Page images

306.302-7 Public interest.

(a) Authority. (2) Agency head, in this instance, means the Secretary.

(c) Limitations. When using the authority cited in FAR 6.302–7(a)(1), the Secretary's approval must be obtained. Therefore, an "approval package” must be prepared and staffed through departmental acquisition channels to the Secretary. The package shall include:

(1) A determination and findings, prepared by the contracting officer, for the Secretary to sign.

(2) A letter for the Secretary to sign notifying Congress of the determination to award a contract under the authority of 41 U.S.C. 253(c)(7). This letter must be received by Congress at least 30 days before contract award.

(3) A “Justification for Other than Full and Open Competition" (JOFOC).

(4) A briefing paper presenting background, need, etc.

(5) Any other pertinent papers or documents required by the Department. 306.303 Justifications.

competition is not feasible. All justifications shall be initially reviewed by the contracting officer.

(1) Justifications in excess of the small purchase limitation shall be in the form of a separate, self-contained document, prepared in accordance with FAR 6.303 and 306.303, and called a JOFOC” (Justification for Other than Full and Open Competition). Justifications of $25,000 or less may be in the form of a paragraph or paragraphs contained in the requisition or request for contract.

(2) Justifications, whether over or under the small purchase limitation, shall fully describe what is to be acquired, offer reasons which go beyond inconvenience, and explain why it is not feasible to obtain competition. The justifications shall be supported by verifiable facts rather than mere opinions. Documentation in the justifications should be sufficient to permit an individual with technical competence in the area to follow the rationale. (50 FR 23127, May 31, 1985, as amended at 57 FR 11689, Apr. 7, 1992)


306.303–1 Requirements.

(b) Preliminary arrangements agreements with the proposed contractor made by someone other than the contracting officer shall have no effect on the rationale used to support an acquisition for other than full and open competition.

(f) The program office should discuss prospective other than full and open competition requests with their supporting contracting office as early as possible during the acquisition planning stage (see FAR Subpart 7.1 and Subpart 307.1), and before submitting the requisition or request for contract. The discussions may resolve uncertainties, provide program offices with names of other sources, allow proper scheduling of the acquisition, and avoid delays which might otherwise occur should it be determined that the request for other than full and open competition is not justified.

(g) When a program office desires to obtain certain goods or services by contract without full and open competition, it shall, at the time of forwarding the requisition or request for contract, furnish the contracting office a justification explaining why full and open

306.303-2 Content.

(a)(1) The program office and name, address, and telephone number of the project officer shall also be included.

(2) This item shall include project identification such as the authorizing program legislation, to include citations or other internal program identification data such as title, contract number, etc.

(3) A full description of the requirement and its dollar amount is to be included. It may be in the form of a statement of work, purchase description, or specification. A statement is to be included to explain whether the acquisition is an entity in itself, whether it is one in a series, or part of a related group of acquisitions.

(c) Each JOFOC shall conclude with at least the following signatory lines (other concurrence lines may be added as deemed necessary by the contracting activity): Recommended, Project Officer Date Concur, Project Officer's Immediate Super

visor Date Concur, Contracting Officer


Approved, Approving Official

306.304 Approval of the justification.

(a)(1) For purchases in excess of 10 percent of the small purchase limitation but not over the small purchase limitation, the contracting officer is authorized to review and approve (or disapprove) the justification

(see 313.106(c)(2)). For acquisitions over the small purchase limitation, but not exceeding $100,000, the JOFOC shall be submitted to the contracting officer for review. The contracting officer will either concur or nonconcur, and forward the JOFOC to the principal official responsible for acquisition for approval. (When the contracting officer and principal official responsible for acquisition are the same individual, the approval will be made by the respective official listed in 306.501.) The principal official responsible for acquisition may redelegate approval for acquisitions between the small purchase limitation and $50,000 to the chief of the contracting office, provided that individual is at least one level above the contracting officer who will sign the contract.

(2) The competition advocates are listed in 306.501.

