Subpart 9-1.3 General Policies §9-1.302–3 Contracts between the Government and Government employees or business concerns substantially owned or controlled by Government employees. When the needs of the Government cannot be reasonably supplied by sources other than employees of the Government or sources which are substantially owned or controlled by Government employees, the Contracting Officer shall submit, through the HPA, a request to the Senior Procurement Official, Headquarters, with appropriate justification, for approval of an exception to the prohibitions contained in FPR 1-1.302-3. §9-1.305 Specifications. §9-1.305-1 Mandatory use of Federal Specifications. (a) The policies and procedures established by FPR 1-1.305 shall be complied with for all direct procurement except as provided in §9-1.305–3. (b) The paper specification standards published by the Joint Committee on Printing for the purchase of paper to be used on Government-owned printing, binding, and duplicating equipment shall be used in specifying paper requirements for "Federal Printing" as defined in the Government Printing and Binding Regulation. §9-1.305-3 Deviations from Federal Specifications. Subject to the requirements of FPR 1-1.305-3, Heads of Procuring Activities, Senior Program Officials, or designees, may authorize deviations from Federal Specifications in connection with direct procurement. §9-1.305-5 Use of Federal and Interim Federal Specifications in construction contracts. When specifications for construction are prepared by private firms, Heads of Procuring Activities, Senior Program Officials, or designees, are responsible for obtaining compliance with the general policies of this subpart to the extent practicable and compatible with meeting program objectives. §9-1.306-1 Mandatory use and application of Federal Standards. The policies and procedures established by FPR 1-1.306 for the development and use of Federal Standards shall be complied with to the same extent as provided for Federal Specifications in §9-1.305-1, §9-1.305-3, and §9-1.305-5. §9-1.307 Purchase descriptions. Specifications should be in such terms as to permit full and free competition among all potential suppliers. However, technical reasons may occasionally exist for using specifications which limit competition by requiring certain types of material or articles, such as replacement parts, auxiliary equipment, and tools required for use with major equipment. Restrictive specifications may be used to meet special requirements, provided (a) DOE needs cannot reasonably be met in any other manner, and (b) a complete written justification for the restriction is included in the contract file. §9-1.313 Records of contract actions. (a) The procurement file which shall be maintained by the Head of the Procuring Activity, or designee, shall include copies of all documents that present a historical record of the facts of the transaction. Basic papers of the procurement file shall be arranged and secured in a logical order so as to facilitate review and audit. A complete file shall be maintained and pertinent papers shall not be removed. Bulky material, such as unsuccessful proposals, specifications, drawings, etc., need not be kept in the file, but may be filed elsewhere under the contract num ber, cross referenced in both files. These records may be disposed of in accordance with approved records disposition schedules, subject to any special circumstances such as lawsuits, investigations, etc., warranting longer retention. (b) Files of essential documents for all contracts and modifications shall include the information and supporting data in accordance with current Acquisition Policy Letters. §9-1.317 Noncollusive bids and proposals. When the Contracting Officer suspects the existence of collusive bidding and false certification, the case shall be referred to General Counsel for assistance. §9-1.318 Disputes clause. §9-1.318-1 Contracting Officer's decision under the Disputes clause. (a) In addition to the information specified in FPR 1-1.318-1, a decision concerning a dispute which is or may be subject to the Disputes clause also shall include the Contracting Officer's written findings of fact. (b) Such decisions shall be expeditiously prepared and transmitted to the contractor, together with a copy of the rules established by the DOE Board of Contract Appeals. §9-1.350 DOE Specifications and Standards. §9-1.351 Distribution of Federal Specifications and Standards. (a) DOE does not maintain a central distribution point for specifications and standards. Index of Federal Specifications, Standards, and Handbooks may be obtained by submission of an order to the Superintendent of Documents, U.S. Government Printing Office, Washington, DC, 20402. Copies of Federal Specifications and Standards may be obtained in the same man. ner. Single copies of product specifications required for bidding purposes are available without charge at the Business Service Centers of the General Services Administration Regional Of fices. Nongovernment activities should obtain copies of the Index and of Federal Specifications and Standards from the Superintendent of Documents, U.S. Government Printing Office Washington, DC, 20402. (b) Field offices and Headquarters shall maintain current copies of the index and supplements and shall maintain files of current copies of Federal Specifications and Standards cover ing all items which are purchased on a recurring basis for which specifications or standards are available. §9-1.352 Department of Defense Index of Specifications and Standards. This index may be obtained from the Superintendent of Documents, Government Printing Office, Washington, DC, 20402. Copies of specifications and standards are ordered from the cognizant military activity developing each particular specification or standard. §9-1.353 Prebidding and preproposal conferences. (a) Wherever considered advantageous, particularly for the more complex, unusual, or large projects, a prebidding or preproposal conference should be held with prospective contrac tors and their suppliers prior to receipt of bids or proposals in connection with formally adver tised or negotiated procurement. (b) The primary objectives of such conferences are to avoid performance, production and construction problems and contingency items in bids or proposals by: (1) outlining principal features of the project; (2) answering questions and identifying any ambiguity or obscurity concerning the proposed work and the plans and specifications; (3) soliciting prospective contractors' opinions on matters such as feasibility of proposed performance, production or construction techniques and tolerances; and (4) soliciting prospective contractors' suggested changes in design or in provisions of the proposed contract which could result in more economical production or construction. (c) Changes or clarifications found to be necessary as a result of a prebidding or preproposal conference shall