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Subpart 11-1.8—Labor Surplus Area Concerns Sec. 11-1.807 Report on preference procure

ment in labor surplus areas. Subpart 11-1.9-Reporting Possible

Antitrust Violations 11-1.901 General.

PART 11-1-GENERAL

Subpart 11-1.0—Regulation System Sec. 11-1.001 Scope of subpart. 11-1.002 Purpose. 11-1.003 Authority. 11-1.004 Applicability. 11-1.005 Exclusions. 11-1.006 Issuance. 11-1.006-1 Code arrangement. 11-1.006-2 Publication. 11-1.006–3 Copies. 11-1.007 Arrangement. 11-1.007-1 General plan. 11-1.007-2 Numbering. 11-1.007–3 Citation. 11-1.008 Coast Guard implementation and

supplementation of FPR. 11-1.009 Deviations. 11–1.009–1 Description. 11-1.009-2 Procedure.

Subpart 11-1.3-General Policies 11-1.301-1 Competition. 11-1.302–3 Contracts between the Govern

ment and Government employees or business concerns substantially owned or controlled by Government em

ployees. 11-1.305-6 Military and departmental speci

fications. 11-1.305-50 Procurement of specifications,

qualified products lists and

standards. 11-1.311 Priorities, allocations, and allot

ments. 11-1.313 Records of contract actions. 11-1.315 Use of liquidated damages pro

visions in procurement con

tracts. 11-1.317 Noncollusive bids and proposals. 11-1.318 Contracting officer's decision

under a disputes clause. 11-1.320–50 Reporting possible violations. 11-1.350 Patents. 11-1.351 Variation in quantity. 11-1.352 Industrial security.

Subpart 11-1.5—Contingent Fees 11-1.508 Enforcement. 11-1.508–2 Failure or refusal to furnish

Standard Form 119. 11-1.508–3 Misrepresentations or violations

of the covenant against con

tingent fees. Subpart 11-1.6--Debarred and Ineligible Bidders 11-1.606 Agency procedures.

Subpart 11-1.7—Small Business Concerns 11-1.708–2 Applicability and procedure. 11-1.708-3 Conclusiveness of certificate of

competency. 11-1.709 Records and reports. 11-1.750 Total class set-asides.

Subpart 11-1.10—Publicizing Procurement

Actions 11-1.1050 Publicizing award information.

Subpart 11-1.11—Qualified Products 11-1.1150 General. 11-1.1151 Procurement of qualified prod

ucts when inadequate com

petition exists. Subpart 11-1.16— Report of identical Bids 11-1.1603-3 Submission of reports.

Subpart 11-1.50—Options 11–1.5000 Scope of subpart. 11-1.5001 Definition. 11–1.5002 Applicability. 11-1.5003 Procedures. 11–1.5004 Exercise of options. 11–1.5005 Examples of option clauses. Subpart 11-1.51—Novation Agreements and

Change of Name Agreements 11-1.5101 Scope of subpart. 11-1.5102 Definition. 11-1.5103 Agreement to recognize a succes

sor in interest. 11-1.5104 Agreement to recognize change of

name of contractor. 11-1.5105 Procedures. 11-1.5106 Sample letter requesting issuance

of change order. 11-1.5107 Sample change order format. Subpart 11-1.0—Regulation System

AUTHORITY: The provisions of this Subpart 11-1.0 issued under 14 U.S.C. 633, 10 U.S.C. 137; Federal Property and Administrative Services Act of 1949.

SOURCE: The provisions of this Subpart 11-1.0 appear at 31 F.R. 14356, Nov. 8, 1966, unless otherwise noted. § 11-1.001 Scope of subpart.

This subpart describes the Coast Guard Procurement Regulations in terms of establishment, authority, applicability, issuance, arrangement implementation and supplementation of FPR, exclusions, deviations and other Coast Guard Procurement Instructions. § 11-1.002 Purpose.

(a) This subpart establishes this Chapter 11, Coast Guard Procurement

Regulations (CGPR), implementing and well as procurement functions and there supplementing the Federal Procurement

is need to make the issuance available Regulations, and states its relationship simultaneously to all Coast Guard emto the Federal Procurement Regulations ployees concerned. and to other laws and regulations gov

(5) Where speed of issuance is essenerning Coast Guard procurement. Cer

tial, numerous changes are required in tain portions of CGPR may contain

this Chapter 11, and all necessary cross-references to the Armed Services changes cannot be made promptly. Procurement Regulation (ASPR) for

(b) Procurement policies and procepurposes of guidance or in order to in- dures issued in other than the FPR Syscorporate by reference material in the tem format under paragraph (a) (4) and ASPR into CGPR.

