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Sec. 1-1.1203-2 Additional standards. 1-1.1203–3 Special standards. 1-1.1203-4 Ability to meet certain minimum

standards. 1-1.1204 Determination of responsibility

or nonresponsibility. 1-1.1204-1 Requirement. 1-1.1204-2 Affiliated concerns. 1-1.1205 Procedures for determining re

sponsibility of prospective

contractors. 1-1.1205-1 General. 1-1.1205-2 When information will be ob

tained. 1-1.1205-3 Sources of information. 1-1.1205-4 Preaward surveys. 1-1.1205 Subcontractor responsibility. 1-1.1207 Disclosure of preaward data.

Subpart 1-1.13—Minority Business Enterprises 1-1.1300 Scope of subpart. 1-1.1301-1-1.1309 (Reserved) 1-1.1310 Subcontracting with minority

business enterprises. 1-1.1310-1 General. 1-1.1310–2 Required clauses.

Subpart 1-1.14 [Reserved)

Subpart 1-1.15 (Reserved) Subpart 1-1.16-Reports of Identical Bids 1-1.1801 General. 1-1.1602 Deinitions. 1-1.1603 Reporting requirements. 1-1.1603-1 Cases to be reported. 1-1.1603–2 Preparation of reports. 1-1.1603-3 Submission of reports. 1-1.1604 Supplemental requests by Attor

ney General. 1-1.1605 Information to be obtained from

bidders. 1-1.1605-1 Invitation for bids provision. 1-1.1605–2 Failure to provide information.

Subpart 1-1.17 (Reserved)
Subpart 1-1.18—Postaward Orlontatlon

of Contractors
1-1.1800 Scope of subpart.
1-1.1801 (Reserved]
1-1.1802

Policy. 1-1.1803 Postaward orientation confer

ences. 1-1.1803–1 Factors. 1-1.1803-2 Initial action. 1-1.1803-3 Agenda. 1-1.1803-4 Participants. 1-1.1803–5 Conference procedure. 1-1.1804 Subcontract conferences. 1-1.1805 Reports. 1-1.1806 Postaward letters.

AUTHORITY: The provisions of this part 1-1 Issued under sec. 205(c), 63 Stat. 390; 40 U.S.C. 486(c).

SOURCE: The provisions of this Part 1-1 appear at 29 F.R. 10104, July 24, 1964, unless otherwise noted.

§ 1-1.000 Scope of part.

This part sets forth policies and procedures concerning: the Federal Procurement Regulations System; definition of terms used throughout this chapter; general policies of procurement; contingent fees; debarred and ineligible bidders; small business concerns; labor surplus area concerns; reporting possible antitrust violations; publicizing procurement actions; and qualified products.

Subpart 1-1.0 Regulation System § 1-1.001 Scope of subpart.

This subpart sets forth introductory information pertaining to the Federal Procurement Regulations System; its purpose, authority, applicability, issuance, arangement, implementation, and deviation procedure. § 1-1.002 Purpose.

This subpart establishes the Federal Procurement Regulations System for the codification and publication of uniform policies and procedures applicable to Federal agencies in the procurement of personal property and nonpersonal services (including construction) and the procurement of real property by lease, except as limited by the provisions of § 1-1.004. The system includes regulations prescribed by the Administrator of General Services, called the Federal Procurement Regulations (FPR), as well as individual agency procurement regulations which implement and supplement the FPR. 130 F.R. 8217, June 26, 1966) § 1-1.003 Authority.

The Federal Procurement Regulations System is prescribed by the Administrator of General Services under the Federal Property and Administrative Services Act of 1949, as amended, and the FPR are developed in cooperation with the procurement agencies and are issued by him under the Act or other authority specially cited. § 1-1.004 Applicability.

Federal Procurement Regulations apply to all Federal agencies to the extent specified in the Federal Property and Administrative Services Act of 1949, as amended, or in other law. Except for standard Government forms and clauses, Federal Specifications and Standards, and except as directed by the President, Congress, or other authority, these Regulations are not made manadatory on the Department of Defense. Therefore, the extent of their implementation within the Department of Defense and participation in the System will be determined by that Department. The Regulations apply to procurements made within and outside the United States unless otherwise specified. 8 1-1.004– Leases of real property.

