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copy of the request and approval. Subpart 13-1.3—General Policies Class deviations will be issued as a part of DOCPR, if they are of a con- 813-1.302 Procurement sources. tinuing nature and publication is deemed appropriate by the Assistant § 13-1.302–3 Contracts between the Gov. Secretary for Administration.

ernment and Government employees or

business concerns substantially owned Subpart 13-1.2-Definitions of Terms or controlled by Government employ.

ees. § 13–1.201 Definitions.

When a requisitioning office beFor the purposes of this chapter, comes aware that a suggested procureand unless otherwise indicated, the

ment source is either a Government following terms have the meanings set

employee(s) or a business or organizaforth in this subpart.

tion substantially owned by a Govern

ment employee(s), or the spouse or im& 13–1.204 Head of the agency.

mediate family of a Government

employee(s) the appropriate procureHead of the agency” means the As

ment office shall be immediately notisistant Secretary for Administration,

fied and shall seek alternative sources. unless otherwise indicated in a specific

If no alternative sources can be locatsection of this Chapter 13.

ed, the requisitioning office shall pre8 13–1.205 Procuring activity.

pare a written justification to clearly

support a contracting officer decision “Department of Commerce Procur

to procure from the Government eming Activity' means that organization

ployee source and to provide for acal element or associated elements of tions, where possible, to prevent an operating unit or Department

future related procurements from emoffice to which procurement authority ployee sources. Approvals shall be oband responsibility has been delegated. tained from the head of the operating

unit or Departmental office responsi8 13–1.206 Head of the procuring activity.

ble for the requisitioning office and "Head of the procuring activity" from the Assistant Secretary for Admeans the head of an operating unit ministration or designee prior to any or Departmental office which has procurement award to a Government been delegated procurement authority employee source. by the Assistant Secretary for Administration or that deputy, assistant or 813-1

8 13-1.305 Specifications. associate head of the operating unit or Departmental office to whom procure

$ 13-1.305-3 Deviations from Federal ment authority is in turn delegated to

specifications. gether with assignment of responsibili The head of each procuring activity

for direction and management of shall be responsible to ensure that the the procuring activity. Authorities and requirements contained in 41 CFR 1responsibilities of the head of the pro

1.305-3 are met and that the recomcuring activity shall not be redele

mendations and notifications required gated.

therein are submitted to the General

Services Administration. 8 13-1.250 Organizational elements.

8 13-1.306 Standards. The definitions of various Departmental organizational elements as con- 813-1.306-1 Mandatory use and applicatained in the Department's Organiza tion of Federal standards. tional Order series shall apply to De

Justifications and requests for expartmental organizational elements referred to in Chapter 13 (DOCPR).

ceptions from mandatory use of Federal standards as required by 41 CFR 11.306-1 shall be submitted to the General Services Administration by the

opinion that there is evidence of any violation of the antitrust laws.

head of the procuring activity requiring the exception. $ 13-1.313 Records of contract actions. $ 13-1.313-50 General procedures.

All Departmental procuring activities or organizational elements thereof shall maintain an official file for each contract issued, regardless of its dollar value. Each such contract file must constitute an independent record, documented to provide a complete chronology of all contract related actions, including sufficient data to explain and support the rationale, judgments and authorities upon which each decision or action was predicated.

§ 13-1.318 Disputes clause. § 13-1.318-1 Contracting officer's decision

under the Disputes Clause. Where a dispute cannot be settled by agreement and a decision under the Disputes Clause is necessary, the contracting officer will prepare a letter to the contractor containing written findings of fact and a final decision pursuant to the Disputes Clause of the contract. This decision document should:

(a) Identify the claim, including the date of submission and name and title of the submitter of the claim,

(b) Set forth the contracting officer's decision and related findings of fact in sufficient detail to enable the contractor to understand both the decision and the basis therefor,

(c) Reference the disputes clause as the authority for the decision,

(d) Include the paragraph contained in 41 CFR 1-1.318-1, and

(e) Cite the Department's rules for contractor appeals from decisions of contracting officers (Title 15 CFR Part 3).

8 13-1.313-51 Exceptions.

Procurements which are valued at less than $10,000 and made pursuant to small purchase authorities as well as delivery orders and purchase orders, regardless of their value, which are issued against existing Government contracts and related documents, may be combined in categorically organized files according to the specific instructions of individual procuring activity heads.

$ 13–1.318-50 Coordination of proposed

decisions. As required by internal directives, contracting officers shall refer proposed final decisions made under disputes clauses to the head of the procuring activity and to appropriate legal counsel for clearance before forwarding them to contractors.

$ 13-1.317 Noncollusive bids and propos

als. 8 13-1.317-50 Procedures.

(a) The authority to make the determination described in paragraph (d) of the “Certificate of Independent Price Determination” (See 41 CFR 11.317(a)) shall vest in the heads of the individual procuring activities without authority to redelegate.

