shall be described in general terms and brand names, makes and/or model names or numbers shall be avoided wherever possible.

(2) Specialized supply, equipment, furniture and service requirements. At least six months prior to the beginning of each fiscal year an itemized listing of anticipated specialized supply, equipment, furniture and service repuirements shall be submitted to the appropriate procurement office for planning purposes. The listing shall include estimated total quantities or efforts and anticipated required delivery dates. Each item listed shall be described in synopsis form sufficient for publicizing in the Commerce Business Daily. (See S 1-1.1003-1.)

(3) Heads of affected procuring activities may waive the reporting requirements contained in this Section for specific procurements or for specified classes of procurements where unusually short procurement lead-time or other extraordinary circumstances exist.

(4) Except where reporting requirements have been waived in accordance with paragraph (a)(3) of this section, requisitions containing procurement needs which are additional to those listed in the procurement plans submitted under the requirements of paragraphs (a) (1) and (2) of this section shall be accompanied by narrative justification explaining why those needs were not or could not have been included in the procurement plans. Such requests shall be submitted to the appropriate procurement office through an official designated by the head of the departmental office or operating unit.

(b) Each departmental office and/or operating unit should develop and issue implementing procedures to provide for collection of procurement planning data from all subordinate organizations in order to accommodate timely submission of the required reports.

§ 13-1.450-4 Planning for major systems acquisitions.

(a) Upon approval of a mission need by the Secretary (See DAO 208-3 and OMB Circular A-109) the Department's Acquisition Executive shall des

ignate the procurement office which will provide procurement support throughout all phases of that major systems acquisition process. (See DOC PR 13-4.50.)

(b) Upon notification of the designation of a supporting procurement office, the program manager shall, within 60 days, contact that procurement office for assistance in developing an overall procurement plan to be submitted to the acquisition executive for approval. The overall procurement plan shall include a schedule for completion of at least each of the following functions for each of the major systems acquisition procurement phases (i.e. exploration of alternative systems, competitive demonstrations, full-scale development and production):

(1) Development of a solicitation in terms of mission need.

(2) Advance publicity for the initial, exploration phase.

(3) Issuance of Requests for Proposals (RFP's).

(4) Closing dates for RFP's. (5) Evaluation and award.

(c) All changes in the overall procurement plan shall be submitted by the program manager to the acquisition executive along with a narrative explanation of the necessity for each change.

§ 13-1.450-5 Precontract support.

After submission of the requirement to the procurement activity, program personnel must continue to support the procurement process by providing advice and assistance to the contracting officer in activities such as:

(a) Formulation of procurement schedules.

(b) Conduct of presolicitation or prebid/preproposal briefings of pro

spective contractors.

(c) Conduct of preaward surveys to determine contractor responsibility.

(d) Evaluation of technical and business proposals submitted by contractors, including requests for Government-furnished facilities and equip

ment.

(e) Development or evaluation and documentation of plans, procedures, and contract provisions relating to

quality control, inspection, test data, patent data and acceptance of products or services.

(f) Establishment of contract requirements concerning packing, packaging, marking, inspection, point of acceptance, and shipment of products.

§ 13-1.450-6 Postaward contract administration.

(a) Upon execution of the contract by the contracting officer and the contractor, the mutual obligations of the Government and the contractor are established by and limited to the written stipulations in the contract instrument. Unless authorized by the contracting officer, program or technical personnel shall not direct or request the contractor to assume any obligation or take any action not specifically stated in the contract. Only the contracting officer may impose on the contractor any requirement which will result in a change to the contract. All contract changes must be directed in writing or confirmed in writing by the contracting officer.

(b) The role of program, technical, and other personnel in postaward administration of the contract is to assist or advise the contracting officer (or act as his representative when so designated by the contracting officer) in activities such as:

(1) Conduct of conferences to ensure mutual understanding between the Government and the contractor as to the scope of the contract, technical and business requirements, and the rights and obligations of the parties.

(2) Technical liaison during contract performance and matters relating to product delivery, acceptance, or rejection.

(3) Evaluation of contractor performance, evaluation of reports and data, subcontract management, utilization of facilities and equipment, cost control, etc.

(4) Contractor systems and procedures evaluation; including accounting policies and procedures, purchasing policy and practices, property accounting and control, wage and salary plans and rate structures, personnel policies and practices, etc.

(5) Modification, renewal, or termination of the contract.

(6) Processing of final decisions under the disputes clause and appeals therefrom.

Subpart 13-1.6-Debarred, Suspended and Ineligible Bidders

AUTHORITY: Sec. 205(c), 63 Stat. 390 as amended (40 U.S.C. 486(c)).

SOURCE: 48 FR 1057, Jan. 10, 1983, unless otherwise noted.

§ 13-1.600 Scope of subpart.

