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. 306.303-1 Requirements. (b) Preliminary arrangements or 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 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] (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 inIcluded. 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 Supervisor Date Concur, Contracting Officer 341-189 0-93-2 Date Approved, Approving Official Date 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 Development Services OS-Assistant Secretary for Management and Budget PHS-Assistant Secretary for Health (may be delegated to the Deputy Assistant Secretary for Health Operations) SSA Commissioner of Social Security 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 concurrence or her 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 306.401 Sealed bidding and competitive 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 Subpart 307.71-Phase II Advance 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 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. [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 Acquisitions (3) 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] 307.104-2 Responsibilities for acquisition 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 required to discuss their requirements with the contracting officials who will 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. 307.104-3 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 acquisition 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 provided in this section. The subject areas addressed in paragraphs (a) through (e) must be included in every acquisition planning document. An OPDIV, agency, or regional office contracting activity may prescribe a standard format for the acquisition planning document and may include additional subject areas that are pertinent to that activity's needs. (a) Identification information. The contracting activity shall prescribe the information necessary for readily identifying a planned acquisition. The information may include items such as acquisition planning document number, request for contract number, public law, program or project officer, etc. (b) Programmatic considerations. (1) Description of the project/supplies/services. Include a brief description of the proposed project/supplies/services. Discuss all anticipated future requirements related to the acquisition. Discuss any past, present or future interrelated projects. (2) Project funding. Include the summary of funds expected to be obligated for the entire project by fiscal years and phases. Include expenditures for previous years. Discuss the probability of obtaining future years funding and/ or what specific managerial action can be taken to insure future funding (if applicable). (3) Background and acquisition history. Provide a brief factual summary of the technical and contractual history of the supplies/services being acquired. (4) Related projects, efforts undertaken to avoid duplication of effort. Discuss efforts made to determine if existing projects, supplies or materials will satisfy the requirement. Include any related in-house efforts, searches, and clearinghouse reviews made to avoid duplication of effort. (5) Need for project/supplies/services. Discuss rationale for deciding on the need for the project/supplies/services. (6) Special program clearances or approvals. Review 307.105-2 to determine which special program clearances or approvals are required. Specify clearances or approvals applicable to this acquisition. (7) Phasing. Briefly describe discrete tasks or stages of accomplishment which could be susceptible to phasing. Describe criteria for evaluation of performance of each phase before proceeding to the next. (See 307.105-3(c)(3) for a discussion on phasing.) (8) Government furnished material/facilities. Indicate material and facilities that will be furnished to the contractor and any associated problems which may be encountered. Discuss possible inequities which may arise in furnishing the materials or facilities. Discuss screening efforts for availability through GSA excess property schedules. (9) Discussion of project risk. Provide a discussion of major areas of project risk including technical, cost, and schedule risk. Describe what efforts are planned to reduce risk. If an acquisition, which is planned to be awarded using other than full and open competition represents a significant portion of a proposed contractor's business, discuss the impact on technical capability, realism of schedule, changes in contractor workload and related cost impact. requirements. (10) Reporting/delivery Describe the basis for establishing the delivery/reporting requirements and include the anticipated deliverables and time(s) for delivery. (11) Replication, dissemination, or use of the results. Discuss anticipated replication, dissemination, or use of the results. Describe user audience and their expected use. Include a description of the delivery system. (12) Data, data rights, patents, copyrights. Discuss data to be developed. Specify data to be delivered and data to remain in the contractor's possession. Discuss how the data is to be used, maintained, disclosed and disposed of by the contractor. Discuss data subject to the Privacy Act or Confidentiality of Information clause. Discuss data to be delivered with limited rights, data where title would not vest in the Government, and anticipated copyrights or patents. Discuss whether or not the data will permit any followon acquisitions to be competitive. (13) Post-award administration and monitoring. Detail milestones that require periodic evaluation of the contractor's progress. Discuss any formal management systems to be used to |