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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.

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.

Sec.
Subpart 12-1.9-Reporting Possible Antitrust

Violations

Sec.

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

Subpart 12-1.54—Acquisition of Equipment by

Lease, Purchase, or Lease With Option To Purchase

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.

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

Contractors

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.

Sec. 12-1.5601 General. 12-1.5601-1 Need for survey. 12–1.5601-2 Type of survey. 12-1.5601-3 Conducting the survey. 12-1.5601-4 Release of survey information. 12-1.5601-5 Preparation for the survey. 12-1.5601-6 On-site survey procedures. 12-1.5602 Survey report. 12-1.5602-1 Format. 12-1.5602-2 Standards. 12-1.5603 Guide for on-site evaluation of

prospective contractor. 12-1.5604 Format for on-site survey report.

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

SOURCE: 42 FR 45178, Sept. 8, 1977, unless otherwise noted.

$ 12-1.005 Exclusions.

(a) Certain Department of Transportation procurement policies and procedures which come within the scope of this Chapter 12 nevertheless may be excluded when there is appropriate justification, such as:

(1) Subject matter which bears a security classification.

(2) Policies or procedures which are expected to be effective for a period of less than six months.

(3) Policies and procedures which are effective on an experimental basis for a reasonable period.

Subpart 12-1.0–Regulation System

§ 12-1.006-1 Code arrangement.

DOTPR which implement, supplement or deviate from the FPR (Chapter 1 of 41 CFR) and have an impact upon the public will be published as Chapter 12 of 41 CFR.

8 12-1.006-2 Publication.

Chapter 12 of 41 CFR will be published in the FEDERAL REGISTER, in cumulative form in the Code of Federal Regulations, and in separate looseleaf form on blue paper. The looseleaf form is designed to permit interleaf into the FPR.

§ 12-1.001 Scope of subpart.

This subpart describes the Department of Transportation Procurement Regulations in terms of establishment, authority, applicability, issuance, arrangement, implementation, and supplementation of the Federal Procurement Regulations, exclusions, Office of the Federal Procurement Policy Regulations, and deviation procedure. 8 12-1.002 Purpose.

(a) This subpart establishes Chapter 12, Department of Transportation Procurement Regulations (DOTPR), implementing and supplementing the Federal Procurement Regulations (FPR), and states its relationship to the FPR.

(b) The FPR, as implemented and supplemented by Chapter 12 (DOTPR), are the authorized regulations governing the procurement of supplies and services (including construction and concessions) and the procurement of real property by lease, by the Department of Transportation.

8 12-1.006–3 Copies.

Copies of the DOTPR in the FEDERAL REGISTER and in the Code of Federal Regulations may be purchased by Federal agencies and the public, at nominal cost, from the Superintendent of Documents, Government Printing Office, Washington, D.C. 20402. Looseleaf copies of Chapter 12 will be distributed to Department of Transportation activities as authorized by the Director of Installations and Logistics, Office of the Secretary of Transportation.

8 12–1.003 Authority.

The DOTPRs are prescribed pursuant to the authority of section 205(c) of the Federal Property and Administrative Services Act of 1949.

8 12-1.006–4 Coordination.

In the development of the DOTPR, the views of the Operating Administrations of the Department of Transportation will be solicited. Public notice of changes or additions to the DOTPR will be published in the FEDERAL REGISTER before issuance, when appropriate.

§ 12-1.004 Applicability.

These regulations apply to all Department of Transportation procurements, unless otherwise specified.

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Federal Aviation

Administration. Coast Guard Federal Highway

Administration. Federal Railroad

Administration. St. Lawrence Seaway

Development

Corporation. Office of

Administrative

Operations, OST. Urban Mass

Transportation

Administration. National Highway

Traffic Safety Administration. Transportation

Systems Center.

12F.

12H.

121.

12J.

8 12-1.007-2 Numbering.

(a) Where the DOTPR implement a part, subpart, section, or subsection of the FPR, the implementing part, subpart, section, or subsection of DOTPR will be numbered (and captioned) to correspond to the part, subpart, section, or subsection of the FPR.

(b) Where the DOTPR supplement the FPR, the number 50 and up will be assigned to the parts, subparts, or sections involved.

(c) Where the subject matter contained in a parts, subpart, section, or subsection of FPR requires no implementation, the DOTPR will contain no corresponding parts, subpart, section, or subsection number and the subject matter as published in the FPR governs.

8 12-1.007-3 Citation.

