amendments thereto within its jurisdiction: (1) To the Office of the General Counsel, one copy of: (i) Each contract, and each subcontract under a cost-type contract, where the proposed contract action was submitted for Headquarters approval prior to execution: (ii) Each engineering or architectengineering prime contract, and each engineering or architect-engineering subcontract under a cost-type prime contract, involving an expenditure (actual or estimated) of $500,000 or more. (2) To the appropriate Headquarters division or office, one copy of each contract sponsored by such division or office. (3) To the Division of Contracts, one copy of each contract and subcontract where the proposed action was submitted for Headquarters approval prior to execution. § 9-53.105 Responsibilities. The Office of the General Counsel, and the divisions or offices, Headquarters, receiving a copy of contracts pursuant to § 9-53.104 (b), shall maintain a file of such contracts and shall be responsible for making the contract file available to Headquarters divisions and offices upon request. § 9-53.106 Assigned contract prefixes. Prefixes for AEC contract numbers for each procurement office are set forth as follows: Active offices San Francisco_. Canoga Park Grand Junction_ Rocky Flats_ Idaho Falls.. Chicago Paducah Kansas City Nevada New Brunswick. Princeton Los Alamos. Albuquerque New York.... Brookhaven Schenectady Dayton Portsmouth Fernald Pittsburgh Savannah River. Oak Ridge- Richland Contract AT (04-3)- AT (28-1)AT (28-2)AT (29-1)AT(29-2)AT(30-1)AT(30-2)AT(30-3)AT (33-1)AT (33-3)AT(33-4)AT (36-1)AT (38-1)AT (40-1)AT (45-1) Subpart 9-53.200-Orders § 9-53.201 Numbering of orders (Form AEC-103). Procurement offices shall number all orders (Form AEC-103), including purchase orders, with a prefix symbol to identify the issuing office, followed by a symbol consisting of the last two digits of the fiscal year of issuance. In addition, procurement offices may assign such secondary symbols and suffixes as may be required for their particular needs. This prefix shall precede the serial number assigned to the order on a chronological basis, starting with the number “1” at the beginning of each fiscal year. For example, the first order issued by Chicago Operations Office in the 19xx fiscal year would be "CH-XX-1." 9-54.002 9-54.003 Applicability. Responsibilities. Definition of "procurement action." 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 Committee on Equal Employment Opportunity. § 9-54.001 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 one 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 offices, 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 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; Grants, Subsidies, and Contributions; 13 Refunds, Awards, and Indemnities; 15 Taxes and Assessments; and 16 Investments and Loans, shall be excluded. 11 9-55.200 9-55.201 9-55.202 9-55.203 9-55.204 9-55.205 tractors. Subpart 9-55.2-Documentation Scope of subpart. Procurement files. Documentation of AEC direct negotiated contracts. Documentation of AEC procurement through formal advertising. Documentation-cost-type contractor procurement. Approval files-cost-type contractor 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. § 9-55.000 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 This section is applicable to all negotiated 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 of 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, 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. [35 F.R. 6483, Apr. 23, 1970] |