The FPR apply to leases of real property only to the extent explicity stated in specific FPR provisions. Suparts 11.0 and 1-1.2 apply to leases of real property. (30 F.R. 8217, June 26, 1965) & 1-1.005 Exclusions.

Certain Governmentwide policies and procedures which come within the scope of this chapter nevertheless may be excluded from Federal Procurement Regulations. These exclusions include the following categories:

(a) Subiect matter which bears a se curity classification.

(b) Policy or procedure which is expected to be effective for a period of less than six months.

(c) Policy or procedure which is being instituted on a experimental basis for a reasonable period. 81–1.006 Issuance. &1-1.006-1 Code arrangement.

Federal Procurement Regulations are Issued in the Code of Federal Regulations as Chapter I of Title 41, Public Contracts. Succeeding chapters of Title 41 are devoted to implementing and supplementing material developed and issued by particular Federal agencies to govern their procurement activities, as well as regulations of general application to procurement agencies issued by other Federal regulatory agencies, such as the Department of Labor under the WalshHealey Public Contracts Act. 8 1-1.006–2 Publication.

Federal Procurement Regulations are published (in Title 41) in the daily issue of the FEDERAL REGISTER, in cumulated form in the Code of Federal Regulations, and in separate loose-leaf volume form. § 1-1.006–3 Copies.

Copies of Federal Procurement Regulations in Federal Register and Code

of Federal Regulations form may be purchased by Federal agencies and the public, at nominal cost, from the Superintendent of Documents, Government Printing Office, Washington, D.C. 20402. Copies of Federal Procurement Regulations in loose-leaf volume form may be obtained by Federal agencies from the General Services Administration, in a very limited quantity, and may be purchased by the public from the Superintendent of Documents. § 1-1.006–4 Coordination.

In the development of Federal Procurement Regulations, there will be solicited the views of Interested Federal agencies and, where appropriate and feasible, the views of interested business and professional organizations. The Regulations will be coordinated with the Small Business Administration to assure adequate consideration of small business interests. 81-1.007 Arrangement. § 1-1.007-1 General plan.

The general plan, numbering system, and nomenclature used in the Federal Procurement Regulations conform with Federal Register standards approved for the FPR. § 1-1.007–2 Numbering.

The numbering system permits identification of every unit. The first digit represents the chapter number allocated to each agency, followed by a dash. This is followed by the part number which may be one or more digits followed by a decimal point. The numbers after the decimal points represent, respectively, the subpart, section (in two digits), and, after the dash, subsection. paragraph, subparagraph, and further inferior divisions. For example, this division is called (section) "$ 1-1.007-2," in which the first digit denotes the chapter, the second the part, the third the subpart, the fourth and fifth the section and the sixth the subsection. 81-1.007-3 Citation.

Federal Procurement Regulations will be cited in accordance with Federal Register standards approved for the FPR. Thus, this section, when referred to in divisions of the Federal Procurement Regulations, should be cited as "$ 11.007-3 of this chapter.” When this section is referred to formally in official documents, such as legal briefs, it should

be cited as “41 CFR 1-1.007–3." Any section of Federal Procurement Regula. tions may be informally identified, for purposes of brevity, as "FPR” followed by the section number, such as “FPR 1-1.007-3." § 1-1.008 Agency implementation.

As portions of FPR material are prescribed, agencies shall publish in the FEDERAL REGISTER implementing regulations deemed necessary for business concerns, and others properly interested, to understand basic and significant agency procurement policies and procedures which implement, supplement, or deviate from the FPR. Detailed instructions of Interest primarily for internal agency guidance need not be published. Implementing regulations shall be prepared to conform with FPR style and arrangement. & 1-1.009 Deviation. § 1-1.009–1 Description.

As used in these Regulations, the term "deviation” includes any of the following actions:

(a) When a prescribed contract clause is set forth verbatim, use of a contract clause covering the same subject matter which varies from that set forth.

(b) When a standard or other form is prescribed, use of any other form for the same purpose.

(c) Alteration of a prescribed standard or other form, except as may be authorized in the Regulations.

(d) The imposition of lesser or, where the regulation expressly prohibits greater limitations than are imposed upon the use of a contract clause, form procedure, type of contract, or upon any other procurement action, including but not limited to, the making or amendment of a contract, or actions taken in connection with the solicitation of bids or proposals, award, administration, or settlement of contracts.