This subpart prescribes the Department of Commerce DOC) policy and procedures for: (a) Distribution, use, and maintenance of GSA's consolidated Government-wide list of debarred, suspended and ineligible contractors, and (b) debarment and suspension of Government contractors.

§ 13-1.601 Policy.

(a) It is the policy of DOC to solicit bids and proposals only from, award contracts to, and approve or consent to subcontracts with, responsible business concerns and individuals. Debarment and suspension are discretionary actions which, when accomplished in accordance with these procedures, are appropriate means to effectuate this policy.

(b) Due to the serious nature of debarment and suspension, they will be imposed only to protect the Government's interest (not for purposes of punishment), and only for the causes referenced in this subpart.

§ 13-1.602 Definitions.

Refer to § 1-1.602 of Temporary Regulation 65 which is incorporated into this subpart.

§ 13-1.603 Establishment, maintenance and distribution of the consolidated Government-wide list of debarred, suspended, and ineligible contractors, and maintenance of agency records.

§ 13-1.603-1 Consolidated list of debarred, suspended and ineligible contractors. (a) Section 1-1.603-1 (a) of Temporary Regulation 65, which is incorporated into this subpart, requires GSA to compile and maintain a current, consolidated list of contractors de

barred, suspended, or declared ineligible by agencies or by the General Accounting Office (GAO), and to revise and distribute the list to agencies and the GAO.

(b) For the purpose of the requirements of § 1-1.603-1 (b)(1) through (4) which are also incorporated into this subpart:

(1) The Executive Director for Operations (referred to as the Executive Director throughout the remainder of this subpart) is responsible for notifying GSA of any DOC imposed debarments or suspensions of a contractor, or modifications or rescissions of these actions.

(2) The consolidated list will be distributed to procurement activities by the Office of Small and Disadvantaged Business Utilization.

(3) Preliminary inquiries concerning additional information desired on contractors included on the consolidated list shall be made by the respective reviewing procurement official directly to the agency or other authority that took the action. Unique or complex situations should be elevated to the Department's Procurement Policy Division within the Office of Procurement Services (OPS), and eventually to the Executive Director, as felt necessary.

(4) All procurement officials are responsible for familiarity with, and review of, the consolidated Government-wide list of contractors debarred, suspended or declared ineligible. Review of the continuing updates of the list is necessary to ensure that DOC solicits bids or offers from, performs pre-award surveys of, continues existing contracts with, and renews contracts or approves subcontracts for, only responsible business concerns and individuals.

§ 13-1.603-2 Agency records.

The minimum record requirements pertaining to each contractor debarred or suspended by DOC are incorporated into this subpart as contained in § 11.603-2 of the Temporary Regulation. These records shall be maintained for the Executive Director by the Office of Procurement Services.

(a) Actions after August 30, 1982. If a listed contractor has been debarred or suspended by another agency based on policies and procedures in effect after August 30, 1982, that contractor will be excluded from receiving DOC contracts, and DOC procurement officials shall not knowingly solicit offers from, award contracts to, renew or otherwise extend the duration of an existing contract with, or consent to subcontracts (which require Government approval) with these contractors, unless the Executive Director determines, in writing, that there is a compelling reason for such action.

In the event a procurement official identifies a prospective contractor or subcontractor (involved with a subcontract subject to Government consent) as being debarred or suspended on the consolidated list, and initially determines that there are compelling reasons for soliciting offers from or awarding contracts to this firm, the specific reasons supporting this determination shall be prepared by the chief of the procurement activity, in writing, and, after review by the Office of the Assistant General Counsel for Administration, submitted to the Executive Director for a decision. The Executive Director shall make a decision on the request within 30 working days of receipt. No contract solicitation, award, renewal or extension action shall be initiated unless, and until, the Executive Director has determined in writing that compelling reasons warrant such action.

(b) Actions prior to August 30, 1982. If a contractor has been debarred or suspended by DOC in accordance with policies and procedures in effect prior to August 30, 1982, that contractor shall be afforded the same treatment as explained in § 13-1.604-1(a). If a contractor has been debarred or suspended by another agency in accordance with policies and procedures in effect prior to August 30, 1982, there is no accompanying requirement for Government-wide debarment or suspension. Nevertheless, procurement

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officials within the Department shall consider such actions in determining contractor responsibility, and may recommend that debarment or suspension procedures be initiated based on the original action in accordance with § 1-1.605-2(d) and 1-1.606-2(d) of the Temporary Regulation which are incorporated into this subpart.

(c) Ineligible contractors. The identification of ineligible contractors on the consolidated list will include specific information concerning the treatment to be accorded these contractors. Contractors declared ineligible on the basis of statutory or other regulatory procedures shall be excluded from receiving contracts and, if applicable, subcontracts, under the conditions and for the period set forth in the statute or regulation. Procurement officials shall not solicit offers from, award contracts to, renew or otherwise extend the duration of an existing contract with, or consent to subcontracts with these contractors under those conditions and for that period. No waiver procedures exist which enable the Department to accord ineligible contractors treatment other than that specifically contained in the consolidated list.

