(c) Where the subject matter contained in a part, subpart, section, or subsection of the FPR requires no implementation, the DOE-PR will contain no corresponding part, subpart, section, or subsection number and the subject matter as published in the FPR governs.

§9-1.008 Implementation.

(a) Procurement policies and procedures will be issued in the DOE-PR_by_the_Senior Procurement Official, Headquarters, after appropriate concurrences from other officials.

(b) Implementing procedures, instructions, and guides which are necessary to clarify or to implement the DOE-PR_ within DOE field or Headquarters organizations may be issued by procuring activities. Procuring activities have the authority to establish the review and approval levels for various procurement actions, within their respective organizations, up to the dollar authority level delegated to that organization by the head of the agency and/or the Senior Procurement Official, Headquarters, providing the implementing procedures, instructions and guides:

(1) are consistent with the policies and procedures contained in this regulation as implemented and supplemented from time to time;

(2) to the extent practicable, follow the format, arrangement, and numbering system of this regulation; and

(3) contain no material which duplicates, paraphrases, or is inconsistent with the contents of this regulation.

§9-1.009 Deviation.

§9-1.009-2 Procedure.

(a) Requests for authority to deviate from the provisions of the FPR or the DOE-PR shall be submitted by letter as far in advance as the exigencies of the situation will permit. Each request for deviation shall contain the following:

(1) A statement of the deviation desired, including identification of the specific paragraph number(s) of the FPR or DOE-PR;

(2) The reason why the deviation is considered necessary or would be in the best interests of the Government;

(3) If applicable, the name of the contractor and identification of the contract affected; (4) A statement as to whether the deviation has been requested previously and, if so, circumstances of the previous request;

(5) A description of the intended effect of the deviation;

(6) A statement of the period of time for which the deviation is needed; and

(7) Any pertinent background information which will contribute to a full understanding of the desired deviation.

(b) In individual cases, deviations from either the FPR or the DOE-PR will be authorized only when essential to effect necessary procurement or where special circumstances make such deviations clearly in the best interest of the Government. Heads of Procuring Activities (HPAs) are authorized to approve all deviations, (except for cost principles), in individual cases, within their delegated dollar authority, after coordination with Counsel and such other DOE personnel as required, with a copy to the Senior Procurement Official Headquarters. Deviations, either in excess of an HPA's delegated dollar authority or involving costs principles contained in Parts 915, 9-50.15 and 9-50.704, shall not be made unless such action is authorized by the Senior Procurement Official, Headquarters, after consultation with General Counsel, and any other appropriate Headquarters office, on the basis of a written justification stating clearly the special circumstances involved. For deviations from policies and procedures or clauses involving patents,

data and copyrights, the concurrence of the Assistant General Counsel for Patents shall be obtained as provided in §9-9.107-4(k).

(c) Where deviations from the FPR or DOE-PR in classes of cases are considered necessary, requests for authority to deviate shall be submitted by letter to the Senior Procurement Official, Headquarters, who will, after appropriate concurrences from other officials (e.g., Counsel, and such other DOE personnel as required), consider the submission jointly with the General Services Administration (GSA) as appropriate. Class deviations to the FPR or the DOE-PR involving patents, data, and copyrights shall be forwarded to the Senior Procurement Official, Headquarters, via the Assistant General Counsel for Patents. Where circumstances preclude obtaining prior concurrence of GSA as required, the Senior Procurement Official, Headquarters, may authorize deviation and shall inform GSA of the deviation including the circumstances under which it was required.

§9-1.050 Amendment of regulation.

This regulation may be amended from time to time by the Senior Procurement Official, Headquarters, with appropriate concurrences from other officials (e.g., Counsel, and any other appropriate Headquarters offices).

§9-1.051 Other DOE Publications.

§9-1.051-1 Procurement circulars, handbooks, and acquisition letters.

Policies, procedures, and information concerned primarily with procurement may be published in DOE procurement circulars, handbooks, and acquisition letters generally under the following circumstances:

(a) Procurement Circulars - To provide coverage on an interim basis, pending subsequent incorporation in this regulation;

(b) Procurement Handbooks - To provide extensive treatment of a subject that is not suitable for inclusion in this regulation;

(c) Acquisition Letters - To provide guidance concerning procurement procedures which are not suitable for publication in this regulation.

(a) In accordance with the authority in §9-1.051-1 above, a Procurement Circular, supplementary to this regulation, shall be published as often as may be necessary or advisable for distribution to all recipients of this regulation. Material to be published in each circular shall first be approved by the Senior Procurement Official, Headquarters, with appropriate concurrences from other officials (e.g., Counsel, and any other appropriate Headquarters offices).

(b) PCs will be identified by the prefix letter "PC" followed by the last two digits of the calendar year in which issued and will be numbered consecutively. For example, the first PC issued in calendar year 1979 will be identified as PC 79-1.

$9-1.051-3 Procurement Handbooks (PH).

(a) In accordance with the authority in §9-1.051-1 above, the Senior Procurement Official, Headquarters, with appropriate concurrences from other officials (e.g., Counsel, and any other appropriate Headquarters offices) may publish Procurement Handbooks (PH) from time to time.