(3) The following shall serve as the approving officials referenced in FAR 6.304(a)(3); HCFA-Administrator for Health Care Fi

nancing OHDS-Assistant Secretary for Human De

velopment Services OSAssistant Secretary for Management

and Budget PHS-Assistant Secretary for Health (may

be delegated to the Deputy Assistant Sec

retary for Health Operations) SSA-Commissioner of Social Security RO's Regional Director This authority is not delegable, except as indicated for PHS.

(4) The senior procurement executive of the Department is the Assistant Secretary for Management and Budget.

(c) A class justification shall be processed the same as an individual justification.

(d) The contracting officer who receives a JOFOC for processing shall, after ascertaining that the document is complete, request advice from pricing, audit, legal, and other appropriate staff

offices, and forward the JOFOC with his or her concurrence or nonconcurrence, to the appropriate approving official. When the contracting officer does not concur with the JOFOC, a written explanation setting forth the reasons must be provided the approving official. If the JOFOC is disapproved by the approving official, the contracting officer shall promptly notify the concerned program office.

(e) It is the responsibility of the approving official to determine whether a contract may properly be awarded without full and open competition. The program office and project officer are responsible for furnishing the contracting officer and approving official with pertinent supporting information necessary to make such determinations. Other staff offices shall advise the contracting officer and approving official as requested.

(f) As each justification is reviewed, the approving official should ask: why the acquisition cannot be competed, are there sufficient grounds for excluding all other actual or potential sources, what actions can be taken to obtain full and open competition in the instant acquisition, and what actions are needed to avoid the need for a subsequent or continuing acquisition that is for other than full and open competition?

(50 FR 23127, May 31, 1985, as amended at 56 FR 47002, Sept. 17, 1991)

Subpart 306.4-Sealed Bidding

and Competitive Proposals 306.401 Sealed bidding and competi

tive proposals. The requirement in FAR 6.401 to document the reasons sealed bidding is not appropriate may be accomplished by adding a sentence to the negotiation memorandum (see 315.672) specifying which criterion (or criteria) listed in FAR 6.401(a) is (are) not applicable to the acquisition.

Subpart 306.5-Competition

Advocates 306.501 Requirement.

The Department's competition advocate is the Deputy Assistant Secretary

Sec. 307.105–2 Special program clearances or ap

provals. 307.105-3 Specification, purchase descrip

tion, and statement of work. 307.170 Program training requirements. 307.170–1 Policy exceptions. 307.170—2 Training course prerequisites.

Subpart 307.3-Contractor Versus

Government Performance

307.302 General. 307.303 Determining availability of private

commercial sources. 307.304 Procedures. 307.307 Appeals.

for Management and Acquisition. The competition advocates for the Department's primary contracting offices are as follows: HCFA-Associate Administrator for Manage

ment and Support Services OHDS-Director, Office of Management

Services os Director, Office of Acquisition and

Grants Management OASH–Director, Administrative Services

Center ADAMHA—Associate Administrator for

Management AHCPR-Executive Officer, Agency for

Health Care Policy and Research CDC—Director, Office of Program Support FDA-Associate Commissioner for Manage

ment and Operations HRSA-Associate Administrator for Oper

ations and Management IHSAssociate Director, Office of Adminis

tration and Management NIH—(R&D)-Associate Director for Extra

mural Affairs (Other than R&D) Associate

Director for Intramural Affairs SSA-Deputy Commissioner for Manage

ment. RO's Director, Regional Administrative

Support Center (50 FR 23127, May 31, 1985, and 50 FR 38004,

ept. 19, 1985, as amended at 52 FR 27558, July 22, 1987; 53 FR 15563, May 2, 1988; 53 FR 43207, Oct. 26, 1988; 54 FR 24343, June 7, 1989; 55 FR 42197, Oct. 18, 1990)

Subpart 307.70-Considerations in Selecting an Award Instrument

307.7000 Scope of subpart. 307.7001 Applicability. 307.7002 Purpose. 307.7003 Distinction between acquisition and

assistance. 307.7004 Procedures.

