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(10) Make available to SBA copies of solicitations when so requested; and

(11) Act as liaison between the contracting officer and the appropriate SBA office in connection with setasides, certificates of competency, size classification and any other matter in which the small business program may be involved.

cialist may be initiated by the contracting officer by giving notice containing the reason therefor, to the small business specialist. If the small business specialist does not agree to a withdrawal or modification, the action may be appealed to an official above the level of the contracting officer, whose decision shall be final.

& 12-1.708 Certificate of competency pro


8 12-1.708–2 Applicability and procedure.

No referrals shall be made to the SBA unless the contracting officer has determined that the bid or proposal of the small business concern is responsive. All referrals shall be in writing.

8 12–1.750-4. Contracting authority.

For purposes of determining the appropriate contract authority, set-sides initiated by the small business specialist and concurred in by the contracting officer shall be considered to be unilateral small business set-sides, and shall cite 41 U.S.C. 252(c)(1) or 10 U.S.C. 2304(a)(1), as applicable.

8 12-1.750 Procurement set-asides for

small business when an SBA representative is not available.

8 12-1.750-1 General.

If no SBA representative is available, the small business specialist shall initiate recommendations to the contracting officer for a small business set-aside for an individual procurement or class of procurements or portion thereof.

8 12-1.751 Small business set-aside for

proposed construction procurements. (a) Each proposed procurement for construction services (excluding ship construction) estimated to cost between $2,500 and $500,000, shall be set aside for exclusive small business participation. Such set-asides shall be considered to be unilateral small business set-asides, and shall be withdrawn, in accordance with the procedures of FPR 1-1.706-3 and DOTPR 12-1.750-3, only if found not to serve the best interest of the Government.

(b) Small business set-aside preferences should be considered for construction procurements in excess of $500,000 on a case-by-case basis.

8 12-1.750-2 Review of set-aside recom

mendations initiated by small business

specialists. When a small business specialist has recommended that all, or a portion, of an individual procurement or class of procurements be set aside for small business, the contracting officer shall promptly either (a) concur in the recommendation or (b) disapprove the recommendation, stating in writing his reasons for disapproval. If the contracting officer disapproves the recommendation of a small business specialist, the small business specialist shall be afforded an opportunity to appeal to an official above the level of the contracting officer. The decision of this official shall be final.

Subpart 12-1.8–Labor Surplus Area


8 12–1.807 Report on preference procure

ment in labor surplus areas. Reports required by FPR 1-1.807 will be forwarded to the Director of Installations and Logistics, OST, no later than November 1 (annual) and May 1 (semiannual) of each year. The Director of Installations and Logistics will prepare and submit to GSA the consolidated departmental report.

8 12-1.750-3 Withdrawal or modification

of set-asides. Withdrawal or modification of an individual or class set-aside which was originally established upon the recommendation of the small business spe

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dures, a qualification requirement may Subpart 12-1.9-Reporting Possible Antitrust Violations

be included in a specification only

when one or more of the following 8 12-1.901 General.

conditions exist:

(a) The time required for testing The reports required by FPR Sub

after award would unduly delay delivpart 1-1.9 shall be prepared for the

ery of the supplies being purchased. signature of the Secretary, and forwarded to the Director of Installations

(b) The cost of repetitive testing and Logistics, OST.

would be excessive.

(c) The tests would require expenSubpart 12-1.11-Qualified Products sive or complicated testing apparatus

not commonly available. 8 12-1.1150 General.

(d) The interest of the Government (a) It is sometimes necessary to test

requires assurance, prior to award, products in advance of any procure

that the product is satisfactory for its

intended use. ment action to determine if a product is available that will meet specification

(e) The determination of acceptabilrequirements. In such cases, the speci

ity would require performance data to fication may require qualification of

supplement technical requirements the product. Qualification is the entire

contained in the specification. process by which products are obtained from manufacturers or distribu

§ 12-1.1152 Prior determinations. tors, examined and tested for compli- Prior to inclusion of qualification in ance with specification requirements, a specification, the preparing activity and then identified on a list of quali- shall determine that: fied products. Qualification is per- (a) There is no other practicable way formed in advance and independent of to obtain evidence of availability of any specific procurement action.

products meeting the requirements of (b) A Qualified Product List (QPL)

the specification. identifies the specification, manufac

(b) Sources, sufficient in number to turer or distributor, item by part or

provide an adequate base of supply, inmodel number or trade name, place of

sofar as practicable, are available and manufacture, and the test report in

willing to submit their products for volved. Suppliers whose products have

qualification. successfully passed qualification and

(c) Test facilities and resources are who furnish evidence thereof are eligi

available to establish and maintain the ble for award even though the product is not yet included in the QPL.