(5) of this section will be codified into (b) This subpart establishes the Fed

this Chapter 11 at the earliest practicable eral Procurement Regulations, as imple

date, but in any event not later than 6 mented and supplemented by this months from date of issuance. Chapter 11 (Coast Guard Procurement § 11-1.006 Issuance. Regulations), as the authorized regula

$ 11-1.006-1 Code arrangement. tions governing the procurement of supplies and services (including con

Coast Guard Procurement Regulations struction) by the Coast Guard from ap

which implement, supplement or deviate propriated funds, effective July 1, 1963.

from the Federal Procurement Regula

tions, Chapter 1 of this Title 41 of the § 11-1.003 Authority.

Code of Federal Regulations, will be pubThe Coast Guard Procurement Reg- lished as this Chapter 11 of this Title 41, ulations (CGPR) are prescribed pur

Code of Federal Regulations. suant to the authority of 14 U.S.C. 633,

§ 11-1.006-2 Publication. Chapter 137 of Title 10 of the United States Code and the Federal Property

This Chapter 11 of this Title 41, Code and Administrative Services Act of 1949.

of Federal Regulations will be published

in the daily issues of the FEDERAL REG8 11-1.004 Applicability.

ISTER, in cumulated form in the Code of The regulations in this subpart apply

Federal Regulations, and in separate to Coast Guard procurement made with

looseleaf form. in and outside the United States unless

§ 11-1.006–3 Copies. otherwise specified. Pending publication of implementing and supplementing

Copies of the Coast Guard Procureinstructions in this Chapter 11, and can

ment Regulations in the FEDERAL REGcellation of existing Coast Guard pro

ISTER and the Code of Federal Regulacurement regulations, the procedures and

tions form may be purchased by Federal regulations previously established, when

agencies and the public, at nominal cost not in conflict with FPR, will be used.

from the Superintendent of Documents, Government Printing Office, Washington,

D.C. 20402. Looseleaf form copies of $ 11-1.005 Exclusions.

this Chapter 11 will be distributed to (a) Certain Coast Guard procurement Coast Guard activities as authorized by policies and procedures which come Coast Guard Headquarters. within the scope of this Chapter 11

§ 11-1.007 Arrangement. nevertheless may be excluded therefrom when there is justification therefor. § 11-1.007-1 General plan. These exclusions may include the fol- The Coast Guard Procurement Regulowing categories:

lations employ the same numbering (1) Subject matter which bears a se

system and nomenclature used in the curity classification.

Federal Procurement Regulations and (2) Policies or procedures which are conform with FEDERAL REGISTER standexpected to be effective for a period of ards approved for the FPR, except, that less than 6 months.

material published in looseleaf form for (3) Policies or procedures which are

use only by Coast Guard activities which effective on an experimental basis for is not published in this Title 41, Code of a reasonable period.

Federal Regulations will be indicated by (4) Policies and procedures pertaining the letters “CG” preceding and following to other functions of the Coast Guard as the material.

§ 11-1.007–2 Numbering.

this title (FPR) shall be regarded as a

deviation only if explicitly referenced to (a) This Chapter 11 has been allo

be a deviation. cated to the Coast Guard for implement

means (b) Supplementation

CGPR ing and supplementing Chapter 1 of this Title 41 CFR, the Federal Procurement

coverage of matters which have no Regulations.

counterpart in the FPR. (b) Where the GCPR implements a § 11-1.009 Deviations. part, subpart, section, or subsection of

8 11-1.009–1 Description. the FPR, the implementing part, subpart, section, or subsection of CGPR will

See FPR 1-1.009–1. be numbered (and captioned) to corre

§ 11-1.009-2 Procedure. spond to the part, subpart, section, or subsection of Chapter 1 of this Title 41

In the interest of establishing and CFR, the FPR.

maintaining uniformity to the greatest (c) Where the CGPR supplements the

extent feasible, deviations from the FPR FPR, the numbers 50 and up will be

and CGPR shall be kept to a minimum assigned to the parts, subparts, or sec

and controlled as follows: tions involved.

