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Subpart 3-1.3— General Policies

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

Subpart 3-1.4--Procurement Responsibility and

Authority Sec. 3-1.401 Responsibility of the head of the

procuring activity. 9-1.403 Requirements to be met before

entoring into contracts. 8-1.404 Selection, designation, and ter

mination of designation of

contracting officers. 8-1.4041 Selection, 8-1.404-2 Designation. 8-1.404-8 Termination of designation. 3-1.405 Ratification of unauthorized

contract awards. 8-1.406-50 Ratification proceduro. 3-1.451 [Reserved). 8-1.452 Responsibilty of other GOV

ernment personnal. 8-1.452-1 General. 8-1.452-2 Planning for procurement. 8-1.462-3 Precontract support. 2-1.4624 Posta ward contract Adminly

Subpart 3-1.6--Debarred, Suspended, and

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

distribution of a list of concerns 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, sus

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 for

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


Sec. 3-1.708-1 General. 8-1.708-2 Applicabluty and proceduro. 8-1.708-3 Conclusiveness of certificate of

competency. 8-1.713 Contracts with the Small Busi

ness Administration, 8-1.713-1 Authority. 8-1.713-2 Policy. 8-1.719-3 Procurement of supplies, sery

ices, and research and develop

ment. 9-1.718-30 Reporting requirements. 8-1.750 Business opportunity conter

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. 3-1.1203 Minimum standards for

sponsible prospectivo COD

tractors. 3-1.1203-2 Additional standards. 3-1.1204 Determination of responsibility

or nonresponsibility. 8-1.1204–1 Requirement.

Subpart 3-1.16 Reports of Identical Bids 8-1.1603 Reporting requiramonta. 8-1.1603-3 Submission of reports.

Subpart 3-1.52-Safety and Hoalth 8-1.6200 Scope of subpart. 3-1.6201 Gonoral 3-1.5202 Dernition. 3-1.5208 Policy. 8-1.5204 Actions required. 3-1.5206 Contract clauso. Subpart 3–1.53—Considerations in Selecting

Award Instrument - Contract or Grant 8-1.5301 General, 3-1.8302 Applicability. 3-1.6303 Boloction aritaria. 8–1.5303-1 Basto selection criteria. 8–1.5303–3 Secondary selection aritaria. 8-1.5304 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.

83–1.000 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. 2, 1971)

within and outside the United States. Requests 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 88 1–1.009 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

FR 14340, Apr. 23, 1974) 83-1.101 Scope of subpart. 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 inal 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 the

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 avallablo

8 3-1.106 Issuance. to procurement officials, and to the pub- (a) HEWPR Implement, supplement, lic, as applicable.

and in some instances may deviate from,

the FPR. Implementing material is that 8 3-1.103 Authority.

which expands upon or indicates the Tho HEWPR are prescribed 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 and Administrative Services Act of 1949

$ 1-1.009 of the FPR. as amended (40 U.S.C. 486(c)), delegated

(b) Material published in the FPR

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 filled 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) All 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

§ 3-1.107-3 Citation. of Federal Regulations. The FEDERAL 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 cita88 FR 4867, Feb. 20, 1973)

tion is used, this section should be cited 83–1.107 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- § 3-1.108 Implementation. ments into parts, subparts, sections, sub

(a) Procurement policies and procesections, and further subdivisions as necessary.

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 numbers are indicated in that order.

maintaining uniformity to the greatest

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

the FPR or HEWPR shall be kept to a the cost-plus-&-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 3

essary to & 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 oficial 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


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 stait 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 devia. tion and shall inform GSA of the devia. tion 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 8 3–1.302 Procurement sources. (36 F.R. 22981, Dec. 2, 1971)


$ 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 suffi. cient 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 with

drawal. (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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