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$ 9–53.202 Procurement office symbols.

The symbols assigned for the purpose of identifying AEC procurement offices issuing orders are set forth as follows: Procurement

Order office

prefix Albuquerque

ALBrookhaven

BHChicago

CHCincinnati

CICanoga Park

CPDayton

DAFernald

FNGrand Junction.

GJIdaho

ID Kansas City

KCLos Angeles

LALos Alamos.

LS New Brunswick.

NBNevada

NVNew York

NYOak Ridge

ORPinellas

PAPaducah

PD Portsmouth

PMPittsburgh

PTPuerto Rico.

PRRichland

RLRocky Flats

RFSan Francisco.

SANSchenectady

SNRSt. Louis..

SLSavannah River.

SRHeadquarters Services-

WA

Committee on Equal Employment Opportunity. $ 9-51.001 Applicability.

(a) Field Offices. Managers of Field Offices shall report data for each AEC procurement office and shall require reports from each cost-type prime contractor (except when total procurement actions under the contract are estimated at less than $250,000 on an annual basis) and each first-tier cost-type subcontractor under a cost-type prime contract (except when procurement actions under the subcontract are estimated at less than $250,000 on an annual basis).

(b) Contractors. If a contractor has more than procurement office, data will be reported separately for each office. Also, if a contractor has more than one contract subject to these reporting requirements, data will be reported separately for each contract. $ 9-54.002 Responsibilities.

(a) The Director, Division of Contracts, is responsible for maintaining a central file of contract data and for the issuance of all reports and analyses of procurement actions on an AEC-wide basis.

(b) Division Directors, Heads of Offices, Headquarters, are responsible for the preparation of all reports covering direct procurement actions taken by Headquarters divisions and offices and the collection, summarization, and review of all reports required from cost-type prime and subcontractors under contracts administered by Headquarters divisions.

(c) Managers of Field Offices are responsible for the preparation of:

(1) All reports covering direct procurement actions by their offices and the collection, summarization and review of all cost-type prime and subcontractor reports under contracts administered by their ofices, and

(2) Reports on Headquarters-designated contracts, and contracts directed by other offices under procurement directives; the office which executes and administers the contract (regardless of where funds are obligated) shall report that contract as one of its procurement actions. $ 9–54.003 Definition of "procurement

action”. (a) "Procurement action" as used in relation to the contract reporting sys

PART 9-54_CONTRACT REPORTING Sec. 9-54.000 Scope of part. 9-54.001 Applicability. 9-54.002 Responsibilities. 9-54.003 Definition of "procurement ac

tion." AUTHORITY: The provisions of this part 9-54 issued under sec. 161 of the Atomic Energy Act of 1954, as amended, 68 Stat. 948, 42 U.S.C. 2201; sec. 205 of the Federal Property and Administrative Services Act of 1949, as amended, 63 Stat. 390, 40 U.S.C. 486.

SOURCE: The provisions of this part 9-54 appear at 34 F.R. 15233, Sept. 27, 1969, unless otherwise noted. & 9-54.000 Scope of part.

This part sets forth the policies and procedures established for uniform reporting to Headquarters of essential data on procurement actions. Such data will be used for management purposes, for informational reports and to furnish information on procurement required by Congressional Committees, General Services Administration, Small Business Administration, Department of Labor, Renegotiation Board, and the President's

tem for prime contracts and subcontracts includes:

(1) All contracts and subcontracts (including both new contracts and contracts superseding preliminary instruments) and purchase orders;

(2) All preliminary contractual instruments such as letter contracts;

(3) All amendments, supplements, modifications, changes, cancellations, and terminations including letters changing the contract amount;

(4) Contracts which cover guaranteed rental;

(5) All orders placed against other Government agencies (such as orders on Federal Supply centers or working fund agreements Covering work or services performed for AEC by other Government agencies);

(6) All payments to utility companies. Payments against such contracts are to be reported on the basis of estimated annual expenditures, with an adjustment made at the end of each year to indicate actual payments under the contract or subcontract during the fiscal year;

(7) All orders against existing openend or indefinite quantity contracts, including contracts with any other Government agency, such as job orders, task orders, or delivery orders. Orders against such contracts should be reported under the basic contract. Individual orders may be reported when placed for the articles, supplies, or services rendered, or as an alternative, the estimated total amount under the contract may be reported; and

(8) Contracts for the acquisition of uranium bearing ores, concentrates, and other source materials.

