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Subpart 3-1.3—General Policies

8-1.802 Procurement sources.
8-1.302-1 General

Part 3-1

Subpart 3-1.4--Procurement Responsibility and

Authority Sec. 31.401 Responsibility of the head of the

procuring activity. 3-1.403 Requirements to be met before

entoring into contracts. 3--1.404 Selection, designation, and ter

mination of designation of

contracting officers. 8-1.4041 Selection. 8-1.4042 Designation. 8-1.4048 Termination of designation. 3-1.405 Ratification of unauthorized

contract awards. 8-1.405-60 Ratification procedure. 3-1.451 [Reserved). 8-1.452 Responsibülty of other GOV

ernment personnal. 8-1.452-1 General. 8-1.452-2 Planning for procurement. 8-1.452-3 Precontract support. 2-1.4524 Posts ward contract adminis

tration. Subpart 3-1.6Debarred, Suspended, and

Ineligible Bidders
3-1.600 Scope of subpart.
3-1.602 Establishment, maintenance and

distribution of a list of con.
cerns or individuals debarred,
suspended, or declared ineligi-

ble (Debarred Bidders List). 3-1.602-1 Bases for entry on the HEW de

barred, suspended, and ineligi

ble list. 3-1.603 Treatment to be accorded firms

or individuals in debarred, sug

pended, or ineligible status, 3-1.604 Causes and conditions applicable

to determination of debarment. 3-1.604-1 Procedural requirements relating

to the imposition of debarment. 3-1.605 Suspension of bidders. 3-1.605-1 Causes and conditions under

which HEW may suspond con

tractors. 3-1.605-4 Notice of suspension. 3-1.606 Departmental procedure.

Subpart 3-1.7—Small Business Concerns 3-1.704 Agency program direction and

operation. 3–1.704-1 HEW headquarters. 3-1.704-2 Other procuring activities. 3–1.704-3 Small business specialists. 3-1.7044 Principal procurement officer. 3-1.705 Cooperation with the

Small
Business Administration.
3-1.705-1 General.
3-1.706 Procurement set-asides

small business.
3-1.706-2 Review of SBA set-aside propos-

als.
3-1.706-3 Withdrawal or modification of

set-asides.
3–1.706–50 Small business class set-aside

for construction, repair, and

alteration work. 3-1.708 Certificate of competency pro

gram

Sec.
3-1.708-1 General.
8–1.708-3 Applicability and procedure.
8-1.708-3 Conclusiveness of certificato di

competency.
3-1.713 Contracts with the Small Busi-

ness Administration. 8-1.713-1 Authority. 8-1.713-2 Policy. 8-1.718-3 Procurement of supplies, Sery

ices, and research and develop

ment. 3-1.718-30 Reporting requirements. 3-1.750 Business opportunity confer

ences.
8-1.752 Contracts with minority business

firms.
3-1.752-1 General.
3-1.762-2 Authority.
3-1.752-3 Policy.
3-1.752 4 Procedures.
8-1.752-5 Reporting requirements.
Subpart 3–1.12— Responsible Prospective

Contractors
3-1.1200 Scope of subpart.
8-1.1203 Minimum standards Ior TO-
sponsible prospectivo

COD-
tractors.
3-1.1203-2 Additional standards.
3-1.1204 Determination of responsibuity

or nonresponsibility.
8–1.1204–1 Requirement.
Subpart 3-1.16

Reports of Identical Blds
8-1.1603 Reporting requiremonta.
8-1.1603-3 Submission of reports.

Subpart 3-1.52--Safety and Health 8-1.5200 Scope of subpart. 3-1.5201 General. 3-1.5202 Definition. 8-1.6208 Polioy. 8-1.5204 Actions required. 8-1.5206 Contract clause. Subpart 3-1.53—Considerations in Solocting

Award Instrument Contract or Grant 8-1.5301 General 8-1.6302 Applicability. 3-1.6303 Salootion criteria. 3-1.5303-1 Basic selection criteria. 8-1.8303_, Secondary selection oritaria. 8-1.6304 Mandatory use of contracts.

