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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.

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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 12-1.750-2 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.

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 12-1.751 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 Such set-asides shall be considered to be unilateral small business set-asides, and shall be withdrawn, in accordance with the procedures of FPR 1-1.706-3 and DOTPR 12-1.750-3, only if found not to serve the best interest of the Government.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.

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



Subpart 12-1.9–Reporting Possible

dures, a qualification requirement may 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 signature of the Secretary, and for

ery of the supplies being purchased. warded 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

requires assurance, prior to award, (a) It is sometimes necessary to test 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 acceptabil. requirements. 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 Stand 819-1 1152 Availability of lists. ardization handbook (Federal Property 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

uct by the Department of Transporta- (b) Lists shall always be kept open tion;

for inclusion of products from addi(b) All products listed have been tional suppliers. qualified under the requirements for

$ 12–1.1155 the product as specified in the latest

Clarification of qualification

requirements. effective issue of the applicable specification;

When there is any question concern(c) The QPL may be revised or

ing qualification requirements in a amended as necessary, and subject to specification, the activity that prechange without notice;

pared the specification will furnish (d) The listing of a product does not

clarification when requested by the

contracting activity. release the supplier from compliance with the specification requirements; 8 12-1.1156 Procurement of qualified and

products. (e) Use of the information for advertising or publicity purposes is permit. 8 12-1.1156-1 General. ted, provided that such publicity or

(a) Whenever qualified products are advertising does not state or imply to be procured by the Government as that the product is the only product of

end items, only bids or proposals offerthat type so qualified or that the De

ing products which are qualified for partment of Transportation in any

listing on the applicable QPL at the way recommends or endorses the man time set for opening of bids or award ufacturer's product.

of negotiated contracts shall be con

sidered in making awards. 8 12-1.1154 Opportunity for qualification. (b) Whenever a qualified product is

(a) Upon determination that a prod. to be procured by a prime contractor uct is to be covered by a QPL, manu. as a component of an end item, the facturers shall be urged to submit prime contractor shall be required to their products for qualification and furnish a component which has been where possible shall be given suffi tested and qualified for inclusion in cient time to arrange for qualification the applicable QPL by the time of testing prior to issuance of the initial

award of the subcontract. Delay reinvitation for bids or request for pro

sulting from the prime contractor's posals for the item as a qualified prod

awaiting qualification approval by the uct. Appropriate notice of such deter

Government of a component shall not mination shall be furnished to the

constitute excusable delay when a preU.S. Department of Commerce, Com

viously qualified component could merce Business Daily, Room 1304, 433

have been procured in time to meet West Van Buren Street, Chicago, IL

the end item delivery schedule. 60607, requesting publication of five

(c) Procurements involving qualified consecutive issues of the daily “Synop

products shall be governed by parasis of U.S. Government Proposed Pro

graphs (c)(1) through (4) of this sec

tion. curement, Sales and Contract Awards”. The publicity given to the

(1) Synopses of proposed procurerequirement for qualification testing

ments shall be published by purchas

ing activities, in accordance with FPR shall include the following:

1-1.1003, promptly upon receipt of (1) An intention to establish a QPL

procurement requests. for a product;

(2) The maximum time consistent (2) The specification number and no

with delivery requirements shall be almenclature of the product, and the lowed between issuance of the solicitaname and address of the office to

tion and the opening of bids or the which the request for qualification award of a negotiated contract. As a should be submitted; and

minimum, however, contracting offi(3) Notice that in making future cers shall allow 30 calendar days beawards consideration shall be given tween the dates of issuance and openonly to such products as have been ac- ing (award, in the case of negotiated cepted for inclusion in a QPL.

contracts): Provided, That periods of


less than 30 days may be set in cases nents shall have been tested and shall be of urgency when the justification for a qualified for inclusion in the Quali shorter period is set forth in writing

Products List (whether or not actually in

cluded in the List) at the time of award of and made a part of the procurement

any subcontract by the Contractor for such file. In appropriate cases, advance

components, or, in the event the Contractor notice of procurement involving quali

plans to manufacture such components himfied products may be given suppliers self, shall have been so tested and have so through the use of preinvitation no

qualified before the Contractor begins to tices. Such notices shall identify the

manufacture such components for performspecification requiring qualification. ance of this contract (not before manufac

(3) In procuring qualified products ture of the prototype, preproduction model, by formal advertising, invitations for or first article, for qualification testing). bids will be distributed to suppliers in

Unless required for interchangeability or the same manner as if a qualified

compatibility, the Contractor shall not cite

brand names from any Qualified Products product were not involved, and will

List in any subcontract solicitation, but not be restricted to suppliers whose

shall refer to the pertinent specification so products have been qualified.

that optimum competition may be obtained. (4) Contracting officers shall for

Delay resulting from the Contractor's ward requests from suppliers concern awaiting qualification approval by the Goving qualification of products to the ernment of a component shall not constispecification preparing activity.

tute excusable delay when a previously

qualified component could have been pro§ 12-1.1157 Contract provisions.

cured in time to meet the end item delivery (a) When qualified end products are

schedule. Any change in location or owner

ship of the plant at which a previously apto be procured, the provision in FPR

proved product is, or was, manufactured re1-1.1101(b) shall be inserted in the so

quires re-evaluation of the qualification. licitation, supplemented by the follow Such re-evaluation must be accomplished ing:

prior to the award of any subcontract by

the Contractor for such components or The offeror shall insert the item name

prior to the beginning of manufacture if the and the test number (if known) of each

Contractor manufactures such components qualified product in the blank spaces below.

himself. Item Name------Test No.--

Any change in location or ownership of the plant at which a previously approved

$ 12–1.1158 Effect of debarment or susproduct is, or was, manufactured requires pension. reevaluation of the qualification. Such re

The inclusion of a product on the evaluation must be accomplished prior to the bid opening date in the case of adver

QPLs may be denied, and the qualifi. tised procurements and prior to the date of

cation of a listed product may be withaward in the case of negotiated procure

drawn, by the Administration conments. Failure of offerors to arrange for

cerned, without notification to the such reevaluation shall preclude consider manufacturer, if the name of the manation of their offers.

ufacturer appears on the lists of de. If the procurement is formally adver

barred or ineligible bidders which are tised, the following statement shall

maintained pursuant to FPR Subpart also be included:

1-1.6. Any bid which does not identify the quali. 8 12-1.1159 Waiver of qualification refied product being offered, either above or elsewhere in the bid, will be rejected.


When procuring a product under a (b) When qualified products are to

specification which includes qualificabe procured as components of end items, insert the following provision in

tion requirements either for the end

item or for components of the end the solicitation:

item, such qualification requirements QUALIFIED PRODUCTS-COMPONENTS

can be waived only by the activity that When any of the end items which are to

prepared the specification. In approbe supplied to the Government by the Con

priate cases, when requested by the tractor will contain one or more components contracting officer, the preparing acwhich are required by the applicable specifi- tivity may waive qualification requirecation to be qualified products, such compo- ments. A notice, issued by the prepar

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.

& 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.

§ 12-1.1160 Inadequate competition.

(a) Presolicitation. In connection with procurement of a qualified product as an end item, the contracting of. ficer 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 be. coming qualified.

8 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 Responsibil. ity.” 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 specific cation requirements for inspection, resubmits products previously rejected without correcting the defects, or is otherwise unsatisfactory in the per

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