(b) The term "procurement action" excludes:

(1) Contracts for the acquisition of land;

(2) Purchases paid for in cash;

(3) Orders placed against other AEC offices or contractors involving transfers of excess equipment or surplus material; and

(4) Transportation by Government bill of lading and transportation of personnel by Government travel order. With respect to contract purpose, contractual arrangements falling within object classifications 01 Personal Services; 11 Grants, Subsidies, and Contributions; 13 Refunds, Awards, and Indemnities; 15 Taxes and Assessments; and 16 Investments and Loans, shall be excluded.

PART 9-55—JUSTIFICATION AND

DOCUMENTATION OF PROCURE

MENT ACTIONS Sec. 9-55.000 Scope of part. Subpart 9-55.1-Justification of Procurements 9-55.100 Scope of subpart. 9-55.101 Formal advertising. 9-55.102 Negotiated procurements. 9-55.102–1 Applicability. 9-55.102–2 Justification of AEC direct de

gotiated contracts. 9–55.102-3 Procurement by cost-type con

tractors. Subpart 9–55.2—Documentation 9-55.200 Scope of subpart. 9-55.201 Procurement Ales. 9-55.202 Documentation of AEC direct

negotiated contracts. 9-55.203 Documentation of AEC procure

ment through formal adver

tising. 9-55.204 Documentation-cost-type con

tractor procurement. 9-55.205 Approval files-cost-type con

tractor procurement. AUTHORITY: The provisions of this part 955 issued under sec. 161, as amended, 68 Stat. 948, 42 U.S.C. 2201; sec. 205, as amended, 63 Stat. 390, 40 U.S.C. 486.

SOURCE: The provisions of this part 9-55 appear at 34 F.R. 15233, Sept. 27, 1969, unless otherwise noted. 89-55.000 Scope of part.

This part sets forth the administrative requirements for the justification of AEC direct and cost-type contractor procurement actions for equipment, supplies, and services (including construction) and for the establishment and maintenance of complete files of documents in support of such procurement actions. Subpart 9–55.1—Justification of

Procurements § 9-55.100 Scope of subpart.

This subpart sets forth the type of information required for justification of AEC direct and cost-type contractor procurements. & 9-55.101 Formal advertising.

Justification for AEC formally advertised procurements shall consist of the information required by $ 9-55.203. $ 9–55.102 Negotiated procurements.

Justification for AEC direct and costtype contractor procurements shall consist of the information required by $$ 9-55.102–2 and 9-55.102–3, respectively. $ 9-55.102–1 Applicability,

This section is applicable to all negociated contracts and subcontracts (including letters of intent or letter contracts) and modifications thereof involving additional supplies or services, except: (a) Contracts or subcontracts for $2,500 or less, (b) orders against Federal Supply Schedules, (c) orders placed against other Government agencies, (d) orders placed against other AEC offices, and (e) orders placed under one AEC management cost-type contract against another AEC management cost-type contract. $ 9-55.102-2 Justification of AEC direct

negotiated contracts. The justification of negotiated prime contracts required for actions in excess of $100,000 shall be in the form of a narrative statement covering, to the extent applicable to the particular transaction, the general type of information as indicated in paragraphs (a) through (i) of this section. Actions under $100,000 shall be supported by files containing substantially the same information required by paragraphs (a) through (i) of this section. The scope and detail of information to be included in the contract file should generally be determined on the basis of the nature, dollar value, and complexity of the transaction involved.

(a) Name and address of proposed contractor.

(b) Location of plant- or work-site for performance of the contract.

(c) Contract number, including amendment number if applicable.

(d) Name of prime contractor.

