Subpart 9-1.6-Debarred, Suspended, and Ineligible Bidders

§ 9-1.600 Scope of subpart.

This subpart implements and supplements the policies and procedures set forth in FPR Subpart 1-1.6 relating to the debarment, suspension, or ineligibility of bidders for any cause.

§ 9-1.602 Establishment and maintenance of a list of concerns or individuals debarred, suspended, or declared ineligible.

The Director, Division of Contracts shall establish and maintain a list of firms or individuals debarred or ineligible for contracts with the AEC and with AEC cost-type prime contractors pursuant to FPR 1-1.602. This list shall be designated as the List of Disqualified Bidders and Ineligible Contractors, and its use by all AEC procuring activities is mandatory. The Director, Division of Contracts shall periodically publish this list and distribute it to AEC contracting officers.

§ 9-1.602-1 Bases for entry on debarred, suspended, or ineligible list. The Director, Division of Contracts, shall place all firms and individuals within the categories specified in FPR 1-1.602-1 and 1-1.604 on the List of Disqualified Bidders and Ineligible Contractors as soon as determination is made of debarment or ineligibility. AEC debarments under FPR 1-1.604 are subject to the procedural requirements in § 9-1.606.

§ 9-1.603 Treatment

to be accorded firms or individuals in debarred, suspended, or ineligible status.

The Director, Division of Contracts, may determine, pursuant to FPR 1-1.603 (a), that an exception is essential to the public interest for a specific procurement action only. Such action shall be documented to reflect the determination and the justification therefor.

(a) The Director, Division of Contracts, shall collect and evaluate information to determine whether an alleged offense or irregularity warrants the initiation of a debarment proceeding.

(b) The Director, Division of Contracts may request assistance from the Division of Inspection whenever an investigation may be required. The Division of Inspection will make a thorough investigation of the circumstances as expeditiously as possible, and will report the results to the Director, Division of Contracts.

§ 9-1.606-52 Initiation of action.

The Director, Division of Contracts, with the concurrence of the Office of the General Counsel, and after consultation with the Division of Inspection, and such offices as he deems appropriate, shall determine whether causes and conditions exist to initiate a debarment action or to issue a notice of suspension.

§ 9-1.606-53 Notice of proposed debar

ment.

(a) The Director, Division of Contracts shall initiate a debarment proceeding by sending a notice of proposed debarment by registered mail (return receipt requested) to the firm or individual proposed for debarment.

(b) A notice of proposed debarment will:

(1) Concisely state the facts on which the proposed debarment is predicated; (2) Specify the period of the proposed debarment;

(3) Inform the firm or individual of the action which the AEC may take in the event a low bid or proposal is received from the firm or individual before the proposed debarment is finally determined;

(4) Inform the firm or individual of its right, within twenty (20) days of the

date of the notice of the proposed debarment, or such other time as may be specified in the notice, to request a hearing;

(5) Provide that the firm or individual may submit a written reply to the notice of proposed debarment within twenty (20) days of its date, or such other time as may be specified in the notice. The reply shall set forth the facts on which the firm or individual relies and request a hearing, if one is desired.

(6) Inform the firm or individual that if no reply or request for hearing is received within twenty (20) days from the date of the notice of proposed debarment or such other time as may be specified in the notice, that the debarment will become effective on a date specified in the notice.

§ 9-1.606-54 Hearing.

A hearing, if requested, shall be conducted before the AEC Board of Contract Appeals. (See 10 CFR 3.17, "Conduct of hearings," and 10 CFR 3.21, "Reconsideration.") The AEC Board of Contract Appeals has the final authority to decide debarment cases after hearings.

§ 9-1.606-57 Final debarment determination after the forfeiture of the right to be heard.

(a) If the Director, Division of Contracts, on the basis of an analysis of all information submitted for his review, determines that the proposed debarment is not warranted, he shall notify, in writing, the firm or individual concerned within forty (40) days after the notice of proposed debarment.

(b) If the Director, Division of Contracts, on the basis of an analysis of all information submitted for his review, determines that the proposed debarment is warranted, he shall transmit his recommendation for debarment, and all information on which such recommendation is based, to the General Manager. The General Manager shall determine in writing whether to debar. If the General Manager determines to debar, the Director, Division of Contracts shall notify, in writing, the firm or individual within forty (40) days after the notice of proposed debarment. The General Manager's determination shall accompany the notice confirming the proposed debarment. The notice confirming the pro

posed debarment shall state the effective date and the period of the debarment. The period of the debarment shall be no greater than that specified in the notice of proposed debarment.

§ 9-1.606-58 Notice of final debarment determination.

(a) The Director, Division of Contracts shall promptly notify all Headquarters Divisions, Offices, and Managers of Field Offices of all debarment actions taken pursuant to this subpart.

