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Act to supply livestock products, the ment of Eligibility (Humane Slaughter statement to be such that the maker Act), in all contracts or purchase will be subject to prosecution if the orders issued to the supplier. statement is false.

§ 1-4.605 Statement of eligibility clause. § 1-4.602 Definition of livestock products.

The following statement of eligibil"Livestock products" means any arti. ity clause shall be used in accordance cle of food, or any article intended for with § 1-4.604: or capable of being used as food, for either humans or animals, which is de

STATEMENT OF ELIGIBILITY (HUMANE rived or prepared, in whole or in part,

SLAUGHTER ACT) from slaughtered cattle, calves, horses,

(a) The supplier (contractor) agrees that mules, sheep, swine, or goats. Live

livestock products sold to the Government, stock products do not include (a) sup

except products produced or processed from

livestock slaughtered outside the United plies, the animal product portion of

States, its possessions, and Puerto Rico, conwhich is less than 5 percent by weight

form to the requirements of the Humane of the net unit weight, and (b) poultry.

Slaughter Act of 1958 (7 U.S.C. 1901-1906).

(b) "Livestock products" means any article § 1-4.603 Exception.

of food, or any article intended for or capaThe requirements of this Subpart 1 ble of being used as food, for either humans 4.6 do not supply to contracts for live or animals, which is derived or prepared, in stock products, executed and to be

whole or in part, from slaughtered livestock,

namely, cattle, calves, horses, mules, sheep, performed outside the United States,

es, swine, or goats. Livestock products do not its possessions, and Puerto Rico.

include (1) supplies, the animal product por

tion of which is less than 5 percent by § 1-4.604 Procedures.

weight of the net unit weight, and (2) poul(a) Proposed suppliers of livestock try. products shall be informed of the re

(c) A slaughterer or processor shall be

deemed to be affiliated with another slaughquirements of the Humane Slaughter

terer or processor if it controls, or is conAct and shall be required to furnish a

trolled by, or is under common control with, statement of eligibility in accordance

such other slaughterer or processor. with this § 1-4.604.

(d) Livestock products which conform to (b) Except as provided in (c) and (d) the requirements of the Humane Slaughter of this § 1-4.604, the Statement of Eli Act of 1958 are products which have been lity (Humane Slaughter Act) set produced and processed either

(1) By those slaughterers and processors forth in § 1-4.605 shall be included in all invitations for bids, requests for

which, in all of their plants and in all of the

plants of slaughterers and processors with proposals, and other contractual docu

which they are affiliated, slaughter, and ments for livestock products, and shall

handle in connection with slaughter, livebe required to be duly signed by the stock only by methods designated as supplier (contractor).

humane by the Secretary of Agriculture; or (c) Where small purchases are in (2) From livestock slaughtered in accordvolved (see Subpart 1-3.6), it will be ance with the ritual requirements of the sufficient if, as a part of the purchase

Jewish faith or any other religious faith

that prescribes a method of slaughter documentation, the supplier (contrac

whereby the animal suffers loss of contor) furnishes, over his signature, only

sciousness by anemia of the brain caused by paragraph (a) of said Statement of Eli

the simultaneous and instantaneous severgibility (Humane Slaughter Act).

ance of the carotid arteries with a sharp in(d) When frequent purchases are strument, which ritual requirements have made from the same supplier (contrac been designated as humane methods of tor) or the contracting officer deems it slaughter by the subject Act. otherwise appropriate, the Statement

(e) This statement is made with full

knowledge that it will be relied upon by the of Eligibility (Humane Slaughter Act)

Government in entering into contracts with may be obtained from the supplier

the supplier (contractor) and in payment of (contractor) at reasonable intervals,

claims thereunder. but not less often than annually. When such Statement has been ob

WARNING tained, the clause set forth in § 1-4.606

Making any false statement herein or sub

Making any false statem may be inserted, in lieu of said State- mission of any false claim hereunder will

subject supplier (contractor) to punishment as provided in Title 18, United States Code, Crimes and Criminal Procedure.

Date --

(Name of Supplier.

Contractor) By --



§ 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.

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§ 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. Adver- ferors regarding policies and procetising material, commercial product of. dures for unsolicited proposals. As a ferings, contributions, or technical cor- minimum, the following information respondence as defined in paragraphs shall be made available to potential of(b) through (e) of this § 1-4.904 which ferors. are submitted to an agency shall not (1) Definition of an unsolicited probe considered to constitute unsolicited posal, consistent with that set forth in proposals within the intent of this $ 1-4.904. Subpart 1-4.9.