(e) When a policy or procedure is prescribed, use of any inconsistent policy or procedure. 81–1.009-2 Procedure.

In the Interest of establishing and maintaining uniformity to the greatest extent feasible, deviations from the Federal Procurement Regulations shall be kept to a minimum and controlled as follows:

(a) The head of each agency exercisIng procurement authority shall prescribe a formal procedure for the control of deviations within the agency. A copy of the procedure shall be furnished to the General Services Administration.

(b) In individual cases, deviations may be authorized by the head of the agency or the officers designated by him for this purpose, in accordance with procedures established by the agency. In each instance the file shall disclose the nature of the deviation and the reasons for such special action.

(c) Deviations in classes of cases shall be considered on an expedited basis jointly by the agency desiring the deviation and the General Services Administration unless, in the considered judgment of the agency and with due regard to the objective of uniformity, circumstances preclude such joint effort. In such case, GSA will be notified of the deviation.

(d) Except as otherwise authorized, when any deviation in a contract form provision is authorized, physical change may not be made in the printed form but shall be made by appropriate provision in the schedule, specifications, or continuation sheet, as provided in agency procedures. 1-1.010 Interagency Procurement Pol

icy Committee. For the purpose of advising and assisting the General Services Administration in its Government-wide program for the development of uniform procurement policies and procedures, an Interagency Procurement Policy Committee, chaired by GSA, has been established. It is comprised of representatives of procurement and related Federal agencies designated by the heads of the agencies concerned. 130 F.R. 9766, Aug. 5, 1965)

Subpart 1-1.1 [Reserved) Subpart 1-1.2-Definition of Terms & 1-1.201 Definitions.

For the purposes of this chapter, and unless otherwise indicated, the following terms have the meanings set forth in this subpart. 81–1.202 Executive agency.

"Executive agency" means any executive department (including the Departments of the Army, the Navy, and the

Air Force) or any independent establish transactions resulting from acceptance ment in the executive branch of the of offers by awards or notices of awards; Government, including any wholly agreements and job orders or task letters owned Government corporation.

Issued thereunder; letter contracts; f1-1.203 Federal agency.

letters of intent; and orders, such as pur

chase orders, under which the contract "Federal agency" means any executive

becomes effective by written acceptance agency or any establishment in the legis

or performance. It also includes conlative or judicial branch of the Govern

tract modifications. ment (except the Senate, the House of

§ 1-1.209 Procurement. Representatives, and the Architect of the Capitol and any activities under his "Procurement" means the acquisition direction).

(and directly related matters), from 8 1-1.204 Head of the agency.

non-Federal sources, of personal prop

erty and nonpersonal services (includ“Head of the agency" means the Sec ing construction) by such means as purretary, Attorney General, Postmaster chasing, renting, leasing (including real General Administrator, Governor, property), contracting, or bartering, but Chairman, or other chief official of an not by seizure, condemnation, donation, executive agency, unless otherwise in or requisition. dicated, including any assistant chief

(30 F.R. 8217, June 26, 1965) official of an executive agency and, for the military departments, the Under § 1-1.210 (Reserved) Secretary and any Assistant Secretary of § 1-1.211 (Reserved) the Departments of the Army, Navy, and

§ 1-1.212 Air Force.

[Reserved)

§ 1-1.213 [Reserved] 81–1.205 Procuring activity.

§ 1-1.214 [Reserved) "Procuring activity" means the organizational element of an executive

§ 1-1.215 Government instrumentality. agency which has responsibility to con "Government instrumentality” means tract for the procurement of personal any of the following: property and nonpersonal services (in (a) An instrumentality of the U.S. cluding construction).

Government. 81–1.206 Head of the procuring ac

(b) An agency or instrumentality of a tivity.

State or local government thereof, pos

session, or Puerto Rico. “Head of the procuring activity"

(c) An agency or instrumentality of a means that oficial, intermediate between

foreign government. the head of the agency and the contracting officer, who has the responsibil

§ 1-1.216 United States. ity for supervision and direction of the "United States", when used in a geoprocuring activity.

graphic sense, means the States and the § 1-1.207 Contracting officer.

