Page images


Subpart 12-1.0—Regulation System

Sec. 12-1.320 Subcontractor gifts and kick

backs. 12-1.351 Contract number prefixes. 12-1.352 Industrial security. 12-1.353 Variation in quantity. 12-1.354 Standards of conduct. 12-1.355 Breakout of component items. 12-1.356 General procurement policy-De

partmental orders.

Sec. 12-1.001 Scope of subpart. 12-1.002 Purpose. 12-1.003 Authority. 12-1.004 Applicability. 12-1.005 Exclusions. 12-1.006-1 Code arrangement. 12-1.006-2 Publication. 12-1.006-3 Copies. 12-1.006-4 Coordination. 12-1.007 Arrangement. 12-1.007-1 General plan. 12-1.007-2 Numbering. 12-1.007-3 Citation. 12-1.008 Implementation. 12-1.009 Deviations. 12-1.009-2 Procedure. 12-1.010 Interagency Procurement Policy


Subpart 12-1.4-Procurement Responsibility

and Authority 12–1.402-50 Contracting officer's repre- .

sentatives. 12-1.450 Responsibility of procurement

personnel to question requirements and reaffirm their validity.

Subpart 12-1.5—Contingent Fees 12–1.508-3 Misrepresentation or violations

of the covenant against contingent fees.

Subpart 12-1.2-Definition of Terms

Subpart 12-1.6—Debarred, Suspended, and

Ineligible Bidders

12–1.204 Head of the agency. 12–1.206 Head of the procuring activity. 12-1.250 Administration. 12–1.251 Procurement office. 12-1.252 Change order. 12-1.253 Supplemental agreement. 12-1.254 Shall. 12-1.255 May.

12-1.602 Establishment and maintenance

of a list of concerns or individuals de

barred, suspended, or declared ineligible. 12-1.604-1 Procedural requirements relat

ing to the imposition of debarment. 12-1.605 Suspension of bidders. 12-1.606 Agency procedure.

Subpart 12-1.3—General Policies 12-1.302–3 Contracts between the Govern

ment and Government employees or business concerns substantially owned

or controlled by Government employees. 12-1.305-3 Deviations from Federal specifi

cations. 12-1.305-50 Index to Federal and Depart

ment of Defense Specifications and

Standards. 12-1.306-1 Mandatory use and application

of Federal Standards. 12-1.307-5 Limitations on use of "brand

name or equal” purchase description. 12-1.311 Priorities, allocations and allot

ments. 12-1.313 Records of contract actions. 12-1.315 Use of liquidated damages provi

sions in procurement contracts. 12-1.315-2 Policy. 12-1.318 Disputes clause. 12-1.318-50 Contracting officer's decision

under the Disputes clause. 12-1.318-51 Agreement after appeal is

filed. 12-1.318-52 Payment after appeal is filed. 12-1.318-53 Implementation of decisions of

the Contract Appeals Board.

Subpart 12–1.7—Small Business Concerns 12-1.701-1 Small business concern (for

Government procurement). 12-1.704 Agency program direction and op

eration. 12-1.704-50 Small business assistance offi

cer. 12-1.704-51 Small business specialists. 12–1.708 Certificate of competency pro

gram. 12–1.708-2 Applicability and procedure. 12-1.750 Procurement set-asides for small

business when an SBA representative is

not available. 12-1.750-1 General. 12-1.750-2 Review of set-aside recommen

dations initiated by small business spe

cialists. 12-1.750-3 Withdrawal or modification of

set-asides. 12-1.750-4 Contracting authority. 12-1.751 Small business set-aside for pro

posed construction procurements.

Subpart 12-1.8—Labor Surplus Area Concerns 12–1.807 Report on preference procure

ment in labor surplus areas.

Subpart 12-1.9-Reporting Possible Antitrust



Subpart 12-1.53—Voluntary Refunds 12-1.5301 General. 12-1.5302 Solicited refunds. 12-1.5303 Disposition of voluntary refunds.

12-1.901 General.

Subpart 12-1.11-Qualified Products 12-1.1150 General. 12-1.1151 Justification for inclusion of

qualification requirements. 12-1.1152 Prior determinations. 12-1.1153 Availability of lists. 12-1.1154 Opportunity for qualification. 12-1.1155 Clarification of qualification re

quirements. 12-1.1156 Procurement of qualified prod

ucts. 12-1.1156-1 General. 12-1.1157 Contract provisions. 12–1.1158 Effect of debarment or suspen

sion. 12-1.1159 Waiver of qualification require

ment. 12-1.1160 Inadequate competition. 12-1.1161 Reporting nonconformance with

specification requirements. 12-1.1162 Misuse of QPL information.

