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Part 3-1

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§ 3-1.000 Scope of part.

This part sets forth introductory information concerning the HEW Procurement Regulations, describes the methods by which the Department of Health, Education, and Welfare implements and supplements the Federal Procurement Regulations (FPR), and contains policles and procedures which implement and supplement Part 1-1 of the FPR. [36 FR. 22980, Dec. 2, 1971]

Subpart 3-1.1—Regulation System

SOURCE: The provisions of this Subpart 31.1 appear at 36 F.R. 22980, Dec. 2, 1971, unless otherwise noted.

§ 3-1.101 Scope of subpart.

This subpart sets forth introductory information pertaining to the HEW Procurement Regulations (herein referred to as HEWPR), explains their purpose, authority under which they are issued, their relationship to the FPR System, applicability, method of issuance, exclusions, and arrangement. It also provides procedures for implementing and supplementing the FPR and the HEWPR, and sets forth deviation procedures.

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The HEWPR are issued to establish uniform policies and procedures which conform with the Federal Procurement Regulations System. The objectives of the Federal Procurement Regulations System are: To provide greater uniformity in Government procurement policies and procedures applicable to the procurement of personal property and nonpersonal services (including construction); to provide for codification and publication of policies and procedures; and to make the policies and procedures readily available to procurement officials, and to the public, as applicable.

§ 3-1.103 Authority.

The HEWPR are prescribed by the Assistant Secretary for Administration and Management under authority 5 U.S.C. 301 and section 205(c), Federal Property and Administrative Services Act of 1949 as amended (40 U.S.C. 486(c)), delegated by the Secretary. All material for issuance at the Department level is the responsibility of, and published by, the Director of Procurement and Materiel Management, OS-OASAM. Original approved and signed manuscripts are retained and filed in the Director's office.

§ 3-1.104 Applicability.

The FPR and HEWPR apply to all HEW procurements of personal property, real property by lease, and nonpersonal services (including construction). The HEWPR applies to contracts and to agreements and other instruments (regardless of name) which are subject to 41 U.S.C. 252. Unless specified otherwise, these regulations apply to procurements within and outside the United States. Requests for authority to deviate from the FPR and HEWPR shall comply with procedures set forth in §§ 1-1.009 and 3-1.109.

[36 FR 22980, Dec. 2, 1971, as amended at 39 FR 14340, Apr. 28, 1974]

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Certain HEW policies and procedures which come within the scope of this chapter nevertheless may be excluded from HEW Procurement Regulations. The exclusions are categorized as follows:

(a) Policy or procedure which is expected to be effective for a period of less than 6 months which shall be issued in procurement circular format.

(b) When the time will not permit preparation in final codified form, the policy or procedure shall be issued in procurement circular format. Conversion to permanent type HEWPR shall be made as soon as possible, in most instances, within 180 days.

(c) Issuances of a semipermanent nature which have limited applicability, such as those pertaining to a specific program or geographical area (e.g., metropolitan Washington, D.C.), shall be published as manual guides.

§ 3-1.106 Issuance.

(a) HEWPR implement, supplement, and in some instances may deviate from, the FPR. Implementing material is that which expands upon or indicates the manner of compliance with related FPR material. Supplementing material is that for which there is no counterpart in the FPR. Deviating material is defined in § 1-1.009 of the FPR.

(b) Material published in the FPR which has Government-wide applicability becomes effective throughout HEW upon the effective date cited in the particular FPR material. Such material generally will not be repeated, paraphrased, or otherwise stated in HEWPR except to the extent necessary to implement or deviate from the FPR. HEWPR material

will be effective on the date of the transmittal notice by which distributed unless otherwise indicated in the respective transmittal notice.

(c) All HEWPR material deemed necessary for the general public to understand basic and significant HEW procurement policies and procedures will be published in the FEDERAL REGISTER and codified as Chapter 3 of Title 41, Code of Federal Regulations. The FEDERAL REGISTER and Title 41 of the Code of Federal Regulations may be purchased from the Superintendent of Documents, Government Printing Office, Washington, D.C. 20402.

[36 FR 22980, Dec. 2, 1971, as amended at 88 FR 4667, Feb. 20, 1973]

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(a) The HEWPR conform with the Federal Procurement Regulations System with respect to divisional arrangements into parts, subparts, sections, subsections, and further subdivisions as necessary.

(b) As the FPR System pertains to the Department, it consists of (1) regulations published by the Administrator of General Services in Chapter 1-Federal Procurement Regulations, and (2) complementary Departmental regulations published in Chapter 3. In keeping with the DHEW Staff Manual System, such regulations will be published as integral parts of the HEW Procurement Regulations.

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(a) The FPR System of numbering permits the keying of similar subject matter throughout Chapters 1 and 3. Each section number is a combination showing to the left of the decimal point the chapter and part numbers, separated by a dash. To the right of the decimal point the subpart, section, and subsection numbers are indicated in that order. Thus, the Department, to complement the cost-plus-a-fixed-fee contract provisions contained in Chapter 1, Part 1-3, Subpart 1-3.4, Section 04, Subsection 3 of the Federal Procurement Regulations (§ 1-3.404-3), would assign the section number "3-3.404-3" to the complementary provisions.

