in this part and advise him of his option of procedures.

§ 12-60.204 Duties of the contracting offi

cer.

(a) Within 30 days after the first written notice to him that an appeal has been taken, the contracting officer shall send to the Board an appeal file, consisting of the originals or true copies of the following:

(1) The findings of fact and the decision from which the appeal is taken, and the letters or other documents of claim in response to which the decision was issued;

(2) The contract and pertinent specifications, plans, drawings, modifications, change orders, and amendments;

(3) All correspondence between the parties relating to the dispute;

(4) Transcripts of any testimony taken in connection with the dispute, and any affidavits or statements of any witnesses that were considc.ed by the contracting officer in reaching his decision; and

(5) Any additional data that the contracting officer may consider pertinent.

(b) The contracting officer shall retain a complete copy of the appeal file, except for voluminous exhibits of which the appellant has identical copies, or which the appellant has had the opportunity to inspect. At the time the file is sent to the Board he shall so notify the appellant, provide him with a listing or its contents, and advise him that he may examine it at the office of the contracting officer or the Board. As soon as possible the appellant should suggest to the Board any additional documentation he considers pertinent for inclusion in the appeal file. The Board may order the inclusion of the suggested material.

§ 12-60.205 Appellant's election as to procedure.

(a) The appellant may elect to have the appeal considered upon:

(1) The written record, without oral hearing (§ 12-60.206);

(2) A conference hearing (§ 1260.207); or

(3) A hearing under the Board's regular procedure.

(b) The appellant shall notify the chairman of the Board of his election within 30 days after the date he receives the contracting officer's notice of transmittal of the appeal file under § 12-60.204.

(c) For good cause, at the timely request of the contracting officer or on the Board's own motion, the Board may direct that the parties follow either the conference hearing procedure or the regular procedure if the appellant has elected to have the appeal considered upon the written record; or it may direct that the parties follow the regular procedure if the appellant has elected to have the appeal considered under the conference hearing procedure.

§ 12-60.206 Procedure for submission on written record.

If the appeal is considered on the written record, the pleadings specified in § 12-60.208 are not required. The appellant may submit to the Board any additional relevant material for the record within 45 days after the date he receives the contracting officer's notice of transmittal of the appeal file under § 12-60.204. The contracting officer shall submit any answering material within 30 days after the date he receives the material submitted by the appellant. Thereafter the record shall be settled as provided in § 12-60.221 after at least 15 days' notice to the parties by the Board. The Board may permit the record to be supplemented by oral argument and by briefs.

§ 12-60.207 Conference hearing procedure. (a) General. This procedure provides a means for hearing and deciding appeals which is more expeditious and informal than the regular procedure set forth in the rules in this part. It may be of particular value when the appellant regards only limited additional testimony and oral argument as necessary to sustain his case on the written record.

(b) Pleadings and issues. Under the conference hearing procedure, pleadings are not required. The issues are those raised by the appellant's claim letter and the contracting officer's decision or those identified at a prehearing conference.

(c) The hearing. The hearing consists of an informal conference at which the evidence is presented and discussed by the witnesses. The presiding Board member controls the course of the hearing. He may vary the order of presentation so that all evidence on a particular issue is received at the same time and he may refuse to receive any evidence or argument on matters not directly in issue or any repetitive, irrelevant, prejudicial, or improper material. The presiding Board member may also develop facts, obtain admissions, stipulations, and concessions through questioning parties and wit

nesses.

(d) Evidence and arguments-how presented. Evidence and argument is presented by the witnesses and the parties without regard to the formal order of proof. The technical rules of evidence do not apply, but the Board may refuse to consider any statements or documents which are not of sufficient probative weight as to be considered "substantial" evidence. Although witnesses are not separately and sequentially examined and cross-examined, questioning and cross-questioning may be permitted when needed to get relevant information on the record or to test the credibility of witnesses. Evidence and argument may be limited to matters directly in issue.

(e) Other rules. All of the rules in this part, except §§ 12-60.208 and 1260.216 apply to appeals considered under the conference hearing procedure.

§ 12-60.208 Pleadings.

(a) Unless he elects to have the appeal considered on the written record or under the conference hearing procedure, the appellant shall, within 30 days after receipt of the contracting officer's notice of transmittal of the appeal file under § 12-60.204, file with the Board an original and two copies of a complaint setting forth a concise statement of each of his claims, alleging the basis, with appropriate reference to contract provisions, for each claim, and the dollar amount claimed. If the Board orders a complaint to be filed, the complaint shall be filed within the time specified in the Board's order.

(b) Within 30 days after the date of receipt of the complaint, the contracting officer shall file with the Board an original and two copies of an answer, setting forth a concise statement of his defense to each claim asserted by the appellant.

(c) Although no particular form or formality is required, the complaint and answer shall fulfill the generally recognized requirements for pleading.

§ 12-60.209 Motions.