(b) Where a certification is suspect. ed of being false or there is indication of collusion, the procuring activity shall collect and prepare documents and additional information in accordance with 41 CFR 1-1.902 and 1-1.903, and the head of the procuring activity shall transmit the matter to the Assistant Secretary for Administration. The Assistant Secretary for Administration shall have the matter referred to the Attorney General for appropri. ate action when, after coordination with the General Counsel or his desig. nee, it is the Assistant Secretary's

813-1.318-51 Modifications or withdrawal

of decisions. After issuing the final decision, but prior to the contractor filing a timely notice of appeal, the contracting officer and the contractor may continue to seek agreement and the contracting officer may modify or withdraw his final decision pursuant to such agreement. Such withdrawal or modification shall be set forth in a written document, with modifications in the form described in 8 13-1.318-1 and coordi. nated as prescribed in § 13-1.318-50.

8 13-1.318-52 Appeals from contracting plated procurement actions or possible officer decisions.

complications far ahead of the actual Rules of procedure for handling con

contracting phase of procurement. tract appeals from decisions of Depart

This will be mutually beneficial in ment of Commerce Contracting offi

terms of better program and procurecers are published as Part 3 of Title 15

ment planning as well as providing for of the Code of Federal Regulations.

more timely, efficient and economical

acquisitions. $ 13-1.327 Protection of the privacy of in (c) Personnel not delegated contractdividuals.

ing authority may not commit the De

partment, formally or informally, to $ 13-1.327-5 Procedures.

any type of contractual obligation The following notice shall be includ either before or after contract award. ed in every solicitation and resulting However, all personnel who require contract and in every contract award procurement support in accomplishing ed without a solicitation in which the their missions or assignments must clause titled “Privacy Act” as con support the procuring activity and the tained in 41 CFR 1-1.327-5(c) is incor- Contracting Officer in ensuring that: porated:

(1) Requirements are clearly defined

and specified; (2) competitive sources NOTICE OF DEPARTMENT OF COMMERCE'S

are solicited, evaluated and selected; PRIVACY Act POLICIES

(3) quality standards are prescribed With reference to the contractor's compli

and met; (4) performance or delivery is ance with requirements set forth under

timely; (5) prices, estimated costs and paragraph (a)(1) of the Privacy Act clause, the contractor is hereby notified that the

fees are reasonable; (6) contract proviDepartment's Privacy Act policies and pro

sions, procurement regulations and apcedures are contained in Title 15, CFR, Part plicable laws are complied with; and 4b. All applicable inquiries are to be direct (7) files are sufficiently documented to ed to the appropriate Privacy Officer as re- substantiate the judgments, decisions quired by 15 CFR 4b.3.

and actions taken.

(d) Varying degrees of cooperation, Subpart 13-1.4-Procurement

communication and planning are necResponsibility and Authority

essary commensurate with the dollar

value, complexity, legal and regulatory 813-1.450 Responsibilities of other Gov.

environment or other factors incident ernment personnel.

to each particular contemplated pro

curement. Planning and reporting re8 13-1.450-1 General.

quirements contained in this and later (a) Responsibilities for preparing

sections of the DOCPR are general reprocurement item descriptions, specific

quirements and are by no means all incations and work statements and for

clusive. All those involved in a prodetermining delivery requirements and

curement must be careful to assure fund availability or restraints rest

adequate coordination among the prowith the program office or requisition

curement, the requisitioning and any ing activity. Responsibilities for deter

other affected organizations. mining the method of procurement, type of contract, conduct of the pro

8 13-1.450-2 Planning for procurement. curement process, suitability of prices (a) All program and project planning and execution of required contract shall include plans for procurement of documents rest with the procurement anticipated supply, equipment or servactivity, the contracting officer in par ice requirements. ticular.

(b) Where funds of another Govern(b) Personnel responsible for requisi- ment Agency are provided or are to be tioning should maintain a close and provided under the Economy Act or continuous relationship with their other appropriate authority, programs supporting procurement activity to undertaken by any Commerce activity ensure that appropriate procurement and requiring procurement actions personnel are made aware of contem- shall be coordinated with the appro

of Procurement and Automatic Data Processing Management as required by DAO 212-1.

priate procurement offices prior to any commitment to accept the requisi. tioning agency or sponsoring agency deadlines.

(c) Program and project managers should solicit the advice and assistance of procurement personnel in developing the procurement element of the program and project plans so that the following factors can be considered early in the planning process.

(1) Definitions of requirements in terms of specifications or work statements for use in invitations for bids, requests for proposals, and contract provisions.

(2) Development of “in-house” estimates for cost of property or services to be procured, and identification of appropriated funds available for the contract.

(3) Identification of factors which require special consideration, including but not limited to; source evaluation criteria; providing facilities and equipment; quality control; product qualification testing and acceptance; patents and copyright reporting requirements; and other approvals or clearances (e.g., Security or Personnel clearances).

(4) Development of lead-time necessary to complete the procurement process, i.e., prepare and process the purchase request, prepare and process any necessary determination and findings, locate and evaluate sources, receive and evaluate bids or proposals, conduct preaward audits, conduct preaward surveys or conferences, and negotiate and/or award the contract or contracts.

