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Subpart 12-1.53—Voluntary Refunds Sec. 12-1.5301 General. 12-1.5302 Solicited refunds. 12-1.5303 Disposition of voluntary refunds.

Subpart 12-1.9—Reporting Possible Antitrust

Violations Sec. 12-1.901 General.

Subpart 12-1.11-Qualified Products 12-1.1150 General. 12-1.1151 Justification for inclusion of

qualification requirements. 12-1.1152 Prior determinations. 12-1.1153 Availability of lists. 12-1.1154 Opportunity for qualification. 12-1.1155 Clarification of qualification re

quirements. 12-1.1156 Procurement of qualified prod

ucts. 12-1.1156-1 General. 12-1.1157 Contract provisions. 12-1.1158 Effect of debarment or suspen

sion. 12-1.1159 Waiver of qualification require.

ment. 12-1.1160 Inadequate competition. 12-1.1161 Reporting nonconformance with

specification requirements. 12-1.1162 Misuse of QPL information.

Subpart 12-1.54–Acquisition of Equipment by

Lease, Purchase, or Lease With Option To

Purchase 12-1.5401 General. 12-1.5402 Telewriting equipment and office

copying machines. 12-1.5403 Automatic data processing equip

ment. 12-1.5404 Lease/purchase determinations. 12-1.5405 Selecting the method of acquisi

tion. 12-1.5405-1 Purchase method. 12-1.5405-2 Lease-with-option-to-purchase

method. 12-1.5405-3 Lease method. 12–1.5406 Periodic cost comparisons on

leased equipment.

Subpart 12-1.12—Responsible Prospective


12-1.1204 Determination of responsibility

or nonresponsibility. 12-1.1204-1 Requirement.

Subpart 12-1.16—Report of Identical Bids 12-1.1603 Reporting requirement. 12–1.1603-3 Submission of reports.

Subpart 12–1.52—Value Engineering 12-1.5201 Policy. 12-1.5202 Value engineering incentives. 12-1.5202-1 Description. 12-1.5202-2 Use of value engineering incen.

tive clause. 12-1.5202-3 Value engineering clauses. 12-1.5202-4 Types of savings to be shared

with the contractor. 12-1.5203 Sharing arrangements. 12-1.5203-1 Sharing rates. 12-1.5203-2 Sharing base. 12-1.5203-3 Sharing period. 12-1.5203-4 Methods of sharing for future

acquisitions. 12-1.5204 Submission and processing. 12-1.5205 Future payment funding and

notice for future acquisition contracts. 12-1.5206 Value engineering program re

quirement. 12-1.5207 Contracting officer decision

check list.

Subpart 12-1.55—Multi-year Procurement 12-1.5500 Scope of subpart. 12–1.5501 Description of multi-year proce

dure. 12-1.5502 Policy. 12-1.5502-1 Principal advantages. 12-1.5502-2 Principal objective. 12-1.5502-3 Cost savings factors to consid

er. 12-1.5502-4 Set-asides. 12–1.5502-5 Multi-year subcontracts. 12-1.5503 Application-criteria. 12-1.5504 Method of solicitation. 12-1.5505 Procedures. 12-1.5505-1 Requirements. 12-1.5505-2 Previous competition. 12-1.5505-3 No previous competition. 12-1.5505-4 Pricing-unit price. 12-1.5505-5 Comparison criteria. 12-1.5505-6 Single year and/or multiyear

award. 12-1.5505-7 Cancellation ceiling. 12-1.5505-8 Schedule provision. 12-1.5505-9 Quantity obligation. 12-1.5506 Establishment and revision of

cancellation ceilings. 12-1.5507 Funds obligation-contingent li

abilities. 12-1.5508 Payment for cancellation. 12-1.5509 Schedule provision limiting pay

ment obligation. 12-1.5510 Termination for convenience. 12-1.5511 Limitations. 12-1.5512 Evaluation. 12-1.5513 Award. 12-1.5514 Contract clauses.

Subpart 12-1.56—Preaward Survey Procedures 12-1.5600 Scope of subpart.


§ 12-1.005 Exclusions. 12-1.5601 General.