Subpart 12-1.54—Acquisition of Equipment by Lease, Purchase, or Lease With Option To

Purchase 12-1.5401 General. 12–1.5402 Telewriting equipment and office

copying machines. 12–1.5403 Automatic data processing equip

ment. 12-1.5404 Lease/purchase determinations. 12-1.5405 Selecting the method of acquisi

tion. 12-1.5405-1 Purchase method. 12-1.5405-2 Lease-with-option-to-purchase

method. 12–1.5405-3 Lease method. 12-1.5406 Periodic cost comparisons on

leased equipment.

Subpart 12-1.12—Responsible Prospective


12-1.1204 Determination of responsibility

or nonresponsibility. 12-1.1204-1 Requirement.

Subpart 12-1.16—Report of Identical Bids

12-1.1603 Reporting requirement. 12-1.1603-3 Submission of reports.

Subpart 12-1.52—Value Engineering 12-1.5201 Policy. 12-1.5202 Value engineering incentives. 12-1.5202-1 Description. 12-1.5202-2 Use of value engineering incen

tive clause. 12-1.5202-3 Value engineering clauses. 12-1.5202-4 Types of savings to be shared

with the contractor. 12-1.5203 Sharing arrangements. 12-1.5203-1 Sharing rates. 12-1.5203-2 Sharing base. 12-1.5203-3 Sharing period. 12-1.5203-4 Methods of sharing for future

acquisitions. 12-1.5204 Submission and processing. 12-1.5205 Future payment funding and

notice for future acquisition contracts. 12-1.5206 Value engineering program re

quirement. 12-1.5207 Contracting officer decision

check list.

Subpart 12-1.55—Multi-year Procurement 12-1.5500 Scope of subpart. 12–1.5501 Description of multi-year proce

dure. 12-1.5502 Policy. 12-1.5502-1 Principal advantages. 12-1.5502-2 Principal objective. 12–1.5502-3 Cost savings factors to consid

er. 12-1.5502-4 Set-asides. 12-1.5502-5 Multi-year subcontracts. 12-1.5503 Application-criteria. 12-1.5504 Method of solicitation. 12-1.5505 Procedures. 12-1.5505-1 Requirements. 12-1.5505-2 Previous competition. 12-1.5505-3 No previous competition. 12-1.5505-4 Pricing-unit price. 12-1.5505-5 Comparison criteria. 12-1.5505-6 Single year and/or multiyear

award. 12-1.5505-7 Cancellation ceiling. 12-1.5505-8 Schedule provision. 12-1.5505-9 Quantity obligation. 12-1.5506 Establishment and revision of

cancellation ceilings. 12-1.5507 Funds obligation-contingent li.

abilities. 12-1.5508 Payment for cancellation. 12-1.5509 Schedule provision limiting pay

ment obligation. 12-1.5510 Termination for convenience. 12-1.5511 Limitations. 12-1.5512 Evaluation. 12-1.5513 Award. 12-1.5514 Contract clauses. Subpart 12–1.56—Preaward Survey Procedures 12-1.5600 Scope of subpart.


8 12-1.005 Exclusions. 12-1.5601 General. 12-1.5601-1 Need for survey.

(a) Certain Department of Transpor12-1.5601-2 Type of survey.

tation procurement policies and proce12-1.5601-3 Conducting the survey.

dures which come within the scope of 12-1.5601-4 Release of survey information. this Chapter 12 nevertheless may be 12-1.5601-5 Preparation for the survey.

excluded when there is appropriate 12-1.5601-6 On-site survey procedures.

justification, such as: 12-1.5602 Survey report.

(1) Subject matter which bears a se12-1.5602-1 Format. 12-1.5602-2 Standards.

curity classification. 12-1.5603 Guide for on-site evaluation of (2) Policies or procedures which are prospective contractor.

expected to be effective for a period of 12-1.5604 Format for on-site survey report. less than six months.

AUTHORITY: Sec. 205(c), 63 Stat. 389; 40 (3) Policies and procedures which U.S.C. 486(c), 10 U.S.C. 2301-2314.

are effective on an experimental basis SOURCE: 42 FR 45178, Sept. 8, 1977, unless for a reasonable period. otherwise noted.