QPL adequately and without delay. (c) Chapter IV of the Federal Standardization handbook (Federal Proper

8 12-1.1153 Availability of lists. ty Management Regulations 101-29) is Qualified Products Lists are intendthe basic instruction concerning quali

ed for the use of the Government and fied products and qualifications proce

its contractors, subcontractors, produres. Copies of this handbook may be

spective bidders, and suppliers. Lists purchased by the public from the Su- may be obtained by prospective bidperintendent of Documents, U.S. Gov- ders or suppliers who require these ernment Printing Office, Washington, Lists in furnishing supplies or services D.C. 20402.

to the Government or its contractors. (d) A specification is the only Lists are also available to the public medium for establishing a require- upon request. When a person is proment for qualification. The preparing vided with, or given access to, a QPL activity identified in the specification he should be advised as follows: is responsible for qualification.

(a) The QPL has been prepared for

use by or for the Government in the $ 12–1.1151 Justification for inclusion of procurement of products covered by qualification requirements.

the specification and such listing of a Subject to approval by the office as product is not intended to and does designated in Administration proce- not connote endorsement of the prod

(b) Lists shall always be kept open for inclusion of products from additional suppliers.

uct by the Department of Transportation;

(b) All products listed have been qualified under the requirements for the product as specified in the latest effective issue of the applicable specification;

(c) The QPL may be revised or amended as necessary, and subject to change without notice;

(d) The listing of a product does not release the supplier from compliance with the specification requirements; and

(e) Use of the information for advertising or publicity purposes is permitted, provided that such publicity or advertising does not state or imply that the product is the only product of that type so qualified or that the Department of Transportation in any way recommends or endorses the manufacturer's product.

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§ 12-1.1154 Opportunity for qualification.

(a) Upon determination that a product is to be covered by a QPL, manufacturers shall be urged to submit their products for qualification and where possible shall be given sufficient time to arrange for qualification testing prior to issuance of the initial invitation for bids or request for proposals for the item as a qualified product. Appropriate notice of such determination shall be furnished to the U.S. Department of Commerce, Commerce Business Daily, Room 1304, 433 West an Buren Street, Chicago, IL 60607, requesting publication of five consecutive issues of the daily “Synopsis of U.S. Government Proposed Procurement, Sales and Contract Awards”. The publicity given to the requirement for qualification testing shall include the following:

(1) An intention to establish a QPL for a product;

(2) The specification number and nomenclature of the product, and the name and address of the office to which the request for qualification should be submitted; and

(3) Notice that in making future awards consideration shall be given only to such products as have been accepted for inclusion in a QPL.

8 12-1.1156-1 General.

(a) Whenever qualified products are to be procured by the Government as end items, only bids or proposals offering products which are qualified for listing on the applicable QPL at the time set for opening of bids or award of negotiated contracts shall be considered in making awards.

(b) Whenever a qualified product is to be procured by a prime contractor as a component of an end item, the prime contractor shall be required to furnish a component which has been tested and qualified for inclusion in the applicable QPL by the time of award of the subcontract. Delay resulting from the prime contractor's awaiting qualification approval by the Government of a component shall not constitute excusable delay when a previously qualified component could have been procured in time to meet the end item delivery schedule.

(c) Procurements involving qualified products shall be governed by paragraphs (c)(1) through (4) of this section.

(1) Synopses of proposed procurements shall be published by purchasing activities, in accordance with FPR 1-1.1003, promptly upon receipt of procurement requests.

(2) The maximum time consistent with delivery requirements shall be allowed between issuance of the solicitation and the opening of bids or the award of a negotiated contract. As a minimum, however, contracting officers shall allow 30 calendar days between the dates of issuance and opening (award, in the case of negotiated contracts); Provided, That periods of

less than 30 days may be set in cases of urgency when the justification for a shorter period is set forth in writing and made a part of the procurement file. In appropriate cases, advance notice of procurement involving qualified products may be given suppliers through the use of preinvitation notices. Such notices shall identify the specification requiring qualification.

(3) In procuring qualified products by formal advertising, invitations for bids will be distributed to suppliers in the same manner as if a qualified product were not involved, and will not be restricted to suppliers whose products have been qualified.