(a) Certain Department of Transpor12-1.5601-1 Need for survey. 12-1.5601-2 Type of survey.

tation procurement policies and proce12-1.5601-3 Conducting the survey.

dures which come within the scope of 12-1.5601-4 Release of survey information. this Chapter 12 nevertheless may be 12-1.5601-5 Preparation for the survey. excluded when there is appropriate 12-1.5601-6 On-site survey procedures.

justification, such as: 12-1.5602 Survey report.

(1) Subject matter which bears a se12-1.5602-1 Format. 12-1.5602-2 Standards.

curity classification. 12-1.5603 Guide for on-site evaluation of (2) Policies or procedures which are prospective contractor.

expected to be effective for a period of 12-1.5604 Format for on-site survey report. less than six months.

AUTHORITY: Sec. 205(c), 63 Stat. 389; 40 (3) Policies and procedures which U.S.C. 486(c), 10 U.S.C. 2301-2314.

are effective on an experimental basis SOURCE: 42 FR 45178, Sept. 8, 1977, unless for a reasonable period. otherwise noted.

8 12–1.006-1 Code arrangement. Subpart 12-1.0—Regulation System DOTPR which implement, supple

ment or deviate from the FPR (Chap$ 12-1.001 Scope of subpart.

ter 1 of 41 CFR) and have an impact This subpart describes the Depart. upon the public will be published as ment of Transportation Procurement Chapter 12 of 41 CFR. Regulations in terms of establishment, authority, applicability, issuance, ar

§ 12-1.006-2 Publication. rangement, implementation, and sup Chapter 12 of 41 CFR will be pubplementation of the Federal Procure- lished in the FEDERAL REGISTER, in cument Regulations, exclusions, Office mulative form in the Code of Federal of the Federal Procurement Policy

Regulations, and in separate looseleaf Regulations, and deviation procedure. form on blue paper. The looseleaf $ 12-1.002 Purpose.

form is designed to permit interleaf

into the FPR. (a) This subpart establishes Chapter 12, Department of Transportation $ 12–1.006–3 Copies. Procurement Regulations (DOTPR),

Copies of the DOTPR in the FEDERimplementing and supplementing the

AL REGISTER and in the Code of FederFederal Procurement Regulations (FPR), and states its relationship to

al Regulations may be purchased by the FPR.

Federal agencies and the public, at (b) The FPR, as implemented and

nominal cost, from the Superintendsupplemented by Chapter 12

ent of Documents, Government Print(DOTPR), are the authorized regula

ing Office, Washington, D.C. 20402. tions governing the procurement of

Looseleaf copies of Chapter 12 will be supplies and services (including con

distributed to Department of Transstruction and concessions) and the

portation activities as authorized by procurement of real property by lease,

the Director of Installations and Loby the Department of Transportation.

gistics, Office of the Secretary of

Transportation. 8 12-1.003 Authority. The DOTPRs are prescribed pursu

§ 12–1.006—4 Coordination. ant to the authority of section 205(c) In the development of the DOTPR, of the Federal Property and Adminis the views of the Operating Administrative Services Act of 1949.

trations of the Department of Trans

portation will be solicited. Public 8 12-1.004 Applicability.

notice of changes or additions to the These regulations apply to all De DOTPR will be published in the FEDpartment of Transportation procure. ERAL REGISTER before issuance, when ments, unless otherwise specified.


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§ 12-1.007 Arrangement.

Issuing organization

Letter suffix 8 12-1.007-1 General plan.

Federal Aviation 12A (i.e., 12A-1.008(b)).

Administration. The DOTPR employ the same num

Coast Guard ....... bering system and nomenclature used Federal Highway 12C. in the FPR, and conform with FEDERAL Administration.

Federal Railroad

12D. REGISTER standards approved for the

Administration. FPR, except that material published

St. Lawrence Seaway 12E. in looseleaf form which is not pub Development

Corporation. lished in 41 CFR, will be indicated by

Office of the letters "DOT” preceding and fol.

Administrative lowing the material.

Operations, OST.
Urban Mass


Transportation 8 12-1.007-2 Numbering. .