8 12–1.006-1 Code arrangement. Subpart 12-1.0—Regulation System DOTPR which implement, supple

ment or deviate from the FPR (Chap8 12-1.001 Scope of subpart.

ter 1 of 41 CFR) and have an impact This subpart describes the Depart

upon the public will be published as ment of Transportation Procurement Chapter 12 of 41 CFR. Regulations in terms of establishment, authority, applicability, issuance, ar

§ 12-1.006-2 Publication. rangement, implementation, and sup Chapter 12 of 41 CFR will be pubplementation of the Federal Procure- lished in the FEDERAL REGISTER, in cument Regulations, exclusions, Office mulative form in the Code of Federal of the Federal Procurement Policy

Regulations, and in separate looseleaf Regulations, and deviation procedure. form on blue paper. The looseleaf 8 12-1.002 Purpose.

form is designed to permit interleaf

into the FPR. (a) This subpart establishes Chapter 12, Department of Transportation 8 12-1.006-3 Copies. Procurement Regulations (DOTPR),

Copies of the DOTPR in the FEDERimplementing and supplementing the Federal Procurement Regulations

AL REGISTER and in the Code of Feder(FPR), and states its relationship to

al Regulations may be purchased by the FPR.

Federal agencies and the public, at (b) The FPR, as implemented and

nominal cost, from the Superintendsupplemented by Chapter 12

ent of Documents, Government Print(DOTPR), are the authorized regula

ing Office, Washington, D.C. 20402. tions governing the procurement of

Looseleaf copies of Chapter 12 will be supplies and services (including con

distributed to Department of Transstruction and concessions) and the

portation activities as authorized by procurement of real property by lease,

the Director of Installations and Loby the Department of Transportation. gistics, Office of the Secretary of

Transportation. 8 12–1.003 Authority. The DOTPRs are prescribed pursu

8 12-1.006—4. Coordination. ant to the authority of section 205(c) In the development of the DOTPR, of the Federal Property and Adminis the views of the Operating Administrative Services Act of 1949.

trations of the Department of Trans

portation will be solicited. Public 8 12-1.004 Applicability.

notice of changes or additions to the These regulations apply to all De DOTPR will be published in the FEDpartment of Transportation procure ERAL REGISTER before issuance, when ments, unless otherwise specified.


[ocr errors]
[ocr errors]


[ocr errors]

& 12-1.007 Arrangement.

Issuing organization

Letter suffix $ 12-1.007-1 General plan.

Federal Aviation 12A (i.e., 12A-1.008(b)).

Administration. The DOTPR employ the same num

Coast Guard ..

12B. bering system and nomenclature used Federal Highway 12C. in the FPR, and conform with FEDERAL Administration.

Federal Railroad REGISTER standards approved for the

Administration. FPR, except that material published St. Lawrence Seaway 12E. in looseleaf form which is not pub Development

Corporation. lished in 41 CFR, will be indicated by

Office of the letters “DOT” preceding and fol

Administrative lowing the material.

Operations, OST.
Urban Mass


Transportation 8 12-1.007-2 Numbering.

Administration. (a) Where the DOTPR implement a National Highway

Traffic Safety part, subpart, section, or subsection of

Administration. the FPR, the implementing part, sub Transportation part, section, or subsection of DOTPR Systems Center. will be numbered (and captioned) to correspond to the part, subpart, sec

(c) The Administrations and their tion, or subsection of the FPR.

subordinate organizations shall not (b) Where the DOTPR supplement

issue instructions, including directives, the FPR, the number 50 and up will

regulations, contract forms, contract be assigned to the parts, subparts, or

clauses, policies, or procedures implesections involved.

menting the DOTPR or covering the (c) Where the subject matter con

procurement of supplies or services or tained in a parts, subpart, section, or

the administration of contracts for subsection of FPR requires no imple

such supplies or services, unless permentation, the DOTPR will contain

mitted by one of the following and no corresponding parts, subpart, sec

consistent with paragraph (d) of this tion, or subsection number and the

section: subject matter as published in the

(1) Internal procurement manageFPR governs.

ment instructions such as designations 8 12-1.007-3 Citation.

and delegations of authority, assign

ments of responsibilities, work flow DOTPR will be cited in accordance procedures, and internal reporting rewith FEDERAL REGISTER standards ap

quirements; proved for the FPR. For example, this

(2) Any special contract clause of a section, when referred to in the

non-repetitive nature designed specific DOTPR, may be cited as “12-1.007-3”.

cally to accomplish the peculiar reAny section of these regulations may

quirements of an individual procurebe informally identified for purposes

ment, provided a clause relating to the of brevity, as DOTPR, followed by the subject is not set forth in this regulasection number; i.e., “DOTPR 12

tion; 1.007-3”.