(b) The Director, Division of Contracts shall notify the General Services Administration of the names of all firms or individuals placed on or removed from the List of Disqualified Bidders and Ineligible Contractors.

eration between the two agencies to further the AEC small business program and the intent of Congress which is set forth in the Small Business Act. It is expected that field offices, through contracting officers, will cooperate with the SBA in establishing set-aside programs or in setting aside selected items or classes of items of procurement. Where SBA representatives are not available to screen proposed procurements and to initiate joint small business set-asides, unilateral small business set-asides shall be made by the contracting officers as appropriate. § 9–1.703–2 Protest regarding small business status.

(a) Protests received or questions raised by cost-type contractors shall be handled with the SBA regional offices through the appropriate AEC contracting officer.

§ 9-1.705-3 Screening of procurements.

(a) Class set-asides. An agreement has been reached between the AEC and the SBA that AEC would accept SBA initiation of class set-asides for formally advertised construction procurements estimated to cost between $2,500 and $1 million, including new construction and repair and alteration of structures. When in the judgment of the contracting officer a particular procurement falling within these dollar limits is determined unsuitable for a set-aside for exclusive small business participation, he shall notify the appropriate SBA representative of this decision. Unless SBA appeals the decision (see FPR 1-1.706-2), the contracting officer shall proceed to process the procurement on an unrestricted basis. Small business set-aside preferences should be considered for construction procurements in excess of $1 million on a case-by-case basis, favoring such preferential participation of small business whenever appropriate. (In the case of cost-type contractor procurements, notification to SBA shall be made through AEC channels.)

[37 FR 4913, Mar. 7, 1972]

§ 9-1.705-7 Performance of contract by SBA.

(a) It is the policy of the AEC to give full consideration to contracting with SBA in order to foster or assist in the establishment or the growth of small business concerns as designated by the SBA so that these concerns may become

self-sustaining, competitive entities within a reasonable period of time.

(b) The Small Business Administration has delegated to its field offices authority to handle contracts and subcontracts under section 8(a) of the Small Business Act. Managers of field offices should assure full cooperation with SBA in their efforts to place procurements with firms who are eligible for subcontract awards by SBA under section 8(a). They shall take the necessary steps to:

(1) Invite appropriate SBA field representatives to identify needs for 8(a) contracts and to provide for cooperation and assistance on the part of AEC and cost-type contractor procurement offices in verifying the availability or nonavailability of requirements, funding, and other pertinent factors; and

(2) Propose any requirements which appear to offer potential opportunity for contracting with SBA under authority of section 8(a) of the Small Business Act, for consideration by appropriate SBA field representatives.

(c) Detailed arrangements for handling individual 8(a) contracts should be worked out between AEC and SBA offices, consistent with FPR 1-1.713, and AECPR 9-1.713-1. Any problems relating to contracting with the Small Business Administration which cannot be readily resolved between Managers of AEC Field Offices and Regional Directors of SBA should be reported to the Director, Division of Contracts.

[36 FR 24804, Dec. 23, 1971, as amended at 37 FR 4914, Mar. 7, 1972] § 9-1.706-1

General.

(a) Initiation of set-asides. Initiation of set-asides by cost-type contractors shall be on a unilateral basis.

§ 9-1.706-5 Total set-asides.

(a) It is AEC policy to use the method of procurement known as "Small Business Restricted Advertising" for contracts involving total set-asides unless there are circumstances which make conventional negotiation necessary.

§ 9-1.708-3 Conclusiveness of certificate of competency.

If the contracting officer questions the acceptability of an SBA certificate of competency based on substantial doubt as to a particular firm's ability to perform, he shall, before award, promptly refer the matter to the Director, Division of Contracts for a final decision.

§ 9-1.709 Records and reports.

A semiannual report covering pertinent information concerning small business, minority business enterprises, and contracts placed with SBA for handling under authority of section 8(a) of the SBA Act shall be prepared by each field office and forwarded to the Director, Division of Contracts, not later than the 30th day following the end of the 6month period covered by the report. Managers of field offices shall require similar reports to be prepared by costtype contractors to accompany the field office reports, consistent with the requirements of FPR 1-1.710-3 and FPR 1-1.1310-2. Reports shall be prepared as follows:

(a) Narrative statement regarding the operation of the programs during the 6-month period.

(b) Tabulation of the following factual information:

(1) Number of awards made to (1) small business concerns, and (ii) known minority firms during the 6-month period which have not previously received awards.

(2) Number of (i) small business concerns, and (ii) known minority firms added to bidder's mailing lists during the 6-month period.

(3) Number and dollar value of awards made to (i) small business concerns, and (ii) known minority firms as compared to the number and dollar value of awards suitable for (iii) small business concerns, and (iv) known minority firms.

(4) Number and dollar value of invitations to bid and requests for proposals referred to SBA for suggestions as to (1) small business concerns, and (ii) known minority firms.

(5) Number and dollar value of setasides to small business concerns (distinguish between those awarded to known minority firms and those awarded to other small business firms). The number and dollar value of construction setasides shall be reported separately, also distinguishing between those awarded to known minority firms and those awarded to other small business concerns.