Administration, (a) Where the DOTPR implement a

National Highway

Traffic Safety part, subpart, section, or subsection of

Administration. the FPR, the implementing part, sub

Transportation 12J part, section, or subsection of DOTPR Systems Center will be numbered (and captioned) to correspond to the part, subpart, sec

(c) The Administrations and their tion, or subsection of the FPR.

subordinate organizations shall not (b) Where the DOTPR supplement

issue instructions, including directives, the FPR, the number 50 and up will

regulations, contract forms, contract be assigned to the parts, subparts, or

clauses, policies, or procedures implesections involved.

menting the DOTPR or covering the (c) Where the subject matter con

procurement of supplies or services or tained in a parts, subpart, section, or

the administration of contracts for subsection of FPR requires no imple

such supplies or services, unless permentation, the DOTPR will contain

mitted by one of the following and no corresponding parts, subpart, sec

consistent with paragraph (d) of this tion, or subsection number and the

section: subject matter as published in the

(1) Internal procurement manageFPR governs.

ment instructions such as designations

and delegations of authority, assign§ 12-1.007-3 Citation.

ments of responsibilities, work flow DOTPR will be cited in accordance procedures, and internal reporting rewith FEDERAL REGISTER standards ap quirements; proved for the FPR. For example, this (2) Any special contract clause of a section, when referred to in the

non-repetitive nature designed specifiDOTPR, may be cited as “12-1.007-3”.

cally to accomplish the peculiar reAny section of these regulations may quirements of an individual procurebe informally identified for purposes ment, provided a clause relating to the of brevity, as DOTPR, followed by the subject is not set forth in this regulasection number; i.e., “DOTPR 12

tion; 1.007-3”.

(3) A variation of any contract

clause which is set forth in this regula8 12-1.008 Implementation.

tion but not for use verbatim, provided (a) The DOTPR implement and sup that such variation is not inconsistent plement the FPR. Implementing ma- with the intent, principle and subterial is that which expands upon re stance of the DOTPR clause or related lated FPR material. Supplementing coverage of the subject matter; material is that for which there is no (4) Procurement procedures specificounterpart in the FPR.

cally identified as being essential for (b) The DOTPR may in turn be im- carrying out the peculiar needs of an plemented and supplemented by regu- Administration when authorized by lations issued by the following, using the head of the agency, or his desigthe letter suffix indicated:

nee, and notification is given to OST/


TAD-60 prior to such authorization § 12-1.009 Deviations.
for the purpose of determining wheth-
er such procedures should be included 8 12-1.009-2 Procedure.
in this regulation;

(a) In the interest of establishing (5) Procurement instructions specific and maintaining uniformity to the cally identified as being essential for greatest extent feasible, deviations carrying out the peculiar needs of from the FPR and DOTPR will be auoverseas commands of the Coast thorized only when essential to effect Guard, authorized by the Comman necessary procurement or where spedant of the Coast Guard (or his desig.

cial circumstances make such devinee) and notification is given to OST/

ations clearly in the best interest of TAD-60 prior to such authorization

the Government. for the purpose of determining wheth

(b) Requests for authority to deviate er such instructions should be includ from the provisions of the FPR or the ed in this regulation;

DOTPR shall be submitted as far in (6) Material determined by OST/

advance as the exigencies of the situa

tion will permit. Each request for deviTAD-60 to be inappropriate for

ation shall contain the following: DOTPR coverage, but appropriate for

(1) A clear statement of the deviinclusion in Administration publica

ation desired, including identification tions.

of the specific paragraph number(s) of (d) Instructions issued in accordance

the FPR or DOTPR, with paragraph (c) of this section shall

(2) The reason why the deviation is not contain material which duplicates,

considered necessary or would be in is inconsistent with, or increases or re

the best interests of the Government, stricts the use of, any authority con

(3) If applicable, the name of the tained in this regulation.

contractor and identification of the (e) Each Administration shall screen

contract affected, all existing instructions as well as

(4) A statement as to whether the those subsequently issued pursuant to

deviation has been requested previousparagraph (c) of this section and (d) ly and, if so, circumstances of the preabove to assure strict compliance with this paragraph, and for the purpose of (5) A description of the intended determining if the subject matter is effect of the deviation, appropriate for inclusion in this regu- (6) A statement of the period of time lation.

for which the deviation is needed, and (f) Each Administration shall fur- (7) Any pertinent background infornish to OST/TAD-60 one copy of each mation which will contribute to a full Administration procurement instruc understanding of the desired devition issued in accordance with para ation. graph (c) of this section.

