Page images

such as payroll listing, labor billings, travel details, etc. (49 FR 13965, Apr. 9, 1984, as amended at 54 FR 24342, June 7, 1989; 54 FR 43965, Oct. 30, 1989; 56 FR 47002, Sept. 17, 1991)

Subpart 304.70-Acquisition Instru

ment Identification Numbering System

304.7000 Scope of subpart.

This subpart prescribes policy and procedures for assigning identifying numbers to contracts and related instruments, including solicitation documents, purchase orders, and delivery orders.

of the Secretary, for fiscal year 1983 should be numbered 100-83-0001, the second contract 100-83-0002. Alternatively, if it is desirable for internal identification purposes to establish separate series of numbers for sealed bid and negotiated contracts, this procedure is permissible. In this instance, the initial sealed bid contract might be numbered 100_83_0001 and the initial negotiated contract numbered 100_83-0500.

(d) Assignment of identification codes. Each contracting office of the Department shall be assigned a three digit identification code by the Office of Financial Operations. Requests for the assignment of such codes for newly established contracting offices shall be submitted by the headquarters acquisition staff office of the contracting activity to the Director, Office of Financial Operations. Conversely, in the event that a contracting office is to be disestablished, the Director, Office of Financial Operations shall be notified. A listing of the contracting office identification codes currently in use is contained in the Department-wide Contract Information System Manual (DCIS). [49 FR 13961, Apr. 9, 1984, as amended at 50 FR 23126, May 31, 1985; 50 FR 38004, Sept. 19, 1985; 54 FR 24342, June 7, 1989)


304.7001 Numbering contracts.

(a) Contracts which require numbering. The following contracts shall be numbered in accordance with the system prescribed in paragraph (b) of this section:

(1) All contracts, including letter contracts and task orders under basic ordering agreements, which involve the payment of $2,500 or more for the acquisition of personal property or nonpersonal services.

(2) All contracts which involve the payment of $2,000 or more for construction (including renovation or alteration).

(3) All contracts which involve more than

payment regardless of amount. (The number assigned to a letter contract shall be assigned to the superseding definitized contract.)

(b) Numbering system. All contracts which require numbering shall be assigned a number consisting of the following:

(1) The three digit code assigned to the contracting office by the Office of Financial Operations, Office of Finance.

(2) A two digit fiscal year designation; and

(3) A four digit serial number. While it is required that a different series of four digit serial numbers be used for each fiscal year, serial numbers assigned need not be sequential.

(c) Illustration of contract numbers. The initial contract executed by the Division of Contract Operations, Office

304.7002 Numbering solicitation docu

ments. Requests for proposals and invitations for bids shall be numbered in accordance with procedures prescribed by the headquarters staff office of the contracting activity.

304.7003 Numbering purchase and de

livery orders. Contracting offices shall establish procedures for numbering purchase orders as required for effective identification and control.

304.7004 Numbering basic agreements.

Basic agreements shall be numbered in accordance with procedures prescribed by the headquarters staff office of the cognizant contracting activity. However, individual contracts entered into pursuant to the terms and conditions of a basic agreement shall be numbered in accordance with 304.7001(b).

304.7006 Numbering basic ordering expected to exceed $300,000 are to be reagreements.

viewed and approved prior to award. Basic ordering agreements shall be

(2) Contract actions of the Public numbered in accordance with proce

Health Service are to be reviewed and dures prescribed by the headquarters

approved prior to award in accordance staff office of the contracting activity.

with the dollar thresholds stated in

Subpart PHS 304.71. In order to assure (49 FR 13965, Apr. 9, 1984, as amended at 53

the propriety of smaller dollar acquisiFR 15563, May 2, 1988)

tions, a statistically significant sample Subpart 304.71-Review and Ap- ceed those dollar thresholds referenced

of contract actions not expected to exproval of Proposed Contract

in Subpart PHS 304.71 are to be reAwards

viewed and approved prior to award.

(c) Reviewing officials. Officials as304.7100 Scope of subpart.

signed responsibility for review and apThis subpart prescribes review and proval of contract actions must possess approval procedures for contract ac- qualifications in the field of acquisitions to ensure that:

tion commensurate with the level of (a) Contract awards are in conform- review performed, and, as a minimum, ance with law, established policies and possess those acquisition skills exprocedures, and sound business prac- pected of a contracting officer. The foltices;

lowing officials are responsible for (b) Contractual documents properly preaward contract review and approval: reflect the mutual understanding of

Office of the Secretarythe parties; and (c) The contracting officer is in

Director, Division of Contract and Grant

Operations formed of deficiencies and items of

Director, Division of Contract Operations, questionable acceptability and correc

Office of Administrative and Managetive action is taken.

ment Services

Office of Human Development Services-Di304.7101 Contracts requiring review

rector, Grants and Contracts Management and approval.