(a) In individual cases, deviations (d) Where the subject matter con

from the FPR and CGPR may be autained in a part, subpart, section, or

thorized by the Commandant (FS), dissubsection of FPR requires no imple

trict commander and commanding ofmentation, the CGPR will contain no

ficers of Headquarters units (having corresponding part, subpart, section, or

contracting authority), unless otherwise subsection number and the subject

provided. This authority may not be matter as published in the FPR governs.

redelegated.

(1) A supporting statement for each $ 11-1.007–3 Citation.

individual deviation, which indicates Coast Guard Procurement Regulations briefly the nature of the deviation and will be cited in accordance with FEDERAL

the reasons for such special action shall REGISTER standards approved for the

be included in the contract file. FPR. Thus this section, when referred (2) A copy of the supporting stateto in divisions of the Coast Guard Pro

ment for each individual deviation shall curement Regulations, should be cited as

be forwarded to the Commandant (FS). "§ 11-1.007–3 of this chapter.” When

(b) In classes of cases, requests for this section is referred to formally in

deviations from the FPR and the CGPR official documents, such as legal briefs,

shall be forwarded in triplicate to the it should be cited as “41 CFR 11-1.007–3."

Commandant (F), and shall be accomAny section of the Coast Guard Procure

panied by an appropriate supporting ment Regulations may be informally

statement. Request will be considered identified, for purposes of brevity, as

on an expedited basis, and appropriate CGPR followed by the section number,

coordination with Headquarters staff and .e., “CGPR 11-1.007-3."

operating divisions will be obtained.

Requests involving the FPR will be con8 11-1.008 Coast Guard implementation

sidered jointly by the Coast Guard and and supplementation of FPR.

the General Services Administration, The Coast Guard Procurement Regu- unless, in the judgment of the Comlations “implement” and “supplement” mandant (F), after due consideration the FPR. The meaning of these terms of the objective of uniformity and proincludes the following:

gram responsibilities of the Coast Guard, (a) Implementation means a part, circumstances preclude such joint effort. subpart, section, etc., which treats the in such cases, the Commandant (F) will policies and procedures of a similarly

approve such class deviations as he denumbered portion of the FPR in greater termines necessary and will appropridetail or indicates the manner of com- ly notify the General Services pliance, including any deviations. How- Administration. ever, material in this Chapter 11 which differs from material in Chapter 1 of Subpart 11-1.1 [Reserved]

Subpart 11-1.3—General Policies $ 11-1.305–6 Military and departmental

specifications. AUTHORITY: The provisions of this Subpart 11-1.3 issued under 14 U.S.C. 633, 10 Military specifications are mandatory U.S.C. Ch. 137.

for Coast Guard use in the procurement $ 11-1.301-1 Competition.

of the items, materials, or services so

covered, except that the exemptions for In addition to the requirements of

Federal Specifications in § 1-1.305–2 are § 1-1.301-1, the purchases and contracts

equally applicable to the mandatory use referred to therein are inclusive of end

by the Coast Guard of Military Specifiproducts (including services) and com

cations. ponent items of such end products susceptible to separate advertised procure

(CGFR 64–76, 29 F.R. 16252, Dec. 4, 1964) ment when such procurement is determined to be both economical and f 11-1.305–50 Procurement of specifi. practicable. In taking the required

cations, qualified products lists and screening action for all purchases and

standards. contracts, Coast Guard contracting of- Procurement of indexes, specifications, ficers shall include a review and deter- standards and handbooks will be effected mination as to areas wherein substantial in accordance with instructions conprocurement of component items ap- tained in the Department of Defense Inpears to be a part of the end product dex of Specifications and Standards and covered by purchase request. These the Index of Federal Specifications, areas should be further reviewed from Standards and Handbooks. Initial disa competitive procurement point of view, tribution of new or revised indexes to aureferred to the technical personnel re- thorized Coast Guard units will be sponsible for the procurement request, effected by Coast Guard Headquarters. and a further determination made as to the feasibility of separate procure

(CGFR 64–76, 29 F.R. 16253, Dec. 4, 1964) ment action for component items where justified on the basis of being both eco

§ 11-1.311 Priorities, allocations, and nomical and practical. The advice re

allotments. ceived from the interested technical personnel should be carefully considered

Priority and allocation ratings will be in view of possible controlling factors

assigned in accordance with procedures that procurement personnel are not

set forth in Chapter 3B19 of the Compaware of.

troller Manual. The contract clause set (CGFR 65–21, 30 F.R. 12249, Sept. 24, 1965)

forth below shall be inserted in all rat

able contracts whether entered into by $11-1.302-3 Contracts between the formal advertising or negotiation, except

Government and Government em- that no such clause need be included in ployees or business concerns substan

purchase orders of less than $5,000. tially owned or controlled by Government employees.