(a) Motions are made by filing an original and two copies thereof, together with any supporting papers, with the Board. Motions may also be made upon the record, in the presence of the other party, at a prehearing conference or a hearing. The Board shall consider any timely motion:

(1) For extension of time or to cure defaults;

(2) To require that a pleading be made more definite and certain, or for leave to amend a pleading;

(3) To dismiss for lack of jurisdiction; to dismiss for failure to prosecute; or to grant summary relief because a pleading does not raise a justiciable issue;

(4) For discovery, for interrogatories to a party, and for the taking of depositions;

(5) To reopen a hearing; or to reconsider a decision; or

(6) For any other appropriate order. (b) The Board may, on its own motion, initiate any such action by notice to the parties. Unless a longer time is allowed by the Board, a party who receives a motion shall file any answering material within 20 days after the date of receipt. The Board shall make an order on each motion that is appropriate and just to the parties, and upon conditions that will promote efficiency in disposing of the appeal. The Board may permit oral hearing or argument on motions, and may require the presentation of briefs. Motions to reconsider a decision must be made within 30 days after the date of receipt of the decision.

§ 12-60.210 Prehearing conference.

(a) The Board may, upon the request of either party, or upon its own motion, require the parties to appear

for a prehearing conference to consid

er

(1) Simplification or clarification of the issues;

(2) Stipulations and admissions;

(3) Limitations on the evidence and the number of witnesses whose testimony is to be presented;

(4) Possibility of agreement on any of the issues in dispute; and

(5) Any other matter that may aid in the disposition of the appeal.

(b) The presiding Board member shall reduce results of the conference to writing. The results are a part of the record.

§ 12-60.211 Service of papers.

Except for the appeals file, a copy of each document and each communication to the Board shall be served upon the other party at the time it is filed with or sent to the Board. Service of papers shall be made personally or by mail.

§ 12-60.211-1 Notation; copy to other party.

Except for the appeal file, each written communication to the Board from or on behalf of the contracting officer or the appellant shall include a notation or statement that a copy has been served on or sent to the other party. The letter to the Board transmitting the appeal file shall indicate that a copy of the letter and a list of the documents have been sent to the appellant.

§ 12-60.212 Depositions and discovery.

(a) Depositions. (1) After an appeal has been docketed, the Board may, for good cause, order the taking of the testimony of any person, by deposition upon oral examination or written interrogatories. A party's application for the order shall specify whether the deposition is for (i) the purpose of discovery, or (ii) use as evidence.

(2) The taking of evidentiary depositions will not ordinarily be ordered unless it appears that it is impracticable to present the witness' testimony at the hearing of the appeal, or unless a hearing has been waived and the case submitted on the written record pursuant to § 12-60.206. Testimony taken by deposition shall not be con

sidered part of the evidence in the hearing of an appeal unless and until it is offered and received in evidence. It shall not ordinarily be received in evidence if the witness can testify personally at the hearing, except that depositions may be used to contradict or impeach the testimony of witnesses.

(b) Inspection of documents. For good cause, the Board may order any party to produce and permit the inspection and copying or photographing of designated documents, not privileged, regarding any matter that is relevant to the appeal.

(c) Admission of facts. For good cause shown, the Board may permit a party to serve upon the opposing party a request for the admission of specified facts.

(d) Orders of the Board. The time, place, and manner of taking depositions, producing documents or making admissions under this section shall be governed by the order of the Board.

§ 12-60.213 Prehearing briefs.

Either party may file a prehearing brief, and the Board may require both parties to submit prehearing briefs. Such a brief should be filed at least 15 days before the date set for hearing.

§ 12-60.214 Notice of hearing; where and when held.

Hearings are held in Washington, D.C., except that, upon request reasonably made and upon good cause shown, the Board in its discretion may set the hearing at another location. Hearings are scheduled by the Board with due consideration to the regular order of appeals, the desires of the parties, the requirement for just and inexpensive determination of appeals without unnecessary delay, and other pertinent factors. The parties shall be given at least 15 days' notice of the time and place set for hearings.

§ 12-60.215 Unexcused absence of a party. The unexcused absence of a party at the time and place set for hearing does not delay the hearing. In such a case, the hearing proceeds and the case is considered to be submitted on the written record by the absent party, as provided in § 12-60.206.

§ 12-60.216 Nature of hearings.

Hearings shall be as informal as may be reasonable and appropriate under the circumstances. Subject to the discretion of the presiding Board member as to the extent and manner of the presentation of such evidence, the appellant and the contracting officer may offer any relevant evidence that would be admissible under the generally accepted rules of evidence applied in the courts of the United States in nonjury trials. In general, admissibility depends on relevancy and materiality. Letters or copies thereof, affidavits, or other evidence may be admitted in the discretion of the presiding Board member. The weight to be attached to evidence presented in any particular form is within the discretion of the Board, after considering the circumstances of the particular case. The Board may in any case require evidence in addition to that offered by the parties.

§ 12-60.217 Examination of witnesses.

Witnesses before the Board may be examined orally under oath or affirmation. If the testimony of a witness is not given under oath the Board shall warn the witness that his statements are subject to sections 287 and 1001 of title 18, United States Code, and any other provisions of law imposing penalties for knowingly making false representations in connection with claims against the United States.