§ 13-1.604-2 Review procedures.

Prior to initiating a pre-award survey or any procurement action set forth in § 13-1.604-1, the appropriate procurement officials shall review the consolidated list. If the prospective contractor or subcontractor is listed, it shall receive the treatment deemed proper according to the basis for its listing.

§ 13-1.604-3 Continuation of current contracts.

It is the responsibility of procurement officials, through the chief of the procurement activity, to notify the Executive Director, in writing, whenever it is determined that DOC has existing contracts or subcontracts with contractors which have been debarred or suspended. This notification shall contain recommendations and supporting information regarding whether or not existing contracts or subcontracts should continue, since these agreements may be continued unless

the Executive Director determines that termination of the contract is in the Government's best interest. The Executive Director's resulting decision for continuation or termination of existing contracts or subcontracts shall be made within 30 working days of receipt of the recommendation data, and only after review by appropriate contracting and technical personnel and by legal counsel to assure the propriety of the proposed action. No termination actions shall be instituted by contracting personnel unless, and until, the Executive Director has formally determined in writing that termination is in the Government's best interest.

Section 1-1.605-1 of Temporary Regulation 65, which is incorporated into this subpart, refers to the debarring official; references the causes for debarment; explains the necessity for determining whether business dealings should be continued with a firm even when a cause for debarment has been identified; discusses the extent and scope of debarment; and advises that debarment is effective throughout the executive branch of the Government unless the head of the agency taking the procurement action or an authorized representative states in writing the compelling reasons justifying continued business dealings between that agency and the contractor. Within DOC, the Executive Director is designated as the debarring official and the authorized representative for determining whether there are compelling reasons justifying continued business dealings with a debarred contractor.

which indicates that a contractor (to which the Department routinely awards, or plans to award, contracts) has committed an action which is properly includable as a cause for debarment. If it is learned (through dealings with the Office of the Inspector General, Departmental program or finance personnel, etc.) that an appropriately described contractor, not already on the consolidated list, has committed an action which can be identified as a cause for debarment, procurement officials shall determine to the extent possible which other agencies award contracts to this firm, and if any of these agencies have initiated, or plan to initiate, debarment actions.

(1) If debarment is being considered by another agency, the specific circumstances shall be promptly reported by the chief of the procurement activity, in writing, after review by the Office of the Assistant General Counsel for Administration, to the Executive Director, with an explanation as to why debarment actions may be considered by DOC, but are not being recommended. Within 30 working days of receipt of this information, the Executive Director shall make a decision regarding the necessity for additional action, which may involve further coordination with the lead agency which is pursuing debarment, or the preference for DOC to act as the lead agency in imposing debarment. If the decision is made that DOC debarment action is unnecessary, at a minimum, the Executive Director shall advise the Procurement Policy Division of the Office of Procurement Services of the specifics of the case to ensure Departmentwide dissemination for consideration in current responsibility determinations.

(2) If debarment actions are not being considered by another agency, the chief of the procurement activity shall advise the Executive Director, in writing, after review by the Office of the Assistant General Counsel for Administration, of the debarment considerations and shall provide a specific recommendation for debarment of the reasons for not recommending debarment, and all available documentary evidence for supporting the recom

mendation. It is emphasized that the mere existence of a cause for debarment does not require that a contractor be debarred. The seriousness of the contractor's acts or omissions and any mitigating factors shall be considered in making any debarment decision.

(b) Decisionmaking process. Upon receipt of a debarment consideration request, the Executive Director shall review all available documentary evidence and shall promptly make a decision as to whether debarment actions shall be pursued. The matter may be referred to the Department's Inspector General for further investigation if determined necessary. However, after completion of this additional review or investigation, the Executive Director shall make a written determination as to whether debarment procedures are to be initiated. A copy of this determination shall be promptly sent to the initiating procurement activity.

(c) Notice of proposal to debar. If the Executive Director determines that formal debarment procedures are to be initiated, he shall promptly notify the contractor and any specifically named affiliates, by certified mail, return receipt requested, of the proposal to debar. The notification shall be reviewed by the Office of the Assistant General Counsel for Administration prior to submittal to the contractor. Section 1-1.605-3(c) of the Temporary Regulation, which is incorporated into this subpart, contains a list of information which shall be inIcluded in this notice. The contractor shall be provided 30 calendar days to submit information and argument in opposition to the proposed debarment, and shall also be advised that pending a debarment decision, no contracts will be awarded to, and no subcontracts will be consented to or approved for, the contractor.

(d) Debarring official's decision. (1) For debarment actions proposed as a result of conviction or civil judgment, or debarment by another agency based on policies and procedures in effect prior to August 30, 1982, or as a result of other actions for which there is no dispute over material facts, the Executive Director shall make the final debarment decision on the basis of all in