PRIORITIES, ALLOCATIONS, AND ALLOTMENTS When a contracting officer has reason

The Contractor agrees, in the procurement to believe that an exception as described

and use of materials required for the per

formance of this contract, to comply with the in § 1-1.302–3 should be made, approval

provisions of all applicable rules and reguof the decision to make such an excep- lations of the Business and Defense Services tion for any such contract must be ob- Administration including Defense Material tained from Commandant (F).

Systems Regulations. (CGFR 65–39, 30 F.R. 13440, Oct. 22, 1965) (CGFR 64-44, 29 F.R. 12924, Sept. 15, 1964)

:

§ 11-1.313 Records of contract action. (10) All price and cost data submitted (a) Each contract file shall contain

or used, including Certificate of Current

Cost or Pricing Data (see $ $ 1-2.102(b), documentation of actions taken with

1-3.807–3 and 1-3.807–4, of this title); respect to the contract, including final

(11) A full record of negotiations, indisposition, sufficient to constitute a full

cluding but not limited to history of the transaction which will per

(i) Participants; mit ready reconstruction of all of the

(ii) Dates of meetings or phone calls; stages of the transaction to: (1) Support actions taken by various

(iii) Government-furnished materials personnel in the procurement cycle;

or facilities provided;

(iv) Subcontracting; (2) Provide information for reviews

(v) Terms and conditions agreed to; conducted by organizaticnal components of units concerned, the General Account

(vi) Deviations, if any, from pre

scribed contract clauses; ing Office, or others; (3) Supply data for use in preparing

(vii) Technical recommendations;

and replies to congressional inquires; and (4) Furnish essential facts in the

(viii) Justification for final price;

(12) Justification for type of contract event of litigation. To the extent that retained copies of documents do not rep

used (see § 1-3.403 of this title); resent all actions taken, suitable memo

(13) Any exceptions or exemptions

from the Buy American Act (see Parts randa or summary statements of undocumented actions should be prepared

1-6, of this title and 11-6 of this chap

ter); promptly and be retained in the contract file in chronological order.

(b) Each contract file shall include the (14) A copy of contract award; following data, in the appropriate order (15) Required approvals of contract; and to the extent applicable:

(16) All pertinent correspondence; (1) A copy of the procurement request; (17) Copies of all change orders, and

(2) The original or a copy of the De- supplements, with supporting documents; termination and Findings statement and (18) Comprehensive termination data; justifications for authority to negotiate (19) Copies of royalty reports received (see Subpart 11-3.3 of this chapter); (see $ 1-15.107 of this title);

(3) The list of sources solicited or jus- (20) Final release upon completion of tification for limiting such sources and the contract; a list of any firms or persons whose requests for copies of the solicitation were denied, together with the reasons for (21) Evidence of legal review where denial;

required, and copy of comments, if any, (4) Any small business or labor sur- made by legal counsel; and plus set-aside determinations (see $ $ 1- (22) Any additional documents con1.706, 1–1.804 of this title and § 11-1.750 sidered necessary to present a complete of this chapter).

résumé of the contract action. (5) A copy of the invitation for bids (c) Complete record of all advertised or the request for proposals, including and negotiated contract action, will be the drawings and specifications or an preserved in the cognizant procuring acidentifiable reference thereto;

tivity concerned for a period of time as (6) All bids or proposals received with stipulated in Enclosure (4) General Recan abstract thereof;

ords Schedule to Commandant Instruc(7) The bidders' Statement of Contin- tion 5212.1 (latest issuance). gent Fees (see § 1-1.507 of this title);

(d) The original of each rejected pro(8) All preaward surveys (see $ 1- posal (bid and quotations) will be at1.310-9 of this title);

tached to the copy of the related contract (9) Selection of the successful con- retained for the contract files. Where tractor, including

all bids and quotations are rejected and (i) The reasons for selection;

no award is made, the original of each (ii) The contracting officer's deter- rejected proposal will be filed with the mination of the contractor's responsibil- related solicitation under which the proity (see § 1-1.310–6 of this title), and; posals were received. (iii) Any Small Business Administra

(e) This § 11-1.313 does not apply in tion Certificate of Competency (see § 1

the case of small purchases. 1.708 of this title);

(CGFR 65–58, 31 F.R. 3184, Feb. 26, 1966)

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