(e) Nature of contract action (letter contract, conversion of letter contract, extension of existing contract, etc., as well as type of contract-cost, CPFF, incentive, etc.).

(f) A reference to the program basis for the contract, including scope of the work or description of supplies or services being procured, delivery or construction schedules, period of contract, quantities, unit prices, and total price or estimated cost. If the procurement action is a contract modification the relation to the program under the basic contract and the effect thereof should be shown.

(g) A statement justifying the use of negotiation in lieu of formal advertising.

(h) The methods of solicitation employed and the information requested from sources f supplies or services; the distribution and response to such solicitations or requests; and the basis upon which it is concluded that such solicitations or requests were sufficient to assure such full and free competition as is consistent with the procurement of the required supplies or services. This shall include:

(1) A brief summary of the request for proposal used as a basis for solicitation;

(2) Number of firms invited to submit proposals and a list of firms quoting, together with their respective quotations; and

(3) The reason for selection of the proposed contractor, when award is to be made to other than the low offeror or there is a wide margin between the acceptable quotation and other quotations received.

(i) The history of negotiations with the proposed contractor, including the consideration given to appropriate factors, and the basis upon which it is concluded that the results of the negotiations

are advantageous to the Government. This shall include:

(1) A brief summary or principal points involved in negotiation and the final results thereof, indicating price changes, if any, during negotiations and explanations therefor;

(2) A comparison of the proposed contract with previous procurements of the same or similar supplies or services, including dates or previous procurements, quantities, changes in specifications from last purchase, if any, and justification for changes in price;

(3) For all contracts involving construction and related engineering services, the cost breakdown resulting from contract negotiations which was used to arrive at the total price or estimated cost for fee or profit computation purposes;

(4) For all contracts for the operation or management of AEC facilities on a cost or CPFF basis, a complete explanation of provisions agreed on for reimbursing costs generated elsewhere than at the project site, together with complete justification for fixed fee, if any;

(5) For each supply, production, and research and development contract, an appropriately detailed analysis of cost and price reflecting final negotiation,

66-091-72-39

with suitable consideration of the policies and principles stated in FPR Part 1-3, Part 9-3, and $ 9–15.5008, including comments showing appropriate review and evaluation of major elements of cost and price by financial, technical, and other qualified personnel;

(6) Names and locations, when available, of prospective subcontractors and estimated amounts of respective subcontracts which will exceed $100,000;

(7) A statement as to whether the contract will contain any form of price redetermination or escalation, including reasons for inclusion or omission;

(8) General types and value of Government property to be furnished, or already furnished to the proposed contractor and which will be used in performance of the work;

(9) A statement as to whether the financial condition of the proposed contractor is considered satisfactory, whether the contract is to be partly or wholly financed by Government funds, whether guaranteed loans are involved, whether the contractor's accounting system is satisfactory and adequate to furnish information required by AEC under the contract, and whether or not accounts under the contract are to be integrated with AEC accounts (if a performance bond is to be furnished, state name of bonding company and amount of bond);

(10) A statement as to the technical ability and past performance of the proposed contractor (if the contractor is presently performing other AEC contracts, state uncompleted contract value, status of work thereunder and the effect of proposed additional contracts or backlog on the proposed contract);

(11) The amount of funds available and encumbered for the proposed contract, including appropriation, allotment number, subprogram class and budget item;

(12) The basis for establishing delivery requirements or other performance schedules;

(13) Any other pertinent data in the form of explanations, comments, or comparisons concerning any unusual or new phases of the procurement or negotiations relating thereto (comments or report of the Division of Finance of the Field Office concerned as to the financial and pricing aspects of the proposed contract should be included under this paragraph. Recent and current contracts of

the contractor with other field offices and other Government agencies with particular emphasis on a comparison of business aspects of such contracts with the proposed contract should also be commented upon); and

(14) In the case of contract actions requiring Headquarters approval, the name of the AEC negotiator responsible for the transaction, together with his telephone number. & 9-55.102-3 Procurement by cost-type

contractors. (a) A written justification, consisting of all information and data upon which it has been determined that the procurement is in the best interests of the Government, shall be required for procurements by cost-type contractors. The scope and detail of such justification shall be consistent with the nature, dollar value, and complexity of the procurement involved.