(b) Handbooks will be identified by the prefix letter "PH" and will be keyed to the appropriate DOE-PR subpart. For example, a handbook on profit and fee analysis would bear the identity PH §9-3.808.

89-1.051-4 Acquisition Letters (AL).

(a) In accordance with the authority in §9-1.051-1 above, the Senior Procurement Official,

Headquarters, or designee, may issue Acquisition Letters from time to time. They will remain in effect until cancelled.

(b) Acquisition Letters will be identified by the prefix letters "AL" followed by the last two digits of the calendar year in which issued and will be numbered consecutively. For example, the control number of the first letter issued in calendar year 1979 will be AL 79–1. When appropriate, the applicable subpart of the DOE-PR will be identified in the subject line.

§9-1.201 Definitions.

Subpart 9-1.2 Definition of Terms

For the purposes of this chapter, and unless otherwise indicated, the following terms have the meaning set forth in this subpart. FPR definitions not implemented herein also apply to this chapter.

§9-1.204 Head of the Agency.

"Head of the Agency" means the Secretary, Deputy Secretary, or Under Secretary.

$9-1.205 Procuring activity.

"Procuring activity" means a DOE organizational element which has been delegated authority by the Senior Procurement Official, Headquarters, to award contracts.

§9-1.206 Head of the Procuring Activity (HPA).

"Head of the Procuring Activity" means the senior official within a DOE organizational element who has overall responsibility for the supervision and direction of a procurement activity and who meets the following requirements: first, has been delegated authority to award contracts and appoint Contracting Officers by the Senior Procurement Official, Headquarters; and second, has been designated as an HPA. A partial listing of duties specifically reserved to the HPA or designee includes:

(a) Authority to establish review and approval levels for contract actions within his organization, up to the dollar level delegated to him.

(b) Authority to approve deviations from the FPRS and the DOE-PRs in accordance with §9-1.009-2.

(c) Authority to appoint Contracting Officers.

(d) Authority to ratify unauthorized contract and/or contract modification awards.

(e) Authority to make administrative determinations regarding withdrawals of bids before award in mistake in bid cases.

§9-1.250 Senior Program Official.

"Senior Program Official" means the Assistant Secretaries, Administrators of Administrations, Chairman, Federal Energy Regulatory Commission, Director, Office of Energy Research, and heads of DOE staff offices, or designees.

§9-1.251 Senior Procurement Official, Headquarters.

"Senior Procurement Official, Headquarters" means the Director of Procurement and Assistance Management, or designee.

Subpart 9-1.3 General Policies

§9-1.302-3 Contracts between the Government and Government employees or business concerns substantially owned or controlled by Government employees.

When the needs of the Government cannot be reasonably supplied by sources other than employees of the Government or sources which are substantially owned or controlled by Government employees, the Contracting Officer shall submit, through the HPA, a request to the Senior Procurement Official, Headquarters, with appropriate justification, for approval of an exception to the prohibitions contained in FPR 1-1.302-3.

§9-1.305 Specifications.

§9-1.305-1 Mandatory use of Federal Specifications.

(a) The policies and procedures established by FPR 1-1.305 shall be complied with for all direct procurement except as provided in §9-1.305-3.

(b) The paper specification standards published by the Joint Committee on Printing for the purchase of paper to be used on Government-owned printing, binding, and duplicating equipment shall be used in specifying paper requirements for “Federal Printing" as defined in the Government Printing and Binding Regulation.

§9-1.305-3 Deviations from Federal Specifications.

Subject to the requirements of FPR 1-1.305-3, Heads of Procuring Activities, Senior Program Officials, or designees, may authorize deviations from Federal Specifications in connection with direct procurement.

§9-1.305-5 Use of Federal and Interim Federal Specifications in construction contracts.

When specifications for construction are prepared by private firms, Heads of Procuring Activities, Senior Program Officials, or designees, are responsible for obtaining compliance with the general policies of this subpart to the extent practicable and compatible with meeting program objectives.

§9-1.306-1 Mandatory use and application of Federal Standards.

The policies and procedures established by FPR 1-1.306 for the development and use of Federal Standards shall be complied with to the same extent as provided for Federal Specifications in §9-1.305-1, §9-1.305-3, and §9-1.305-5.

§9-1.307 Purchase descriptions.

Specifications should be in such terms as to permit full and free competition among all potential suppliers. However, technical reasons may occasionally exist for using specifications which limit competition by requiring certain types of material or articles, such as replacement parts, auxiliary equipment, and tools required for use with major equipment. Restrictive specifications may be used to meet special requirements, provided (a) DOE needs cannot reasonably be met in any other manner, and (b) a complete written justification for the restriction is included in the contract file.

§9-1.313 Records of contract actions.

(a) The procurement file which shall be maintained by the Head of the Procuring Activity, or designee, shall include copies of all documents that present a historical record of the facts 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 pertinent papers shall not be removed. Bulky material, such as unsuccessful proposals, specifications, drawings, etc., need not be kept in the file, but may be filed elsewhere under the contract num