(d) It is incumbent upon initiators of procurement requirements to obtain timely approvals from higher authori. ty whenever such approvals are required by regulations of this Department or other Government agencies; e.g., procurement of data processing resources; procurement of management consultant services; clearances by Office of Management and Budget; Government Printing Office, Treasury Department, General Services Administration, etc. However, Agency Procurement Requests (APR's) required to be sent to GSA under 41 CFR 14.1104 for ADP procurements will be processed by the Departmental Office

8 13-1.450-3 Procurement planning re.

ports. (a) In order to assure continually effective, economical and timely procurement throughout the Department, each operating unit and/or Departmental office shall report procurement plans as indicated in the following paragraphs:

(1) General office supply and equipment requirements. At least 90 days prior to the beginning of each fiscal year, an itemized listing of general office supplies, equipment and furnishings required for the ensuing fiscal year shall be submitted to the appropriate procurement office for planning purposes. Required items which are normally available through GSA Supply Stores or by requisition through any other established Government supply system need not be reported. The listings shall include total quantities, required delivery dates and respective delivery quantities if multiple deliveries are required. Each item shall be described in general terms and brand names, makes and/or model names or numbers shall be avoided wherever possible.

(2) Specialized supply, equipment, furniture and service requirements. At least six months prior to the beginning of each fiscal year an itemized listing of anticipated specialized supply, equipment, furniture and service repuirements shall be submitted to the appropriate procurement office for planning purposes. The listing shall include estimated total quantities or efforts and anticipated required delivery dates. Each item listed shall be described in synopsis form sufficient for publicizing in the Commerce Business Daily. (See S 1-1.1003-1.)

(3) Heads of affected procuring activities may waive the reporting requirements contained in this Section for specific procurements or for specified classes of procurements where unusually short procurement lead-time or other extraordinary circumstances exist.

(4) Except where reporting require (4) Closing dates for RFP's. ments have been waived in accordance (5) Evaluation and award. with paragraph (a)(3) of this section, (c) All changes in the overall prorequisitions containing procurement curement plan shall be submitted by needs which are additional to those

the program manager to the acquisilisted in the procurement plans sub

tion executive along with a narrative mitted under the requirements of

explanation of the necessity for each paragraphs (a) (1) and (2) of this sec

change. tion shall be accompanied by narrative justification explaining why those 8 13–1.450-5 Precontract support. needs were not or could not have been

After submission of the requirement included in the procurement plans.

to the procurement activity, program Such requests shall be submitted to

personnel must continue to support the appropriate procurement office through an official designated by the

the procurement process by providing

advice and assistance to the contracthead of the departmental office or operating unit.

ing officer in activities such as: (b) Each departmental office and/or

(a) Formulation of procurement operating unit should develop and

schedules. issue implementing procedures to pro (b) Conduct of presolicitation or vide for collection of procurement prebid/preproposal briefings of prosplanning data from all subordinate or- pective contractors. ganizations in order to accommodate (c) Conduct of preaward surveys to timely submission of the required re determine contractor responsibility. ports.

(d) Evaluation of technical and busi

ness proposals submitted by contrac8 13-1.450-4 Planning for major systems

tors, including requests for Governacquisitions.

ment-furnished facilities and equip(a) Upon approval of a mission need ment. by the Secretary (See DAO 208-3 and

(e) Development or evaluation and OMB Circular A-109) the Depart

documentation of plans, procedures, ment's Acquisition Executive shall des

and contract provisions relating to ignate the procurement office which

quality control, inspection, test data, will provide procurement support

patent data and acceptance of prodthroughout all phases of that major

ucts or services. systems acquisition process. (See DOC

(f) Establishment of contract rePR 13-4.50.)

quirements concerning packing, pack(b) Upon notification of the designa

aging, marking, inspection, point of action of a supporting procurement office, the program manager shall,

ceptance, and shipment of products. within 60 days, contact that procure 813-1.450-6 Postaward contract adminisment office for assistance in develop

tration. ing an overall procurement plan to be submitted to the acquisition executive

(a) Upon execution of the contract for approval. The overall procurement by the contracting officer and the conplan shall include a schedule for com- tractor, the mutual obligations of the pletion of at least each of the follow Government and the contractor are ing functions for each of the major established by and limited to the writsystems acquisition procurement ten stipulations in the contract instruphases (i.e. exploration of alternative ment. Unless authorized by the consystems, competitive demonstrations, tracting officer, program or technical full-scale development and produc personnel shall not direct or request tion):

the contractor to assume any obliga(1) Development of a solicitation in tion or take any action not specifically terms of mission need.

stated in the contract. Only the con(2) Advance publicity for the initial, tracting officer may impose on the exploration phase.

contractor any requirement which will (3) Issuance of Requests for Propos- result in a change to the contract. All als (RFP's).

contract changes must be directed in

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