(2) Characteristics of a suitable pro(b) “Advertising material" means posal acceptable for formal evaluation. material designed to acquaint the Gov. Also see $$ 1-4.906 and 1-4.910. ernment with a prospective contrac- (3) Requirements concerning (i) retor's present off-the-shelf products or sponsible prospective contractors (see potential capabilities, or designed to Subpart 1-1.12), (ii) organizational determine the Government's interest conflicts of interest, and (iii) where apin buying such products.

plicable, cost sharing. (c) “Commercial product offerings" (4) Role of technical correspondence means offers of standard commercial prior to proposal preparation. products usually sold in substantial (5) Agency points of contact for inquantities to the general public and formation regarding advertising, conwhich the vendor wishes to see intro- tributions, bidders mailing lists, and duced in the Government's supply other types of transactions frequently system as an alternate or replacement misconstrued as unsolicited proposals. for an existing supply item.

(6) Information regarding unsolicit(d) “Contributions" means concepts, ed proposal submission procedures. suggestions, or merely ideas presented (7) Information regarding evaluation to the Government for its use, with no procedures of the agency. indication on the part of the offeror (8) Sources of information on agency that he will devote any further effort objectives and areas of potential interin relation to such concepts, sugges- est suitable for unsolicited proposal tions, or ideas on behalf of the Gov- submissions. ernment.

(9) Instructions to the offeror that (e) “Technical correspondence" in- he identify proprietary information cludes written inquiries regarding contained in his proposal and that any Government interest in research restrictive legend appearing in his proareas, pre-proposal explorations, tech- posal shall conform to the legend set nical inquiries, and research descrip- for in § 1-4.913(a). tions.

(10) Advice to the prospective of.

feror that an unsolicited proposal § 1-4.905 Advance guidance.

shall conform to the procedural and Organizations or individuals who are submission guidelines of the agency to interested in submitting an unsolicited which it is submitted. proposal should be encouraged, before (c) Personal contacts shall be conexpending extensive effort in prepar ducted in a manner that will preclude ing a detailed unsolicited proposal or agency commitments regarding acceptsubmitting any proprietary informa- ance of unsolicited proposals. tion to the Government, to make preliminary inquiries as to the general § 1-4.906 Content of unsolicited proposals. need for the type of effort contemplat- Unsolicited proposals should contain ed.

the following information in order to (a) Prior contact with agency techni. permit consideration in an objective cal personnel is permissible and should and timely manner. be encouraged with the limited objec- (a) Basic information. This includes tives of conveying to the prospective the name and address of the offeror; if offeror an understanding of the an organization, indicate type; e.g., agency mission and needs relative to profit, nonprofit, educational, small the type of effort contemplated.

business; names and telephone num(b) Agencies shall make free written bers of the offeror's technical and information available to potential of business personnel whom the agency

may contact for evaluation or negotia- effort or activity in order to allow the tion purposes; identification of any agency sufficient time to evaluate the proprietary data which the offeror in proposal and negotiate any resultant tends to be used by the agency only contract. Agencies may establish profor evaluation purposes (see § 1-4.913); cedures governing the time for submisnames of any other Federal, States, sion and number of copies of proposals local agencies or other parties receiv for the purpose of maintaining orderly ing the proposal and/or funding the and efficient evaluation procedures. proposed effort or activity; date of submission; and signature of a respon- § 1-4.908 Agency point of contact. sible official or authority representa- Each agency shall establish proce. tive of the organization or a person au

dures within the agency to coordinate thorized to contractually obligate the

the receipt and handling of unsolicited organization.

proposals. Since the early involvement (b) Technical information. This in

of procurement personnel is essential cludes a concise title and an abstract

to the proper processing, evaluation, (approximately 200 words) or the pro

and possible contract award, agencies posed effort; a reasonably complete

should consider designating their prodiscussion stating the objectives of the

curement activities for this purpose. effort or activity, the method of approach and extent of effort to be em (42 FR 39215, Aug. 3, 1977; 42 FR 41635, ployed, the nature and extent of the Aug. 18, 1977) anticipated results, and the manner in which the work will help to support

§ 1-4.909 Receipt, review, and evaluation. accomplishment of the agency's mis- Each agency shall establish uniform sion; the names and brief biographical procedures that provide for the coordiinformation of the offeror's key per- nated control of the receipt, evaluasonnel (including alternates, if de tion, and disposition of proposals. Be. sired) who would be involved, and the cause of the sensitivity of the evaluatype of support, if any, the offeror re tion process, particular attention quests of the agency' e.g., facilities, should be devoted to the conduct of equipment, materials, or personnel re evaluations. The procedures shall be sources.