Subpart 3-1.54_Options 3-1.5400 Scope of subpart. 3–1.5401 Definition of options. 3-1.5402 Applicability. 3-1.5403 Procedures. 3–1.5404 Exercise of options. 3-1.5405 Examples of option articles for

fixed-price type contracts. 3-1.5406 Examples of option articles for

cost-reimbursement contracts. AUTHORITY: 5 U.S.C. 301; 40 U.S.C. 486(c).

SOURCE: The provisions of this part 8-1 appear at 34 FR 6159, Mar. 13, 1969, unless otherwiso noted.

lor

§ 3-1.000 Scope of part.

§ 3-1.104 Applicability. This part sets forth Introductory in- The FPR and HEWPR apply to all formation concerning the HEW Procure- HEW procurements of personal property, ment Regulations, describes the methods real property by lease, and nonpersonal by which the Department of Health, Ed- services (including construction). The ucation, and Welfare implements and HEWPR applies to contracts and to supplements the Federal Procurement agreements and other instruments (reRegulations (FPR), and contains pol- gardless of name) which are subject to cies and procedures which implement 41 U.S.C. 252. Unless specified otherwise, and supplement Part 1-1 of the FPR. these regulations apply to procurements (36 PR. 22980, Dec. 3, 1971)

within and outside the United States. Re

quests for authority to deviate from the Subpart 3-1.1-Regulation System FPR and HEWPR shall comply with pro

SOURCE: The provisions of this Subpart 8- cedures set forth in 881–1.009 and 1.1 appear at 36 F.R. 22980, Dec. 2, 1971, un- 3-1.109. less otherwise noted.

(36 FR 22980, Dec. 2, 1971, as amended at 89 § 3-1.101 Scope of subpart.

FR 14340, Apr. 23, 1974) This subpart sets forth introductory

§ 3-1.105 Exclusions. information pertaining to the HEW Pro- Certain HEW policies and procedures curement Regulations (herein referred to which come within the scope of this as HEWPR), explains their purpose, au- chapter nevertheless may be excluded thority under which they are issued, from HEW Procurement Regulations. their relationship to the FPR System, The exclusions are categorized as applicability, method of issuance, exclu- follows: sions, and arrangement. It also provides (a) Policy or procedure which is exprocedures for implementing and supple- pected to be effective for a period of less menting the FPR and the HEWPR, and than 6 months which shall be issued in sets forth deviation procedures.

procurement circular format. § 3-1.102 Purpose.

(b) When the time will not permit

preparation in final codified form, the The HEWPR are issued to establish

policy or procedure shall be issued in uniform policies and procedures which

procurement circular format. Conversion conform with the Federal Procurement to permanent type HEWPR shall be mado Regulations System. The objectives of tho

as soon as possible, in most instances, Federal Procurement Regulations Sys- within 180 days. tem are: To provide greater uniformity

(c) Issuances of a semipermanent nain Government procurement policies and

ture which have limited applicability, procedures applicable to the procurement

such as those pertaining to a specific proof personal property and nonpersonal

gram or geographical area (e.g., metroservices (including construction); to pro

politan Washington, D.C.), shall be pubvide for codification and publication of

lished as manual guides. policies and procedures; and to make the policies and procedures readily available

§ 3-1.106 Issuance. to procurement officials, and to the pub- (a) HEWPR implement, supplement, Uc, as applicable.

and in some instances may deviate from,

the FPR. Implementing material is that 83–1.103 Authority.

which expands upon or indicates the The HEWPR are prescrlbed by the As. manner of compliance with related FPR sistant Secretary for Administration and material. Supplementing material is that Management under authority 5 U.S.C.

for which there is no counterpart in the 301 and section 205(c), Federal Property