(4) Contracting officers shall forward requests from suppliers concerning qualification of products to the specification preparing activity.

nents shall have been tested and shall be qualified for inclusion in the Qualified Products List (whether or not actually included in the List) at the time of award of any subcontract by the Contractor for such components, or, in the event the Contractor plans to manufacture such components himself, shall have been so tested and have so qualified before the Contractor begins to manufacture such components for performance of this contract (not before manufacture of the prototype, preproduction model, or first article, for qualification testing). Unless required for interchangeability or compatibility, the Contractor shall not cite brand names from any Qualified Products List in any subcontract solicitation, but shall refer to the pertinent specification so that optimum competition may be obtained. Delay resulting from the Contractor's awaiting qualification approval by the Government of a component shall not constitute excusable delay when a previously qualified component could have been procured in time to meet the end item delivery schedule. Any change in location or ownership of the plant at which a previously approved product is, or was, manufactured requires re-evaluation of the qualification. Such re-evaluation must be accomplished prior to the award of any subcontract by the Contractor for such components or prior to the beginning of manufacture if the Contractor manufactures such components himself.

§ 12-1.1157 Contract provisions.

(a) When qualified end products are to be procured, the provision in FPR 1-1.1101(b) shall be inserted in the solicitation, supplemented by the following:

The offeror shall insert the item name and the test number (if known) of each qualified product in the blank spaces below. Item Name

-Test No. Any change in location or ownership of the plant at which a previously approved product is, or was, manufactured requires reevaluation of the qualification. Such reevaluation must be accomplished prior to the bid opening date in the case of advertised procurements and prior to the date of award in the case of negotiated procurements. Failure of offerors to arrange for such reevaluation shall preclude consideration of their offers. If the procurement is formally advertised, the following statement shall also be included:

Any bid which does not identify the qualified product being offered, either above or elsewhere in the bid, will be rejected.

(b) When qualified products are to be procured as components of end items, insert the following provision in the solicitation:

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QUALIFIED PRODUCTS-COMPONENTS When any of the end items which are to be supplied to the Government by the Contractor will contain one or more components which are required by the applicable specific cation to be qualified products, such compo

formance of contracts, he shall be reported to the activity that prepared the specification for a determination as to whether the supplier's product shall be removed from the list.

ing activity, directing a waiver of the qualification requirement, constitutes adequate authorization for waiver of product qualification requirements. Where waivers have been granted, solicitations shall specifically indicate that the qualification requirement is inapplicable. Such information shall also be included in any Synopsis of the procurement.

8 12-1.1162 Misuse of QPL information.

Misuse of QPL information, such as for advertising or publicity purposes contrary to that permitted in DOTPR 12-1.1153(e), shall be reported promptly to the preparing activity.

Subpart 12-1.12- Responsible

Prospective Contractors

8 12-1.1204 Determination of responsibil

ity or nonresponsibility.

8 12-1.1160 Inadequate competition.

(a) Presolicitation. In connection with procurement of a qualified product as an end item, the contracting officer shall review the applicable QPL prior to solicitation to ascertain whether the number of sources is adequate for competition. If, in the opinion of the contracting officer, the number of sources is inadequate, action shall be taken as prescribed below unless he already has the necessary information.

(1) The contracting officer shall request the activity that prepared the specification to provide information concerning the status of tests on additional products, including the anticipated dates when such tests will be completed so that opening of bids or submission of proposals may be so scheduled as to allow completion of the tests.

(2) If no tests are being conducted or contemplated, the contracting officer shall further request the preparing activity to advise whether a means of quality assurance other than qualification approval may be substituted in the procurement.

(b) Postsolicitation. The contracting officer shall advise the specification preparing activity of the name and address of any concern which requested copies of the solicitation but was not included on the QPL. The specification preparing activity may then attempt to interest such concerns in becoming qualified.

§ 12–1.1204-1 Requirement.

(a) Except as provided in paragraph (c) of this section, the contracting officer shall, prior to award, prepare, sign, and place in the contract file, DOT Form F 4220.1 titled "Determination of Prospective Contractor Responsibility.” Where a prospective contractor is determined to be nonresponsible, the form shall also be completed before notice of the rejection is furnished and the contract awarded to another.

(b) For each factor applicable to the procurement, the type of evaluation and the rating shall be checked. A completed form may include any combination of checks in the A, B, and C columns. Where the determination of responsibility is based on an SBA certificate of competency, a copy of the certificate shall be attached to the form and Block 6 of the form should not be completed except to reference the attachment.

(c) The form need not be completed in the case of:

(1) Procurements of the types listed in FPR 1-1.1201(b);

(2) Contracts of $10,000 or less, except that the form shall be prepared prior to the award of all contracts the primary purpose of which is research; or

(3) Contracts for perishable subsistence supplies available for immediate shipment.

(d) Pending a revision of DOT Form F 4220.1, the reference in Block 7 to

8 12-1.1161 Reporting nonconformance

with specification requirements. If a supplier on the QPL repeatedly submits products not meeting specification requirements for inspection, resubmits products previously rejected without correcting the defects, or is otherwise unsatisfactory in the per

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