consistent with the provisions of $ $ 1(c) Supporting information. This in 4.909 through 1-4.913. Agency procecludes a proposed price or total esti dures shall also address reproduction mated cost; a cost estimate for the (duplicating) and disposition of proproposed effort sufficiently detailed

posal material, particularly data which by element of cost for meaningful the offeror has identified as subject to evaluation; the type of contract pre- duplication, use, and disclosure restricferred; period of time for which the

tions (see § 1-4.913(a)). proposal is valid (a minimum of 6 (a) Unsolicited proposals shall be acmonths is suggested); proposed dura- knowledged as soon as possible by the tion of effort; statements, if applica office which has been assign

office which has been assigned the coble, regarding cost sharing, organiza

ordination responsibility (see 81tional conflicts of interest, security 4.908), and processed in an expeditious clearance status, and environmental

manner. impacts; and brief descriptions of the

(b) Prior to making a comprehensive organization, previous work or experi

evaluation of an unsolicited proposal, ence in the field of the proposal, and

the coordinating office (see § 1-4.908) facilities to be utilized for the work,

shall determine that the document: where appropriate or understanding (1) Contains sufficient technical and the proposal.

cost information to permit a meaning(42 FR 39215, Aug. 3, 1977; 42 FR 41635, ful evaluation; and Aug. 18, 1977)

(2) Has been approved by a responsi

ble official or authorized representa§ 1-4.907 Time of submission.

tive of the organization submitting the Unsolicited proposals should be sub- proposal or a person authorized to mitted well in advance of the offeror's contractually obligate the organizadesired beginning of the proposed tion.

(c) If the document does not meet cal in achieving the objectives of the the requirements in paragraph (b) of proposal. this $ 1-4.909, the offeror shall be (e) Upon completion of the compregiven the opportunity to provide the hensive evaluation of an unsolicited required data. A comprehensive evalu proposal, agency evaluation personnel ation of an unsolicited proposal need shall, in accordance with agency pronot be made if the proposal is not cedures, notify the coordinating office vithin the purview of the mission of (see § 1-4.908) of their conclusions tothe agency (also see § 1-4.912(a)). In gether with recommendations for fursuch cases, the submitter shall be fur ther action. nished a prompt reply, stating how

[42 FR 39215, Aug. 3, 1977; 42 FR 41635, the document is being interpreted by Aug. 18, 1977) the agency, the reason(s) for not evaluating it, and the disposition or in- § 1-4.910 Method of procurement. tended disposition of the material sub (a) A favorable comprehensive evalumitted. The agency shall not deny re

ation of an unsolicited proposal is not, consideration of a timely and appro

in itself, sufficient justification for nepriately revised or supplemented pro

gotiating on a noncompetitive basis posal which is responsive to such an

with the offeror. When a document initial agency determination.

qualifies as an unsolicited proposal (d) Comprehensive evaluations shall

(see $ $ 1-4.904(a) and 1-4.909(b)) but be coordinated by the organizational the substance (1) is available to the entity designated in accordance with Government without restriction from $1-4.908. Each unsolicited proposal another source, or (2) closely resemthat is circulated for a comprehensive bles that of a pending competitive soevaluation within the agency shall licitation, or (3) is otherwise not suffihave attached or imprinted a legend ciently unqiue to justify acceptance identifying it as an unsolicited propos (see § 1-4.909(b)), the unsolicited proal, and stating that it shall be used posal shall not be acceptable. When only for purposes of evaluation (see procurement is intended and competi§ 1-4.913 (c)). In evaluating an unsoli tion is feasible, the proposal shall be cited proposal, agency personnel shall returned to the offeror together with consider, in addition to any other cri- the reasons for the return (see $ 1teria, the following:

4.909(e)). (1) Unique, innovative, or meritori. (b) A negotiated, noncompetitive ous methods, approaches, or ideas procurement is permissible when an which have originated with or are as unsolicited proposal has received a fasembled together by the offeror that vorable technical evaluation, unless it are contained in the proposed effort or is determine that the substance thereactivity.

of is available to the Government (2) Overall scientific, technical, or without restriction from another socioeconomic merits of the proposed source, or a competitive procurement effort or activity.

is otherwise appropriate. The agency (3) Potential contribution which the technical office sponsoring the proproposed effort is expected to make to curement shall support its recommenthe agency's specific mission, if pur dation with a justification for noncomsued at this time.

petitive procurement. The justifica(4) Capabilities, related experience, tion shall be based on a comprehensive facilities, or techniques, or unique evaluation of the proposal. The justificombinations thereof which the of. cation shall include the facts and cirferor possessions and offers and which cumstances that operate to preclude are considered to be integral factors competition and that support the recfor achieving the scientific, technical, ommended noncompetitive action. or socioeconomic objective(s) of the Consideration shall include the evaluproposal.

ation factors listed in § 1-4.909(d). (5) Qualifications, capabilities, and (c) When it is determined that the experience of the proposed principal subject matter of an unsolicited proinvestigator, team leader, or key per- posal is acceptable for award on a nonsonnel who are considered to be criti- competitive basis, the unsolicited pro

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