FPR. Deviating material is defined in

$ 1-1.009 of the FPR. and Administrative Services Act of 1949

(b) Material published in the FPR as amended (40 U.S.C. 486(c)), delegated

which has Government-wide applicabile by the Secretary. All material for issu

ity becomes effective throughout HEW ance at the Department level is the re

upon the effective date cited in the parsponsibility of, and published by, the

ticular FPR material. Such material gen. Director of Procurement and Materiel

erally will not be repeated, paraphrased, Management, OS-OASAM. Original ap- or otherwise stated in HEWPR except to proved and signed manuscripts are the extent necessary to implement or retained and filed in the Director's office. deviate from the FPR. HEWPR material will be effective on the date of the trans- agency regulations that are not included mittal notice by which distributed unless in Chapter 1 or elsewhere in Chapter 3. otherwise indicated in the respective (c) Where material in the FPR retransmittal notice.

quires no implementation or deviation, (c) AU HEWPR material deemed nec- there is no corresponding number in the essary for the general public to under- HEWPR. Thus, there are gaps in the stand basic and significant HEW pro- HEWPR sequence of numbers where the curement policies and procedures will be FPR, as written, are applicable to HEW published in the FEDERAL REGISTER and procurement. codified as Chapter 3 of Title 41, Code of Federal Regulations. The FEDERAL

§ 3-1.107-3 Citation. REGISTER and Title 41 of the Code of The HEWPR will be cited in the same Federal Regulations may be purchased manner as the FPR are cited. Thus, this from the Superintendent of Documents, section, in referring to divisions of the Government Printing Ofice, Washington, FPR system, should be cited AS D.C. 20402.

"§ 3-1.107-3 of Chapter 3.” When the (36 FR 22980, Dec. 2, 1971, as amended at official Code of Federal Regulations cita98 FR 4667, Feb. 20, 1973)

tion is used, this section should be cited § 3-1.107 Arrangement.

as “41 CFR 3-1.107-3." Any section of the

HEWPR may be identified informally, § 3-1.107-1 General plan.

for purposes of brevity, as "HEWPR" (a) The HEWPR conform with the

followed by the section number, such as Federal Procurement Regulations Sys

"HEWPR 3-1.107–3." tem with respect to divisional arrange- 8 3-1.108 Implementation, . ments into parts, subparts, sections, subsections, and further subdivisions as

(a) Procurement policies and procenecessary.

dures which are necessary to implement, (b) As the FPR System pertains to the

supplement, or deviate from the FPR will Department, it consists of (1) regula

be issued in the HEWPR by the Director tions published by the Administrator of

of Procurement and Materiel ManageGeneral Services in Chapter 1-Federal

ment, OS-OASAM, when necessary to Procurement Regulations, and (2) com

accomplish Departmentwide procureplementary Departmental regulations

ment objectives. published in Chapter 3. In keeping with

(b) Policies and procedures which are the DHEW Staff Manual System, such

necessary to implement and suppleregulations will be published as integral

ment the FPR and the HEWPR at the parts of the HEW Procurement Regu

operating agency level will be issued lations.

by the heads of procuring activity (see

$ 3–75.101) or their designees. 83-1.107-2 Numbering.

§ 3-1.109 Deviation. (a) The FPR System of numbering permits the keying of similar subject

§ 3-1.109-1 Description. matter throughout Chapters 1 and 3. As used in the HEWPR, the term "deEach section number is a combination viation" pertains to actions set forth in showing to the left of the decimal point $ 1-1.009-1 of this title. the chapter and part numbers, separated

§ 3-1.109-2 Procedure. by a dash. To the right of the decimal point the subpart, section, and subsection

In the interest of establishing and

maintaining uniformity to the greatest numbers are indicated in that order.

extent feasible, deviations from either Thus, the Department, to complement

the FPR or HEWPR shall be kept to & the cost-plus-a-fixed-fee contract pro

minimum and controlled as follows: visions contained in Chapter 1, Part 1-3,

(a) When a change is considered necSubpart 1-3.4, Section 04, Subsection

essary to a prescribed contract clause, of the Federal Procurement Regulations

request for approval shall be submitted ($ 1-3.404-3), would assign the section

in the manner set forth in § 3-16.5003. number "3–3.404–3" to the complemen- (b) With the exception of paragraph tary provisions.