(b) The first 49 parts of Chapter 3 are reserved for regulations implementing Chapter 1. Part 50 and succeeding parts are reserved for Departmental and

agency regulations that are not included in Chapter 1 or elsewhere in Chapter 3.

(c) Where material in the FPR requires no implementation or deviation, there is no corresponding number in the HEWPR. Thus, there are gaps in the HEWPR sequence of numbers where the FPR, as written, are applicable to HEW procurement.

§ 3-1.107-3 Citation.

The HEWPR will be cited in the same manner as the FPR are cited. Thus, this section, in referring to divisions of the FPR system, should be cited

"§ 3-1.107-3 of Chapter 3." When the official Code of Federal Regulations citation is used, this section should be cited as "41 CFR 3-1.107-3." Any section of the HEWPR may be identified informally, for purposes of brevity, as "HEWPR" followed by the section number, such as "HEWPR 3-1.107-3."

83-1.108 Implementation.

(a) Procurement policies and procedures which are necessary to implement, supplement, or deviate from the FPR will be issued in the HEWPR by the Director of Procurement and Materiel Management, OS-OASAM, when necessary to accomplish Departmentwide procurement objectives.

(b) Policies and procedures which are necessary to implement and supplement the FPR and the HEWPR at the operating agency level will be issued by the heads of procuring activity (see §3-75.101) or their designees.

§ 3-1.109 Deviation.

§ 3-1.109-1 Description.

As used in the HEWPR, the term "deviation" pertains to actions set forth in 1-1.009-1 of this title.

§ 3-1.109-2 Procedure.

In the interest of establishing and maintaining uniformity to the greatest extent feasible, deviations from either the FPR or HEWPR shall be kept to a minimum and controlled as follows:

(a) When a change is considered necessary to a prescribed contract clause, request for approval shall be submitted in the manner set forth in § 3-16.5003.

(b) With the exception of paragraph (a) of this section, the head of each procuring activity or the official he has designated to act for him in authorizing a deviation from procurement regulations shall authorize a deviation from the FPR

or HEWPR only after he obtains approval resulting from the submission of a request to the Director of Procurement and Materiel Management, OASAM, prepared in accordance with paragraphs (c) and (d) of this section.

(c) When an agency or staff office determines that a deviation is needed, it shall normally request the deviation in writing as far as possible in advance of need. In an exigency, an agency or staff office may request a deviation verbally, to be confirmed in writing as soon as circumstances permit.

(d) A deviation request shall set forth clearly and precisely:

(1) Nature of the needed deviation; (2) Identification of the FPR or HEWPR from which the deviation is needed;

(3) Circumstances under which the deviation would be used;

(4) Intended effect of the deviation; (5) Time frame; and

(6) Reasons which will contribute to complete understanding and support of the requested deviation. Copies of pertinent background papers such as forms, or contractor's request, should accompany the deviation request.

(e) Where deviations from the FPR in classes of cases are considered necessary, requests for authority to deviate shall be submitted through administrative channels to the Director of Procurement and Materiel Management, OASAM, who will consider the submission jointly with the General Services Administration (GSA). Where compelling circumstances preclude the obtaining of prior concurrence of GSA, the Director of Procurement and Materiel Management, OASAM, may authorize a deviation and shall inform GSA of the deviation including the circumstances under which it was required.

§ 3-1.150 Revision.

When an operating agency deems it essential that a regulation set forth in HEWPR be changed in the interest of program effectiveness, a proposed revision of the regulation may be submitted to the Director of Procurement and Materiel Management, OASAM, for review and consideration. A detailed statement of justification shall be attached to each proposed revision submitted for review. Subpart 3-1.3-General Policies

§ 3-1.302 Procurement sources. [36 F.R. 22981, Dec. 2, 1971]

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§ 3-1.302-1 General.

(a) Section 103-25.160 of the Materiel Management Manual sets forth the priority by which Department procurement activities shall utilize the various sources of supply, and procedures for requesting waivers to deviate from mandatory

sources.

[36 F.R. 22981, Dec. 2, 1971]

§ 3-1.313 Records of contract actions. § 3-1.313-50 General.

(a) All procuring activities within HEW shall maintain an official contract file for each contract issued. Files for small purchase transactions shall be established and maintained in accordance with Subparts 1-3.6 and 3-3.6.

(b) Operating agencies shall ensure that each contract file constitutes an independent record, documented to provide a complete chronology of all actions related to the contracting aspects of a procurement. Each contract file shall contain documents or other data sufficient to explain and support the rationale, judgments, and authorities upon which all decisions and actions were predicated.

134 F.R. 5159, Mar. 13, 1969. Redesignated, 36 F.R. 22981, Dec. 2, 1971]

§ 3-1.318 Contracting officer's decision under a disputes clause.

A copy of each contracting officer's decision shall be furnished to the contractor by certified mail, return receipt requested, or in person, obtaining a receipt therefor.

137 FR 12797, June 29, 1972] § 3-1.318-50

Decision

preparation, processing, and modification or withdrawal.

(a) Where a dispute arises under a contract, the contracting officer will prepare a final decision pursuant to the Disputes Clause of the contract. This single document in the format set forth in paragraph (b) of this section should contain a simple and concise statement of: (1) The claim, (2) the decision, (3) the findings of fact which support the decision, and (4) the reference to the Disputes Clause.

(b) The following format is suggested for use by contracting officers in prepar

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