(6) Awards made by Small Business Administration (SBA) under the provisions and authority of section 8(a) of the Small Business Act.

(i) Name and address (street address, city, State and zip code) of firm receiving the award.

(a) Contractor's program. SBA participation in AEC field office reviews of cost-type contractors' small business programs shall be on the basis of special arrangements made by managers of field offices with the Directors of SBA Regional Offices. After the initial participation by SBA representatives, the scope and frequency of SBA's further participation in a particular contractor review will depend upon such factors as magnitude of the procurement activity, program accomplishments or problems, and future small business potential, as agreed upon between AEC and SBA.

§ 9-1.713 Contracts with the Small Business Administration.

[37 FR 4914, Mar. 7, 1972]

§ 9-1.713-1 Authority.

The prohibition contained in AECPR 9-1.452 relative to authorizing disputes provisions in subcontracts under fixedprice prime contracts, shall not be construed to preclude the use of the prime and subcontract language regarding contracting officer decisions and appeals therefrom as prescribed by FPR 1-1.713-3 (d) and (e) and FPR 1-1.713-4 (g) and (h).

[37 FR 4914, Mar. 7, 1972]

§ 9-1.751 AEC-SBA Agreement.

A revised agreement for cooperation was signed by the Chairman of the AEC and the Administrator of the SBA in October 1960. The term "Operations Office," as used in the agreement, shall also apply to field offices. The text of this agreement follows:

(a) Introduction. The purpose of this document is to revise and to continue an agreement between the Atomic Energy Commission (AEC) and the Small Business Administration (SBA), which has resulted in a friendly cooperative relationship since the agreement was established originally in 1953. The agreement provides a basis for cooperation between the two agencies in order to

further the AEC small business program and the intent of Congress which is set forth in the Small Business Act. To the extent applicable, the agreement is supplemented by the Federal Procurement Regulations (FPR's) pertaining to Small Business, which include definitions and uniform procedures for setasides and Certificates of Competency.

(b) Agreement. The AEC and SBA will continue to establish and maintain liaison between appropriate combinations of AEC Operations Offices and SBA Offices for exchanges of information regarding AEC opportunities for small businesses, additional sources of qualified small business concerns, and appropriate matters.

(c) Liaison (1) Establishment. SBA Area Offices will continue to establish and maintain liaison with the AEC Operations Offices within their respective geographical regions. Such liaison may include arrangements with respect to the AEC Area Offices and costtype contractors administered by an Operations Office.

Where an AEC Operations Office is located in one SBA area and the AEC Area Offices and cost-type operating contractors are located in other SBA areas, the SBA Area Office serving the area in which the AEC Area Office or cost-type operating contractor is located shall contact the AEC Operations Office concerned regarding the establishment of liaison procedures for such Area Office or cost-type contractor.

(2) Procedures. Detailed procedures for carrying out the exchanges of information by this agreement have been jointly developed and will continue to be maintained and modified, as experience suggests, by each combination of SBA Regional and AEC Operations Office maintaining liaison.

(3) It is not contemplated that SBA employees will operate in any area where security "Q" clearances are required.

(d) Exchanges of information (1) Procurement, research and development, and property sales. AEC Operations Offices (including Area Offices and cost-type contractors) will provide or arrange for the provision of information to the SBA Regional Offices with which liaison has been established regarding appropriate procurement, research and development, and property sales opportunities which are suitable for small business. In turn, the SBA Regional Offices will provide information, including the names of qualified small concerns, which will further the purpose of this agreement. The interchange of information provided in this paragraph will be in such form and will be transmitted by such means and with such frequency as seems most practical to the personnel engaged in the exchange of information.

(e) Time factor. It is anticipated that in some circumstances the time available for the submission of bids may be too short for some business concerns suggested by SBA to participate. In these circumstances, qualified small business concerns which are unable to participate will be added to bidders lists and invited to participate in subsequent procurements or sales.

(f) Appropriate opportunities. Appropriate opportunities, for the purpose of this agreement, will not include opportunities which must involve Government sources, those that security requirements will not permit to be publicly disclosed, and those where the urgency is too great to permit broad solicitation of bids or development of additional

sources.

(g) Review of agreement. This agreement will be reviewed on a periodic basis to determine whether the purpose of the agreement is being achieved and whether expansion and/or modification would be appropriate. Subpart 9-1.8-Labor Surplus Area Concerns

§ 9-1.807 Report on preference and nonpreference procurement in labor surplus areas.

A semiannual report containing summary data on AEC procurement in Labor Surplus Areas as set forth in FPR 11.807, FPR 1-16.804-3(d) (2), and FPR 1-16.804-4, shall be forwarded by managers of field offices to the Director, Division of Contracts, AEC Headquarters, within 30 days after December 31 and June 30, each year. The format and content of the summary data shall be consistent with lines 10 through 14 of Standard Form 37 (see FPR 1-16.90137).

[37 FR 17832, Sept. 1, 1972]

Subpart 9-1.9-Reporting Possible Antitrust Violations