(b) Except as may be otherwise required by FPR 1-3.811(a) (4), a written justification is not required when costtype contractors use the competitive bid or quotation and award method of procurement, which includes the basic steps and objectives set forth in § 9-59.003(b) (1), provided award is made without entering into negotiations.

Subpart 9-55.2-Documentation & 9-55.200 Scope of subpart.

This subpart sets forth the administrative requirements for the establishment and maintenance of complete files of documents in support of AEC direct and cost-type contractor procurement actions for equipment, supplies, and services (including construction). & 9-55.201 Procurement files.

The procurement file shall include copies of all documents, certified, if necessary, that present a historical record of the fact of the transaction. Basic papers of the procurement file shall be arranged and secured in a logical order so as to facilitate review and audit. A complete file shall be maintained, and the removal of pertinent papers avoided. Bulky material, such as unsuccessful proposals, specifications, drawings, etc., need not be physically kept in the file, but may be filed elsewhere under the case reference number, cross referenced in both files. 135 F.R. 6483, Apr. 23, 1970)

(i) Conformed copy of contract;
(j) Copies of unsucessful bids;
(k) Copies of any modifications;

(1) Justification for award to other than the low bidder and other circumstances justifying award, such as basis for making the award in case of equal low bids;

(m) If performance or payment bond requirements on lump-sum or unit-price construction contracts and subcontracts do not conform to the requirements of Part 9-10, state the reason; and

(n) Related correspondence. § 9-55.204 Documentation-cost-type

contractor procurement. Contracting officers shall assure that cost-type contractors establish and maintain procurement files which contain those documents essential to present an adequate and accurate record of the transaction. § 9-55.205 Approval files_cost-type

contractor procurement. A file shall be established in the field office which will document the review of each cost-type contractor procurement action submitted for approval to AEC.

$ 9-55.202 Documentation of AEC di.

rect negotiated contracts. Files of essential documents for substantially all contracts and modifications made without formal advertising, except files for small purchases (less than $2,500) see Subpart 9–3.6 shall include the following:

(a) Copy of the procurement directive, requisition or other document upon which the procurement is based;

(b) Justification of negotiation required by $ 9–55.102:

(c) Copy of request for proposals, including drawings and specifications when applicable or references thereto;

(d) List of prospective contractors solicited;

(e) Abstract of proposals both oral and written;

(f) Copies of written proposals or confirming quotations received;

(g) "Findings and Determinations" required by Part 9–3;

(h) Basis upon which it has been determined that the contractor was financially and technically able to perform;

(i) Cost breakdown or other appropriate information used to determine reasonableness of price in making award, including a statement on the analysis of the price;

(j) Approval of appropriate reviewing authority when required;

(k) Conformed copy of contract or purchase order with specific reference to any unusual contract provisions and reasons therefor;

(1) Related correspondence; and

(m) Copies of any modifications. $ 9-55.203

Documentation of AEC pro. curement through formal advertis

ing. The file covering a procurement by formal advertising shall include the following:

(a) Copy of the procurement directive, requisition or other document upon which procurement is based;

(b) Copy of the bid invitation;

(c) List of Prospective bidders solicited;

(d) Copies of addenda or supplemental notices;

(e) Abstract of bids;
(f) Copy of successful bid;

(g) Evaluation of the reasonableness of the low bid accepted, including comparison with the independent Government cost estimate, if applicable;

(h) Copy of notice of award;

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Subpart 9-56.2 [Reserved]

Subpart 9-56.3 [Reserved] Subpart 9-56.4—Policy Governing Particular

Types of Contracts 9-56.401 Replacement of

contractors operating AEC-owned plants or

laboratories. 9-56.402 Replacement of service-type con

tractors performing services of a continuing nature for the AEC

at AEC-owned locations. 9-56.403 Selection of new onsite service

contractors, 9-56.404 Selection of research and develop

ment contracts for work in commercial facilities.

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