DOTPR will be cited in accordance with FEDERAL REGISTER standards approved for the FPR. For example, this section, when referred to in the DOTPR, may be cited as “12-1.007-3”. Any section of these regulations may be informally identified for purposes of brevity, as DOTPR, followed by the section number; i.e., “DOTPR 121.007-3”.

(c) The Administrations and their subordinate organizations shall not issue instructions, including directives, regulations, contract forms, contract clauses, policies, or procedures implementing the DOTPR or covering the procurement of supplies or services or the administration of contracts for such supplies or services, unless permitted by one of the following and consistent with paragraph (d) of this section:

(1) Internal procurement management instructions such as designations and delegations of authority, assignments of responsibilities, work flow procedures, and internal reporting requirements;

(2) Any special contract clause of a non-repetitive nature designed specifically to accomplish the peculiar requirements of an individual procurement, provided a clause relating to the subject is not set forth in this regulation;

(3) A variation of any contract clause which is set forth in this regulation but not for use verbatim, provided that such variation is not inconsistent with the intent, principle and substance of the DOTPR clause or related coverage of the subject matter;

(4) Procurement procedures specifically identified as being essential for carrying out the peculiar needs of an Administration when authorized by the head of the agency, or his designee, and notification is given to OST/

§ 12-1.008 Implementation.

(a) The DOTPR implement and supplement the FPR. Implementing material is that which expands upon related FPR material. Supplementing material is that for which there is no counterpart in the FPR.

(b) The DOTPR may in turn be implemented and supplemented by regulations issued by the following, using the letter suffix indicated:

§ 12-1.009 Deviations.

to

be

as

TAD-60 prior to such authorization for the purpose of determining whether such procedures should be included in this regulation;

(5) Procurement instructions specifically identified as being essential for carrying out the peculiar needs of overseas commands of the Coast Guard, authorized by the Commandant of the Coast Guard (or his designee) and notification is given to OST/ TAD-60 prior to such authorization for the purpose of determining whether such instructions should be included in this regulation;

(6) Material determined by OST/ TAD-60

inappropriate for DOTPR coverage, but appropriate for inclusion in Administration publications.

(d) Instructions issued in accordance with paragraph (c) of this section shall not contain material which duplicates, is inconsistent with, or increases or restricts the use of, any authority contained in this regulation.

(e) Each Administration shall screen all existing instructions as well those subsequently issued pursuant to paragraph (c) of this section and (d) above to assure strict compliance with this paragraph, and for the purpose of determining if the subject matter is appropriate for inclusion in this regulation.

(f) Each Administration shall furnish to OST/TAD-60 one copy of each Administration procurement instruction issued in accordance with paragraph (c) of this section.

(g) Regulation implementing and supplementing the DOTPR will not be published in the FEDERAL REGISTER. Any such regulations which are deemed to have an impact on the general public, and any regulations which establish procurement policy, will be reserved for OST publication DOTPR, Chapter 12.

(h) Those FAA Procurement Regulations which supplement the DOTPR, and which are basically instructional in nature, may be retained until they are superseded by comparable material published by the Office of the Secretary.

§ 12-1.009-2 Procedure.

(a) In the interest of establishing and maintaining uniformity to the greatest extent feasible, deviations from the FPR and DOTPR will be authorized only when essential to effect necessary procurement or where special circumstances make such devi. ations clearly in the best interest of the Government.

(b) Requests for authority to deviate from the provisions of the FPR or the DOTPR shall be submitted as far in advance as the exigencies of the situation will permit. Each request for deviation shall contain the following:

(1) A clear statement of the deviation desired, including identification of the specific paragraph number(s) of the FPR or DOTPR,

(2) The reason why the deviation is considered necessary or would be in the best interests of the Government,

(3) If applicable, the name of the contractor and identification of the contract affected,

(4) A statement as to whether the deviation has been requested previously and, if so, circumstances of the previous request,

(5) A description of the intended effect of the deviation,

(6) A statement of the period of time for which the deviation is needed, and

(7) Any pertinent background information which will contribute to a full understanding of the desired devi. ation.

(c) Deviations from the FPR and DOTPR involving a single contract or procurement may be authorized by the Administrator of the Federal Aviation Administration, Federal Highway Administration, Federal Railroad Administration, St. Lawrence Seaway Development Corporation, Urban Mass Transportation Administration, National Highway Traffic Safety Administration, the Commandant of the Coast Guard, and each with the power of redelegation. For procurements processed by the Transportation Systems Center and Office of Administrative Operations (OST), deviations may be authorized by the Assistant Secretary for Administration, with the

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