be included in addenda to the invitation for bids or request for proposals. (d) Such conferences may also be held prior to the issuance of invitations for bids or requests for proposals when the main objective is to obtain the view of prospective contractors on matters such as production or construction techniques. §9-1.354 Contract close-out. (a) The Head of the Procuring Activity shall ensure that necessary procedures and milestone schedules are established and resources applied to effect the earliest practicable deobligation of projected excess funds and the timely close-out of all procurements which are physically completed or otherwise eligible for close-out action. The following final milestones after physical completion are to be used in establishing close-out schedules: fixed-price purchase orders-3 months; firm fixed-price contracts and SRCs-6 months; all others-20 months. (b) Quick close-out procedures for cost reimbursable and flexibly priced type contracts are covered under §9-3.705-50. Subpart 9-1.4 Procurement Responsibility and Authority §9-1.401 Responsibility of the Head of the Procuring Activity. The Head of the Procuring Activity is responsible for the conduct of an effective and efficient procurement program. Adequate controls shall be established to assure compliance with applicable laws, regulations, procedures, and the dictates of good management practices. Periodic reviews shall be conducted by qualified personnel, preferably assigned to positions other than in the particular procurement office or portion thereof being reviewed, to determine the extent ! of adherence to prescribed policies, regulations and good management practices, and to identify any needs for improvement, guidance and/or training. §9-1.403 Requirements to be met before taking contractual action. (a) No contract shall be entered into, modified, or terminated unless all required reviews, clearances, or approvals have been obtained and legal requirements, the FPR, the DOE-PR, and other applicable regulations have been met. (b) In addition to the requirements specified in paragraph (a), no negotiated contract shall be entered into until the determinations and findings required by Parts 1-3 and §9-3 with respect to the circumstances justifying negotiation and use of any special method of contracting have been made. Solicitations will not be issued to prospective contractors until all required determinations and findings have been made. §9-1.404 Selection, appointment, and termination of appointment of Contracting Officers. §9-1.404-1 Selection. In selecting Contracting Officers, the appointing authority shall consider experience, training, education, business acumen, judgment, character, reputation, and ethics. Appointment of | contracting officers shall be in accordance with the requirements of current Acquisition Letters. §9-1.404-3 Termination of designation. The appointment of a Contracting Officer may be revoked at any time by the appointing authority, but no such revocation shall operate retroactively. Revocation of the appointment ̧ shall be made by letter, reading substantially as follows: .(Date) TO: (Name, grade, and position title) FROM: (Appointing Authority) SUBJECT: Termination of Appointment as Contracting Officer 1. Your appointment as Contracting Officer contained ...(Signature and Title) $9-1.404-50 Modification. To accomplish modification of a Contracting Officer's authority, the present appointment shall be revoked, and a new certificate issued. §9-1.405 Ratification of unauthorized contract awards. (a) The Government is not generally bound by agreements or contractual commitments made to contractors or prospective contractors by persons to whom procurement authority has not been delegated. Such unauthorized acts may be in violation of the Federal Property and Administrative Services Act, other Federal laws, the FPR, the DOE-PR and good procurement practice; e.g., certain requirements of law and regulation necessary for the proper establishment of a contractual obligation may not be met, such as certification of the availability of funds, determinations and findings, competition of sources, determination of contractor responsibility, price/cost analysis, administrative approvals, negotiations of appropriate contract clauses, etc. (b) Contracting Officers shall not ratify contractual commitments made by other personnel of DOE without the prior approval of the Head of the Procuring Activity or the Senior Procurement Official, Headquarters, and after consultation with Counsel. This approval authority shall not be redelegated. (c) Requests received by Contracting Officers for ratification of commitments made by personnel lacking contracting authority shall be processed as follows: (1) The individual who made the unauthorized contractual commitment shall furnish the Contracting Officer all records and documents concerning the commitment and a complete, written statement of facts, including, but not limited to, a statement as to why the procurement office was not used, why the proposed contractor was selected and a list of other sources considered, description of work to be performed or products to be furnished, estimated or agreed contract price, citation of appropriation available, and a statement as to whether the contractor has commenced performance. (2) The Contracting Officer will review the file and forward it to the Head of the Procuring Activity or the Senior Procurement Official, Headquarters, with any comments or information which should be considered in evaluation of the request for ratification. The Head of the Procuring Activity or the Senior Procurement Official, Headquarters, will coordinate the request for ratification with Counsel. (3) If ratification is authorized by the Head of the Procuring Activity or Senior Procurement Official, Headquarters, the file will be returned to the Contracting Officer for action. $9-1.450 Responsibility of other Government personnel. §9-1.450-1 General. (a) Responsibility for the decision of what to buy and when to buy rests with program and certain staff offices and the head of the agency or designee. Responsibility for determining how to buy, the conduct of the buying process, and execution of the contract rests with the procurement activity, the Contracting Officer in particular. (b) Personnel responsible for making decisions to buy should maintain a close and continuous relationship with their procurement activity to ensure that procurement personnel are made aware of contemplated procurement actions. This will be mutually beneficial in terms of better planning for procurement action and more timely, efficient, and economical procurement. (c) Personnel not delegated contracting authority may not commit the Government, formally or informally, to any type of contractual obligation. However, program personnel who must use the contracting process to accomplish their programs, must support the Contracting Officer in ensuring that: |