the agency only for evaluation purposes (see § 1-4.913); names of any other Federal, States, local agencies or other parties receiving the proposal and/or funding the proposed effort or activity; date of submission; and signature of a responsible official or authority representative of the organization or a person authorized to contractually obligate the organization.

(b) Technical information. This includes a concise title and an abstract (approximately 200 words) or the proposed effort; a reasonably complete discussion stating the objectives of the effort or activity, the method of approach and extent of effort to be employed, the nature and extent of the anticipated results, and the manner in which the work will help to support accomplishment of the agency's mission; the names and brief biographical information of the offeror's key personnel (including alternates, if desired) who would be involved, and the type of support, if any, the offeror requests of the agency' e.g., facilities, equipment, materials, or personnel re

sources.

(c) Supporting information. This includes a proposed price or total estimated cost; a cost estimate for the proposed effort sufficiently detailed by element of cost for meaningful evaluation; the type of contract preferred; period of time for which the proposal is valid (a minimum of 6 months is suggested); proposed duration of effort; statements, if applicable, regarding cost sharing, organizational conflicts of interest, security clearance status, and environmental impacts; and brief descriptions of the organization, previous work or experience in the field of the proposal, and facilities to be utilized for the work, where appropriate or understanding the proposal.

[42 FR 39215, Aug. 3, 1977; 42 FR 41635, Aug. 18, 1977]

§ 1-4.907 Time of submission.

Unsolicited proposals should be submitted well in advance of the offeror's desired beginning of the proposed

effort or activity in order to allow the agency sufficient time to evaluate the proposal and negotiate any resultant contract. Agencies may establish procedures governing the time for submission and number of copies of proposals for the purpose of maintaining orderly and efficient evaluation procedures.

§ 1-4.908 Agency point of contact.

Each agency shall establish procedures within the agency to coordinate the receipt and handling of unsolicited proposals. Since the early involvement of procurement personnel is essential to the proper processing, evaluation, and possible contract award, agencies should consider designating their procurement activities for this purpose.

[42 FR 39215, Aug. 3, 1977; 42 FR 41635, Aug. 18, 1977]

§ 1-4.909 Receipt, review, and evaluation.

Each agency shall establish uniform procedures that provide for the coordinated control of the receipt, evaluation, and disposition of proposals. Because of the sensitivity of the evaluation process, particular attention should be devoted to the conduct of evaluations. The procedures shall be consistent with the provisions of §§ 14.909 through 1-4.913. Agency procedures shall also address reproduction (duplicating) and disposition of proposal material, particularly data which the offeror has identified as subject to duplication, use, and disclosure restrictions (see § 1-4.913(a)).

(a) Unsolicited proposals shall be acknowledged as soon as possible by the office which has been assigned the coordination responsibility (see § 14.908), and processed in an expeditious

manner.

(b) Prior to making a comprehensive evaluation of an unsolicited proposal, the coordinating office (see § 1-4.908) shall determine that the document:

(1) Contains sufficient technical and cost information to permit a meaningful evaluation; and

(2) Has been approved by a responsible official or authorized representative of the organization submitting the proposal or a person authorized to contractually obligate the organiza

tion.

(c) If the document does not meet the requirements in paragraph (b) of this § 1-4.909, the offeror shall be given the opportunity to provide the required data. A comprehensive evaluation of an unsolicited proposal need not be made if the proposal is not within the purview of the mission of the agency (also see § 1-4.912(a)). In such cases, the submitter shall be furnished a prompt reply, stating how the document is being interpreted by the agency, the reason(s) for not evaluating it, and the disposition or intended disposition of the material submitted. The agency shall not deny reconsideration of a timely and appropriately revised or supplemented proposal which is responsive to such an initial agency determination.

(d) Comprehensive evaluations shall be coordinated by the organizational entity designated in accordance with § 1-4.908. Each unsolicited proposal that is circulated for a comprehensive evaluation within the agency shall have attached or imprinted a legend identifying it as an unsolicited proposal, and stating that it shall be used only for purposes of evaluation (see § 1-4.913 (c)). In evaluating an unsolicited proposal, agency personnel shall consider, in addition to any other criteria, the following:

(1) Unique, innovative, or meritorious methods, approaches, or ideas which have originated with or are assembled together by the offeror that are contained in the proposed effort or activity.

(2) Overall scientific, technical, or socioeconomic merits of the proposed effort or activity.

(3) Potential contribution which the proposed effort is expected to make to the agency's specific mission, if pursued at this time.

(4) Capabilities, related experience, facilities, or techniques, or unique combinations thereof which the offeror possessions and offers and which are considered to be integral factors for achieving the scientific, technical, or socioeconomic objective(s) of the proposal.

(5) Qualifications, capabilities, and experience of the proposed principal investigator, team leader, or key personnel who are considered to be criti

cal in achieving the objectives of the proposal.

(e) Upon completion of the comprehensive evaluation of an unsolicited proposal, agency evaluation personnel shall, in accordance with agency procedures, notify the coordinating office (see § 1-4.908) of their conclusions together with recommendations for further action.

[42 FR 39215, Aug. 3, 1977; 42 FR 41635, Aug. 18, 1977]

§ 1-4.910 Method of procurement.

(a) A favorable comprehensive evaluation of an unsolicited proposal is not, in itself, sufficient justification for negotiating on a noncompetitive basis with the offeror. When a document qualifies as an unsolicited proposal (see §§ 1-4.904(a) and 1-4.909(b)) but the substance (1) is available to the Government without restriction from another source, or (2) closely resembles that of a pending competitive solicitation, or (3) is otherwise not sufficiently unqiue to justify acceptance (see § 1-4.909(b)), the unsolicited proposal shall not be acceptable. When procurement is intended and competition is feasible, the proposal shall be returned to the offeror together with the reasons for the return (see § 14.909(e)).

(b) A negotiated, noncompetitive procurement is permissible when an unsolicited proposal has received a favorable technical evaluation, unless it is determine that the substance thereof is available to the Government without restriction from another source, or a competitive procurement is otherwise appropriate. The agency technical office sponsoring the procurement shall support its recommendation with a justification for noncompetitive procurement. The justification shall be based on a comprehensive evaluation of the proposal. The justification shall include the facts and circumstances that operate to preclude competition and that support the recommended noncompetitive action. Consideration shall include the evaluation factors listed in § 1-4.909(d).

(c) When it is determined that the subject matter of an unsolicited proposal is acceptable for award on a noncompetitive basis, the unsolicited pro