(3) A variation of any contract § 12-1.008 Implementation.

clause which is set forth in this regula

tion but not for use verbatim, provided (a) The DOTPR implement and sup that such variation is not inconsistent plement the FPR. Implementing ma- with the intent, principle and subterial is that which expands upon re- stance of the DOTPR clause or related lated FPR material. Supplementing coverage of the subject matter; material is that for which there is no (4) Procurement procedures specificounterpart in the FPR.

cally identified as being essential for (b) The DOTPR may in turn be im- carrying out the peculiar needs of an plemented and supplemented by regu- Administration when authorized by lations issued by the following, using the head of the agency, or his desigthe letter suffix indicated:

nee, and notification is given to OST/

TAD-60 prior to such authorization $ 12-1.009 Deviations.
for the purpose of determining wheth-
er such procedures should be included § 12-1.009-2 Procedure.
in this regulation;

(a) In the interest of establishing (5) Procurement instructions specifi- and maintaining uniformity to the cally identified as being essential for greatest extent feasible, deviations carrying out the peculiar needs of from the FPR and DOTPR will be auoverseas commands of the Coast thorized only when essential to effect Guard, authorized by the Comman necessary procurement or where spedant of the Coast Guard (or his desig- cial circumstances make such devinee) and notification is given to OST/

ification is given to OST/ ations clearly in the best interest of TAD-60 prior to such authorization

the Government. for the purpose of determining wheth (b) Requests for authority to deviate er such instructions should be includ from the provisions of the FPR or the

DOTPR shall be submitted as far in ed in this regulation; (6) Material determined by OST/

advance as the exigencies of the situa

tion will permit. Each request for deviTAD-60 to be inappropriate for

ation shall contain the following: DOTPR coverage, but appropriate for

(1) A clear statement of the deviinclusion in Administration publica

ation desired, including identification tions.

of the specific paragraph number(s) of (d) Instructions issued in accordance

the FPR or DOTPR, with paragraph (c) of this section shall

(2) The reason why the deviation is not contain material which duplicates,

considered necessary or would be in is inconsistent with, or increases or re

the best interests of the Government, stricts the use of, any authority con

(3) If applicable, the name of the tained in this regulation.

contractor and identification of the (e) Each Administration shall screen contract affected, all existing instructions as well as

(4) A statement as to whether the those subsequently issued pursuant to deviation has been requested previousparagraph (c) of this section and (d) ly and, if so, circumstances of the preabove to assure strict compliance with vious request, this paragraph, and for the purpose of (5) A description of the intended determining if the subject matter is effect of the deviation, appropriate for inclusion in this regu- (6) A statement of the period of time lation.

for which the deviation is needed, and (f) Each Administration shall fur (7) Any pertinent background infor. nish to OST/TAD-60 one copy of each mation which will contribute to a full Administration procurement instruc understanding of the desired devition issued in accordance with para. ation. graph (c) of this section.

(c) Deviations from the FPR and (g) Regulation implementing and DOTPR involving a single contract or supplementing the DOTPR will not be procurement may be authorized by published in the FEDERAL REGISTER. the Administrator of the Federal AviaAny such regulations which are

tion Administration, Federal Highway deemed to have an impact on the gen

Administration, Federal Railroad Aderal public, and any regulations which ministration, St. Lawrence Seaway Deestablish procurement policy, will be

velopment Corporation, Urban Mass reserved for OST publication as

Transportation Administration, NaDOTPR, Chapter 12.

tional Highway Traffic Safety Admin(h) Those FAA Procurement Regula

istration, the Commandant of the tions which supplement the DOTPR,

Coast Guard, and each with the power

of redelegation. For procurements and which are basically instructional

processed by the Transportation Sysin nature, may be retained until they

tems Center and Office of Administraare superseded by comparable materi

tive Operations (OST), deviations may al published by the Office of the Sec

be authorized by the Assistant Secreretary.

tary for Administration, with the

« PreviousContinue »