District of Columbia. "Contracting officer" means an official § 1-1.217 Possessions. designated to enter into or administer "Possessions" includes the Virgin Iscontracts and make related determina lands, the Canal Zone, Guam, American tions and findings.

Samoa, Wake Island, Midway Island, 81-1.208 Contract.

and the guano Islands, but does not in"Contract” means establishment of a ciude the Commonwealt

clude the Commonwealth of Puerto Rico. binding legal relation basically obligat- $ 1-1.218 Negotiation. ing the seller to furnish personal prop- "Negotiation" means the procedure for erty or nonpersonal services (including

making contracts without formal adver. construction) and the buyer to pay therefor. It includes all types of commitments which obligate the Govern

§ 1-1.219 Contract modification. ment to an expenditure of funds and “Contract modification" means any which, except as otherwise authorized, written alteration in the specifications, are in writing. In addition to a two- delivery point, rate of delivery, contract signature document, it includes all period, price, quantity, or other contract

tising.

provision of an existing contract, whether accomplished by unilateral action in accordance with a contract provision or by mutual action of the parties to the contract. It includes (a) bilateral actions, such as supplemental agree. nients and amendments, and (b) unilateral actions, such as change orders, notices of termination, and notices of the exercise of an option. 8 1-1.220 Procurement item.

“Procurement item" means any personal property or nonpersonal service, including construction, alteration, repair, or installation, which is the object of procurement.

Subpart 1-1.3-General Policies § 1-1.301 Methods of procurement. & 1-1.301-1 Competition.

All purchases and contracts, whether by formal advertising or by negotiation, shall be made on a competitive basis to the maximum practicable extent. 8 1-1.301–2 Formal advertising.

Contracts for property and services shall be made by formal advertising in all cases in which the use of such method is feasible and practicable under the existing conditions and circumstances. Procurement by formal advertising shall be in accordance with detailed requirements and procedures set forth in Part 2 of this chapter. § 1-1.301–3 Negotiation.

If the use of formal advertising is not feasible and practicable, purchases and contracts for property and services may be negotiated in accordance with the detalled requirements and procedures set forth in Part 3 of this chapter. § 1-1.302 Procurement sources. § 1-1.302–1 General.

(a) Before taking procurement action, in accordance with this chapter, agencies shall have compiled with applicable laws and regulations relative to obtaining supplies or services from Government sources and from contracts of other Gov. ernment agencies. These include excess and surplus stocks in the hands of any Government agency, Federal Supply Schedules, General Services Administration Stores Stock, Federal Supply Serv. Ice Consolidated Purchase Programs,

Federal Prison Industries, Inc., and National Industries for the Blind.

(b) Irrespective of whether the procurement of supplies or services from sources outside the Government is to be effected by formal advertising or by negotiation, competitive proposals (“bids" in the case of procurement by formal advertising, “proposals" in the case of procurement by negotiation) shall be solicited from all such qualified sources as are deemed necessary by the contracting officer to assure such full and free competition as is consistent with the procurement of types of supplies and services necessary to meet the requirements of the agency concerned. 8 1-1.302–2 Production and rescarch

and development pools. (a) Description. A production or research and development pool is a group of concerns (1) which have associated together for the purpose of obtaining and performing jointly, or in conjunction with each other, contracts for supplies or services, or for research and development, for defense use or to effectuate the purposes of the Small Business Act; (2) which have entered into a pool agreement governing their organization, relationship, and procedure; and (3) whose agreement has been approved either in accordance with section 708 of the Defense Production Act of 1950, as amended (Defense Production Pool), or in accordance with sections 9(d) or 11 of the Small Business Act (Small Business Pool). Pool participants are exempt from the "manufacturer or regular dealer" requirement of the WalshHealey Public Contracts Act. (See subpart 1-12.6.)

(b) General rule. Except as provided in this § 1-1.302-2, a pool shall be treated for purposes of Government procurement on exactly the same basis as any other prospective or actual contractor.

(c) Ascertainment of status. The contracting officer is responsible for ascertaining whether a group of firms seeking to do business with the Government is a pool. In ascertaining the status of a group representing that it is a pool, contracting officers may rely on a copy of the Small Business Administration (SBA) or the Office of Emergency Planning (OEP) notification of approval of the pool. If the contracting officer has any question as to whether a given pool has been approved, he shall consult the

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