Subpart 307.71-Phase II Advance Acquisition Planning (Scheduling)

307.7101 Background. 307.7102 Accountability and responsibility. 307.7103 Purpose. 307.7104 Contracting activity actions.

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

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

Subpart 307.1-Acquisition Plans

306.502 Duties and responsibilities.

(b) The competition advocates listed in 306.501 shall assist the Department's competition advocate, when requested, by providing data and reports to aid in the accomplishment of the duties required of the Department's competition advocate as stated in FAR 6.502(a). (50 FR 23127, May 31, 1985, as amended at 50 FR 38004, Sept. 19, 1985)



307.104 General procedures.

(a) The acquisition planning document is an administrative tool designed to enable the contracting officer and project officer to plan effectively for the accomplishment of an acquisition during a specified time frame. The acquisition planning document serves as an outline of the method by which the contracting officer expects to accomplish the acquisition task.

(c) If the plan proposes using other than full and open competition, the plan shall also be coordinated with the Chief of the contracting office, acting for the competition advocate.

Subpart 307.1-Acquisition Plans

Sec. 307.104 General procedures. 307.104–1 Requirement for acquisition plan

ning. 307.104–2 Responsibilities for acquisition

planning. 307.104-3 Preparation of acquisition plan. 307.105 Contents of written acquisition

plans. 307.105–1 Format and content.

[49 FR 13969, Apr. 9, 1984, as amended at 50 FR 23129, May 31, 1985; 50 FR 38004, Sept. 19, 1985; 51 FR 44293, Dec. 9, 1986)

307.104-1 Requirement for acquisition

planning. (a) The acquisition planning document is required for all new negotiated acquisitions which are expected to exceed $100,000, except the following:

(1) Acquisition of architect-engineer services;

(2) Acquisitions of utility services where the services are available from only one source; and

(3) Acquisitions made from or through other Government agencies.

(b) An acquisition planning document is also required for all two-step sealed bid acquisitions expected to exceed $100,000.

(c) The principal official responsible for acquisition shall prescribe acquisition planning procedures for:

(1) Negotiated acquisitions which are not expected to exceed $100,000;

(2) Two-step sealed bid acquisitions which are not expected to exceed $100,000; and

(3) All other sealed bid acquisitions regardless of dollar amount.

(d) An acquisition planning document is not required for a contract modification which either exercises an option or adds funds to an incrementally funded contract, provided there is an approved acquisition planning document in accordance with 307.105 and there is no significant deviation from that plan. (49 FR 13969, Apr. 9, 1984, as amended at 50 FR 23126, May 31, 1985; 50 FR 38004, Sept. 19, 1985)

be responsible for these acquisitions to compare current staff capabilities with anticipated requirements to achieve an even distribution of fiscal year workload consistent with program needs. These discussions should result in understandings on:

(1) The details of the acquisition plan;

(2) Schedule for the completion of the acquisition plan;

(3) Preliminary discussions on the work statement/specifications and appropriate evaluation criteria; and

(4) Preliminary discussions on the content and timing of the request for contract (RFC).

(c) Planning by contracting activities. Contracting activities are required to coordinate with program and staff offices to ensure:

(1) Timely and comprehensive planning for acquisitions;

(2) Timely initiation of requests for contracts; and

(3) Instruction of program and staff offices in proper acquisition practices and methods.

307.104–2 Responsibilities for acquisi

tion planning (a) Planning by program and staff activities. Whenever execution of a program or project requires the acquisition of property or services by contract, the program or project plan shall delineate all elements to be acquired by contract. The program or project plans must include a plan and timeframe for completion action.

(b) Planning for acquisition actions. Action should commence as early as possible to effect an orderly and balanced acquisition workload throughout a fiscal year. Project officers who expect to initiate acquisitions are quired to discuss their requirements with the contracting officials who will

307.104-3 Preparation of acquisition

plan. (a) The acquisition planning document serves as an advance agreement between program and contracting personnel by outlining the methods of how and when the acquisition is to be accomplished. It serves to resolve problems early in the acquisition cycle thereby precluding delays in contract placement. It is developed prior to the preparation and submission of the formal request for contract to the contracting activity. (For detailed information concerning the request for contract, see Subpart 315.70.)