(a) of this section, the head of each pro(b) The first 49 parts of Chapter 3 are curing activity or the official he has desreserved for regulations implementing ignated to act for him in authorizing & Chapter 1. Part 50 and succeeding parts deviation from procurement regulations are reserved for Departmental and shall authorize a deviation from the FPR

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or HEWPR only after he obtains ap- § 3–1.302-1 General. proval resulting from the submission of

(a) Section 103–25.160 of the Materiel a request to the Director of Procurement and Materiel Management, OASAM, pre

Management Manual sets forth the pripared in accordance with paragraphs (c)

ority by which Department procurement and (d) of this section.

activities shall utilize the various sources (c) When an agency or stait ofice de- of supply, and procedures for requesting termines that a deviation is needed, it waivers to deviate from mandatory shall normally request the deviation in sources. writing as far as possible in advance of

136 F.R. 22981, Dec. 2, 1971) need. In an exigency, an agency or staff office may request a deviation verbally, to

§ 3-1.313 Records of contract actions. be confirmed in writing as soon as cir

§ 3-1.313–50 General. cumstances permit.

(d) A deviation request shall set forth (a) All procuring activities within clearly and precisely:

HEW shall maintain an official contract (1) Nature of the needed deviation; file for each contract issued. Files for

(2) Identification of the FPR or small purchase transactions shall be esHEWPR from which the deviation is tablished and maintained in accordance needed;

with Subparts 1-3.6 and 3–3.6. (3) Circumstances under which the

(b) Operating agencies shall ensure deviation would be used;

that each contract file constitutes an in(4) Intended effect of the deviation;

dependent record, documented to pro(5) Time frame; and (6) Reasons which will contribute to

vide a complete chronology of all actions complete understanding and support of

related to the contracting aspects of a the requested deviation. Copies of perti

procurement. Each contract file shall nent background papers such as forms,

contain documents or other data suffior contractor's request, should accom- cient to explain and support the rationpany the deviation request.

ale, judgments, and authorities upon (e) Where deviations from the FPR which all decisions and actions were in classes of cases are considered neces- predicated. sary, requests for authority to deviate

134 F.R. 5159, Mar. 13, 1969. Redesignated, 36 shall be submitted through administra

F.R. 22981, Dec. 2, 1971) tive channels to the Director of Procurement and Materiel Management, OAS- § 3-1.318 Contracting officer's decision AM, who will consider the submission under a disputes clause. jointly with the General Services Ad

A copy of each contracting officer's ministration (GSA). Where compelling

decision shall be furnished to the concircumstances preclude the obtaining of prior concurrence of GSA, the Director

tractor by certified mail, return receipt of Procurement and Materiel Manage

requested, or in person, obtaining a rement, OASAM, may authorize a devią. ceipt therefor. tion and shall inform GSA of the devia- 137 FR 12797, June 29, 1972) tion including the circumstances under

§ 3-1.318-50 Decision preparation, which it was required.

processing, and modification or with8 3-1.150 Revision.

drawal. When an operating agency deems it

(a) Where a dispute arises under a essential that a regulation set forth in

contract, the contracting officer will preHEWPR be changed in the interest of

pare a final decision pursuant to the program effectiveness, a proposed revi

Disputes Clause of the contract. This sinsion of the regulation may be submitted to the Director of Procurement and Ma

gle document in the format set forth teriel Management, OASAM, for review

in paragraph (b) of this section should and consideration. A detailed statement contain a simple and concise statement of justification shall be attached to each of: (1) The claim, (2) the decision, proposed revision submitted for review. (3) the findings of fact which support

the decision, and (4) the reference to Subpart 3-1.3-General Policies

the Disputes Clause. 8 3~1.302 Procurement sources.

(b) The following format is suggested (36 F.R. 22981, Dec. 2, 1971)

for use by contracting officers in prepar

66-008-76- -2

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