§ 12-60.218 Copies of papers.

A true copy may be substituted for any book, record, paper, or other document that has been received in evidence. If this is done, an identical copy shall be furnished to the other party.

§ 12-60.219 Posthearing briefs.

Posthearing briefs may be submitted upon such terms as may be agreed upon by the parties, or as may be directed by the presiding Board member.

§ 12-60.220 Transcript of proceedings. Unless the Board otherwise orders, testimony and argument at hearings shall be reported verbatim. Any party to a hearing may buy a transcript of

the proceedings at rates fixed by contract between the Board and the reporter, or equivalent rates if the proceedings are reported by an employee of the United States.

§ 12-60.221 Settling the record.

(a) A case which is heard is ready for decision upon receipt of transcript, or upon receipt of briefs when briefs are to be submitted.

(b) A case submitted on the record pursuant to § 12-60.206 is ready for decision when the parties are so notified by the Board. At any time before the date that such a case is ready for decision, either party may, upon good cause shown, supplement the record with documents and exhibits that the Board considers relevant and material.

(c) The Board may, upon its own motion, call upon either party, with appropriate notice to the other, for evidence that it considers relevant and material. The weight attached to any evidence of record is within the discretion of the Board. Either party may at any stage of the proceeding, on notice to the other party, question by objection the relevance or materiality of material in the record or offered into the record.

(d) The Board record consists of the appeal file described in § 12-60.204 and any additional material filed with or heard by the Board, except material which the Board strikes or excludes.

(e) This record is at all times available for inspection by either party, upon reasonable prior arrangement, at the office of the Board. Copies of material in the record may, if practicable, be furnished to the appellant upon payment of the established fees for reproduction.

§ 12-60.222 Representation of parties.

An individual appellant may prosecute his appeal in person; a corporation, by an officer; a partnership or joint venture, by a member; and any appellant may be represented by an attorney. The contracting officer is represented by Government counsel.

§ 12-60.223 Settlement.

A dispute may be settled at any time before the decision by the filing of a written notice by the appellant with

drawing his appeal or by written stipulation between the appellant and the contracting officer, settling the dispute. Proceedings may be suspended while the parties are considering settlement.

§ 12-60.224 Decisions

Written decisions of the Board shall be forwarded simultaneously to both parties. The rules of the Board and all final orders and decisions are open for public inspection at the offices of the Board in Washington, D.C. Decisions of the Board are made upon the record.

PART 12-99—DEPARTMENTAL ORDERS

§ 12-99.000 Scope of part.

This part contains the following Departmental orders which pertain to procurement:

(a) DOT Order 4220.1 (Subject: Prefixes for DOT contract numbers).

(b) DOT Order 4200.4 (Subject: Unsolicited contract proposals).

(c) DOT Order 4200.7 (Subject: Authority to make contractual commitments).

(d) DOT Order 4400.3 (Subject: Establishment of Department of Transportation Procurement Regulations). [The Text of the Above Orders Follows] DOT ORDER 4220.1, SUBJECT: PREFIXES FOR DOT CONTRACT NUMBERS

1. Purpose. To establish prefixes for contract numbers issued by the Department of Transportation.

2. Cancellation. DOT 4200.3, Prefixes for Department of Transportation Contract Numbers, dated 12-22-67.

3. Scope. The provisions of this order apply to the Office of the Secretary and the operating administrations. In addition, pursuant to delegation by the National Transportation Safety Board (NTSB) under section 5(m) of the Department of Transportation Act, this directive is applicable to the NTSB.

4. Discussion. It is desirable to have contract numbers for contracts issued by the Department prefixed by letter designations which will clearly identify the contracts by the Department, and within the Department by component, i.e., OST, operating administration or NTSB. Standardization of the numbering system to this extent will aid in the correct referral of inquiries about, or

b. Identifying contract numbers and letters, other than the above required prefixes, will be established by each component of the Department. To the extent the above prescribed prefixes interfere with established control systems they may be omitted on purely internal actions.

c. When contracts are entered into by one component for another, pursuant to a crossservicing agreement, the contract number prefix will be that of the component for which the contract was prepared.

For the Secretary of Transportation.

ALAN L. DEAN, Assistant Secretary for Administration. DOT ORDER 4200.4, SUBJECT: UNSOLICITED CONTRACT PROPOSALS

1. Purpose. To state Department of Transportation policy on unsolicited contract proposals and prescribe procedures for their processing.

2. Scope. The provisions of this order apply to the Office of the Secretary and the operating administrations. In addition, pursuant to delegation by the National Transportation Safety Board under section 5(m) of the Department of Transportation Act, this directive is applicable to the National Transportation Safety Board.

3. Definition. An unsolicited contract proposal, hereinafter referred to as an unsolicited proposal, is an offer initiated and submitted to the Department of Transportation by a prospective contractor, without solicitation from the Government, with the objective of obtaining a contract.

4. Discussion. The Department of Transportation encourages prospective contractors to disclose to the Department, for purposes of evaluation, unique or novel ideas or concepts which they have originated, con