(b) The acquisition planning document shall be prepared jointly by the project officer and the contract negotiator or in accordance with procedures prescribed by the principal official responsible for acquisition.

307.105 Contents of written acquisi

tion plans.


307.105-1 Format and content.

The Department does not prescribe a standard format for the acquisition planning document, but recommends


the use of a format similar to what is which could be susceptible to phasing. provided in this section. The subject Describe criteria for evaluation of perareas addressed in paragraphs (a) formance of each phase before proceedthrough (e) must be included in every ing to the next. (See 307.105–3(c)(3) for a acquisition planning document. An discussion on phasing.) OPDIV, agency, or regional office con- (8) Government furnished material/fatracting activity may prescribe cilities. Indicate material and facilities standard format for the acquisition that will be furnished to the contractor planning document and may include and any associated problems which additional subject areas that are perti- may be encountered. Discuss possible nent to that activity's needs.

inequities which may arise in furnish(a) Identification information. The con- ing the materials or facilities. Discuss tracting activity shall prescribe the in- screening efforts for availability formation necessary for readily identi- through GSA excess property schedfying a planned acquisition. The infor- ules. mation may include items such as ac- (9) Discussion of project risk. Provide a quisition planning document number, discussion of major areas of project request for contract number, public risk including technical, cost, and law, program or project officer, etc. schedule risk. Describe what efforts are

(b) Programmatic considerations. (1) planned to reduce risk. If an acquisiDescription of the project/supplies/serv- tion, which is planned to be awarded ices. Include a brief description of the using other than full and open competiproposed project/supplies/services. Dis- tion represents a significant portion of cuss all anticipated future require- a proposed contractor's business, disments related to the acquisition. Dis- cuss the impact on technical capabilcuss any past, present or future inter- ity, realism of schedule, changes in related projects.

contractor workload and related cost (2) Project funding. Include the sum- impact. mary of funds expected to be obligated (10) Reporting delivery requirements. for the entire project by fiscal years Describe the basis for establishing the and phases. Include expenditures for delivery/reporting requirements and inprevious years. Discuss the probability clude the anticipated deliverables and of obtaining future years funding and/ time(s) for delivery. or what specific managerial action can (11) Replication, dissemination, or use be taken to insure future funding (if of the results. Discuss anticipated repapplicable).

lication, dissemination, or use of the (3) Background and acquisition history. results. Describe user audience and Provide a brief factual summary of the their expected use. Include a descriptechnical and contractual history of tion of the delivery system. the supplies/services being acquired. (12) Data, data rights, patents, copy

(4) Related projects, efforts undertaken rights. Discuss data to be developed. to avoid duplication of effort. Discuss ef- Specify data to be delivered and data forts made to determine if existing to remain in the contractor's possesprojects, supplies or materials will sat- sion. Discuss how the data is to be isfy the requirement. Include any re- used, maintained, disclosed and dislated in-house efforts, searches, and posed of by the contractor. Discuss clearinghouse reviews made to avoid data subject to the Privacy Act or Conduplication of effort.

fidentiality of Information clause. Dis(5) Need for project/supplies/services. cuss data to be delivered with limited Discuss rationale for deciding on the rights, data where title would not vest need for the project/supplies/services. in the Government, and anticipated

(6) Special program clearances or ap- copyrights or patents. Discuss whether provals. Review 307.105–2 to determine or not the data will permit any followwhich special program clearances or on acquisitions to be competitive. approvals are required. Specify clear- (13) Post-award administration and ances or approvals applicable to this monitoring. Detail milestones that reacquisition.

quire periodic evaluation of the con(7) Phasing. Briefly describe discrete tractor's progress. Discuss any formal tasks or stages of accomplishment management systems to be used to

« PreviousContinue »