Division (a) General. All contractual docu- Social Security Administration Director, ments, regardless of dollar value, are Office of Acquisition and Grants (may be to be reviewed by the contracting offi

redelegated to the appropriate division dicer prior to award, even if the review

rection within the Office of Acquisition

and Grants) and approval procedures prescribed in this section are applicable. However,

Health Care Financing Administration-Di

rector, Division of Procurement Services. under no circumstances may the indi

Public Health Service-The reviewing offividual who signs a contract instrument

cial is designated in Subpart PHS 304.71, as as contracting officer perform final re

approved by the Director, Office of Proview and approval of that contract ac- curement and Logistics Policy, OPAL. tion if it, or any modification to it, is expected to exceed the levels set forth

However, if any of the officials are to in (b) (1) or (2) below.

serve as the contracting officer and (b) Required reviews and approvals. (1)

sign the contractual document, the reOfficials responsible for the acquisition

view and approval function shall be function in the Office of the Secretary,

performed by an appropriate official at OPDIV8 (except the Public Health

least one level above. Service), and regional offices are to as- (d) Regional offices. The Director, Resure that sealed bid or negotiated con

gional Administrative Support Center tracts, and/or modifications to them, (RASC) is responsible for review and expected to exceed $300,000, are re- approval of contracts, or modifications viewed and approved prior to award. In to them, expected to exceed $300,000 order to assure the propriety of smaller and executed by the regional office's dollar acquisitions, a statistically sig- contracting staff. The RASC may obnificant sample of contract actions not tain the advice of the Regional Attor

ney in the review of proposed contract awards. (49 FR 13961, Apr. 9, 1984, as amended at 50 FR 23127, May 31, 1985; 50 FR 38004, Sept. 19, 1985; 51 FR 44293, Dec. 9, 1986; 52 FR 27558, July 22, 1987; 54 FR 24343, June 7, 1989)

(v) That all the rules set forth in FAR Part 14 were complied with when the proposed award is a result of an IFB; and

(vi) That appropriate determinations and findings which justify the type of contract and advance payments are a part of the contract file.

(49 FR 13961, Apr. 9, 1984, as amended at 50 FR 23127, May 31, 1985; 50 FR 38004, Sept. 19, 1985)

304.7102 Conduct of the review.

(a) General. Reviewing officials may solicit the participation of specialists in various technical and administrative disciplines to aid in the review. The method of the review is not prescribed here in order to permit discretionary judgment in determining the depth to which significant areas are to be examined.

(b) Contract file. The reviewer is to: (1) Determine that the contract file constitutes an independent record, documented to provide a complete chronology of actions related to all aspects of the acquisition, and that the documentation is consistent with the requirements of FAR 4.803;

(2) Determine that each contract file contains documentation or other data (i.e., technical and business management evaluation, cost advisory and audit reports, negotiation memorandum, etc.) sufficient to explain and support the rationales, judgments, and authorities upon which all decisions and actions were predicated; and

(3) Ascertain:

(i) If the proposed acquisition action is to be awarded by other than full and open competition, that the documentation and approvals supporting the decision are present in the contract file;

(ii) That proper publicizing of proposed acquisition was made pursuant to FAR Part 5;

(iii) That approval was obtained for any deviation from prescribed contract clauses;

(iv) That sufficient competition was obtained, the competitive range was appropriately determined, and oral or written discussions

conducted with all firms in the competitive range;

304.7103 Approvals.

(a) Awards are not to be made until approval is granted by the reviewing official identified in 304.7101. All approvals are to be in writing, except that when time is of the essence approval may be given orally and subsequently confirmed in writing.

(b) The reviewing official shall not approve a proposed contract award if a substantive issue (or issues) remains to be resolved. However, in appropriate circumstances, the reviewing official may use discretion and grant approval on a conditional basis and require the contracting officer to submit follow-up written documentation that the substantive issue has been resolved. This provides the reviewing official the op tion to require the contracting officer to resolve the substantive issue and submit documenting evidence before award approval is given, or to grant conditional approval providing the substantive issue is resolved before the contract is awarded and require the contracting officer to submit documenting evidence either before or after the award. The reviewing official also has the option to determine the extent of documentation evidence to be submitted by the contracting officer. This may range from complete resubmission of the contract file to submission of a memorandum stating the contracting officer's actions in resolving the substantive issue.


[merged small][ocr errors][merged small][merged small]

Subpart 305.1-Dissemination of



Sec. 305.102 (Reserved)

Subpart 305.2-Synopsis of Proposed

Contract Actions

305.202 Exceptions.

Subpart 305.3-Synopses of Contract


305.303 Announcement contract

awards. (a) Public announcement. Any contract, contract modification, or delivery order in the amount of $1 million or more shall be reported by the contracting officer to the Office of the Deputy Assistant Secretary for Legislation (Congressional Liaison), Room 406G, Hubert H. Humphrey Building. Notification shall be accomplished by providing a copy of the contract or award document face page to the referenced office prior to the day of award, or in sufficient time to allow for an announcement to be made by 5 p.m. Washington, DC time on the day of award.