(c) Deviations from the FPR and (g) Regulation implementing and DOTPR involving a single contract or supplementing the DOTPR will not be procurement may be authorized by published in the FEDERAL REGISTER. the Administrator of the Federal AviAny such regulations which are ation Administration, Federal Highdeemed to have an impact on the gen

way Administration, Federal Railroad eral public, and any regulations which

Administration, St. Lawrence Seaway establish procurement policy, will be

Development Corporation, Urban reserved for OST publication as

Mass Transportation Administration, DOTPR, Chapter 12.

National Highway Traffic Safety Ad(h) Those FAA Procurement Regula

ministration, the Commandant of the

Coast Guard, and each with the power tions which supplement the DOTPR,

of redelegation. For procurements and which are basically instructional

processed by the Transportation Sysin nature, may be retained until they

tems Center and Office of Administraare superseded by comparable materi

tive Operations (OST), deviations may al published by the Office of the Sec

be authorized by the Assistant Secreretary.

tary for Administration, with the

power of redelegation. A copy of each authorized deviation shall be sent to the Director of Installations and Logistics.

(d) Request for deviations from the FPR or DOTPR affecting more than one contract or contractor shall be forwarded to the Director of Installations and Logistics. Requests involving devi. ations from the FPR will be consid ered jointly by the Department and the General Services Administration, unless, in the judgment of the Assistant Secretary for Administration, after due consideration of the objective of uniformity and program responsibility of the Department, circumstances preclude such joint effort. In such cases, the Assistant Secretary for Administration will approve such class deviations as he determines necessary and will appropriately notify the General Services Administration.

8 12-1.010 Interagency

Procurement Policy Committee. The Director of Installations and Logistics, OST has been designated the representative for the Department of Transporation on the Interagency Procurement Policy Committee.

(1) The Chief, Procurement and Supply Division, Transportation Systems Center, Cambridge, Mass.

(2) The Chief, Procurement Operations Division, Washington, D.C.

(b) In the Federal Aviation Administration:

(1) The Director, Logistics Service, Washington, D.C.

(2) The Director, Metropolitan Washington Airport Service, Gravelly Point, Va. Capital Airports, Falls Church, Va.

(3) The Director, Alaskan Region, Anchorage, Alaska.

(4) The Director, Western Region, Los Angeles, Calif.

(5) The Director, Southern Region, Atlanta, Ga.

(6) The Director, Pacific Region, Honolulu, Hawaii.

(7) The Director, Central Region, Kansas City, Mo.

(8) The Director, Eastern Region, New York, N.Y.

(9) The Director, Southwest Region, Fort Worth, Tex.

(10) The Director, Aeronautical Center, Oklahoma City, Okla.

(11) The Director, National Aviation Facilities Experimental Center Atlan. tic City, N.J.

(12) The Director, New England Region, Burlington, Mass.

(13) The Director, Great Lakes Region, Des Plaines, Ill.

(14) The Director, Rocky Mountain Region, Denver, Colo.

(15) The Director, Northwest Region, Seattle, Wash.

(c) In the Coast Guard, the Comptroller of the Coast Guard, Washington, D.C.

(d) For the Federal Highway Administration, the Associate Administrator for Administration, Washington, D.C.

(e) For the National Highway Traffic Safety Administration, the Associate Administrator for Administration, Washington, D.C.

(f) For the Federal Railroad Administration, the Associate Administrator for Administration, Washington, D.C.

(g) For the St. Lawrence Seaway Development Corporation, the Director, Office of Procurement and Supply, Massena, N.Y.

(h) For the Urban Mass Transportation, the Director, Office of Procure

Subpart 12-1.2-Definition of Terms

& 12–1.204 Head of the agency.

“Head of the agency" means the Secretary and the following assistant chief officials: the Deputy Secretary, the Assistant Secretary for Administration; and for procurements within their Administrations, the Administrators of the Federal Aviation Administration, Federal Highway Administration, Federal Railroad Administration, Urban Mass Transportation Administration National Highway Traffic Safety Administration, St. Lawrence Seaway Development Corporation, and the Commandant, U.S. Coast Guard, and the Director, Transportation System Center.

§ 12–1.206 Head of the procuring activity.

The following officials have been designated as "head of the procuring activity":

(a) In the Office of the Secretary:

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