305.303 Announcement of contract awards.

Subpart 305.5-Paid Advertisements 305.502 Authority. 305.503 Procedures.

AUTHORITY: 5 U.S.C. 301; 40 U.S.C. 486(c).

SOURCE: 49 FR 13969, Apr. 9, 1984, unless otherwise noted.

(53 FR 43207, Oct. 26, 1988, as amended at 57 FR 11689, April 7, 1992)

Subpart 305.1-Dissemination of


Subpart 305.5-Paid


8 305.102 (Reserved)

[merged small][ocr errors]

Subpart 305.2-Synopsis of

Proposed Contract Actions 305.202 Exceptions.

(b) When a contracting office believes that it has a situation where advance notice is not appropriate or reasonable, it shall prepare a memorandum citing all pertinent facts and details and send it, through normal acquisition channels, to the Director, Office of Acquisition and Grants Management (DOAGM) requesting relief from synopsizing. The DOAGM shall review the request and decide whether an exception to synop sizing is appropriate or reasonable. If it is, the DOAGM shall take the necessary coordinating actions required by FAR 5.202(b). Whatever the decision is on the request, the DOAGM shall promptly notify the contracting office when a determination has been made. (51 FR 44293, Dec. 9, 1986, as amended at 54 FR 24343, June 7, 1989)

305.503 Procedures.

Requests for acquisition of advertising shall be accompanied by written authority to advertise or publish which sets forth justification and includes the names of newspapers or journals concerned, frequency and dates of proposed advertisements, estimated cost, and other pertinent information. Paid advertisements shall be limited to the publication of essential details of grant announcements, invitations for bids, and requests for proposals, including those for the sale of personal property, and for the recruitment of employees.


Subpart 306.3-Other Than Full REQUIREMENTS

and Open Competition Subpart 306.2—Full and Opon Competition

306.302 Circumstances permitting Aner Exclusion of sources

other than full and open competi

tion. Sec. 306.202 Establishing or maintaining alter

306.302–1 Only one responsible source native sources.

and no other supplies or services

will satisfy agency requirements. Subpart 306.3-Other Than Full and Open

(a) Authority. (2)(ii) Follow-on conCompetition

tracts for the continuation of major re306.302 Circumstances permitting other search and development studies on than full and open competition.

long-term social and health programs, 306.302–1 Only one responsible source and no major research studies, or clinical

other supplies or services will satisfy trails may be deemed to be available agency requirements.

only from the original source when it 306.302–7 Public Interest.

is likely that award to any other 306.303 Justifications.

source would result in unacceptable 306.303–1 Requirements.

delays in fulfilling the Department's or 306.303–2 Content.

OPDIV's requirements. 306.304 Approval of the justification.

(b) Application. (4) When the OPDIV Subpart 306.4-Sealed Bidding and

head has determined that a specific Competitive Proposals

item of technical equipment or parts

must be obtained to meet an activity's 306.401 Sealed bidding and competitive pro- program responsibility to test and posals.

evaluate certain kinds and types of ubpart 306.5-Competition Advocates

products, and only one source is avail

able. (This criterion is limited to test306.501 Requirement.

ing and evaluation purposes only and 306.502 Duties and responsibilities.

may not be used for initial outfitting AUTHORITY: 5 U.S.C. 301; 40 U.S.C. 486(c).

or repetitive acquisitions. Project offi

cers should support the use of this criSOURCE: 50 FR 23127, May 31, 1985, unless

terion with citations from their agenotherwise noted.

cy's legislation and the technical ra

tionale for the item of equipment reSubpart 306.2-Full and

and Open

quired.) Competition After Exclusion of

(c) Application for brand name descripSources

tions. There is existing equipment 306.202 Establishing or maintaining interchangeability, requires an item

which, for reasons of compatibility and alternative sources.

which is manufactured only by one (a) The reference to the agency head source. (This criterion is for use in acin FAR 6.202(a) shall mean the appro- quisitions where a particular brand priate competition advocate cited in name item is required, and an “or 306.501.

equal" will not meet the Government's (b)(1) The required determination and requirements. This criterion may not findings (D&F) shall be prepared by the be used when there are other manufaccontracting officer based on the data turers available which may be able to provided by program personnel, and produce acceptable items even though shall be signed by the appropriate com- their products might require some adpetition advocate. The D&F signatory justments and modifications. These authority is not delegable.

other manufacturers must be given the

opportunity to compete.) (50 FR 23127, May 31, 1985, and 50 FR 38004, Sept. 19, 1985, as amended at 51 FR 44293, Dec. (50 FR 23127, May 31, 1985, and 50 FR 38004, 9, 1986)

Sept. 19, 1985, as amended at 51 FR 44293, Dec. 9, 1986; 57 FR 11689, Apr. 7, 1992)

« PreviousContinue »