Page images
PDF
EPUB

Subpart 12-1.5-Contingent Fees § 12-1.508 Enforcement.

§ 12-1.508-3 Misrepresentation or violations of the covenant against contingent fees.

The views of the Office of the General Counsel, OST, shall be obtained prior to the referral of a case to the Department of Justice.

Subpart 12-1.6-Debarred, Suspended, and Ineligible Bidders

§ 12-1.602 Establishment and maintenance of a list of concerns or individuals debarred, suspended, or declared ineligible.

The Federal Aviation Administration is delegated authority to compile, print, and distribute on a Departmentwide basis, the Department of Transportation Consolidated List of Debarred, Ineligible, and Suspended Contractors.

§ 12-1.604-1 Procedural requirements relating to the imposition of debarment. (a) Administrative debarment by the Department shall be initiated within each Administration or OST in accordance with the procedures set forth in FPR 1-1.604-1. The written notice required by FPR 1-1.604-1 shall be signed by the head of the agency. Where no hearing on the basis of either oral testimony or a written statement is requested by the concern or individual sought to be debarred, debarment may be imposed by the head of the agency and shall be applicable to the entire Department. Where a hearing is properly requested, the debarment, if any, shall be imposed by the Secretary upon recommendation of the Chairman of the Department of Transportation Contract Appeals Board (DOTC AB), and shall be similarly applicable to the entire Department.

(b) The written notice of proposed debarment to be furnished in accordance with FPR 1-1.604-1 shall, in addition to the requirements specified therein, apprise the concern or individual that if such party desires to present information, either in person

or in writing, in opposition to such action, at a hearing, (1) a request therefor is to made to the Chairman of the DOTCAB by that party within 20 days following receipt of the notice of the proposed debarment, and (2) the request for a hearing is to be accompanied by a statement setting forth the grounds upon which the proposed debarment will be contested. In addition, the notice shall include a notification that debarment, if imposed, shall be applicable throughout the Department. The notice shall be sent by registered or certified mail, return receipt requested, to the last known address of the concern or individual, but where actual or personal delivery is not effected by the Post Office, a debarment may be imposed by the head of the agency; but any such debarment shall, upon the submission of an appropriate application, be subject to reopening and in such event a hearing shall be accorded with respect to the debarment. A copy of each such notice shall be sent to TAD-60.

(c) Hearings requested in connection with debarment proceedings as provided in FPR 1-1.604-1(b) shall be conducted before the DOTCAB. An opportunity shall be afforded the concern or individual to appear with witnesses and counsel to show cause why such concern or individual should not be debarred. Where a concern or individual requests a hearing and fails to appear, the DOTCAB shall consider the case on the basis of the records and information made available to it. In any instance where a party has requested a hearing, he may elect to forego the submission of oral testimony and may submit a written statement (together with any information relating thereto) in opposition to the proposed action. Hearings shall be held by the DOTCAB within 30 days after receipt of the request for a hearing, unless the Chairman of the DOTCAB grants additional time. The Chairman shall include in his recommendation to the Secretary whether or not debarment is warranted under the particular circumstances and, where debarment is warranted, a recommended period thereof.

(d) When debarment is imposed by the head of the agency, or by the Sec

90-137 78-3

retary, the concern or individual shall be notified of the decision and of the period during which such debarment shall be effective. If a proposed debarment is not upheld by the Secretary, the concern or individual shall be so notified. Notice as to the imposition of a debarment shall be furnished to the concern or individual in the same manner as provided in DOTPR 121.604-1(b) for a notice of proposed debarment.

§ 12-1.605 Suspension of bidders.

Where a suspension is effected by the Department, it shall be invoked by the Secretary upon recommendation of the General Counsel, OST.

§ 12-1.606 Agency procedure.

(a) Each administration and OST, as applicable, shall furnish the notifications to GSA required by FPR 11.606(c), for debarments initiated by it, and shall concurrently forward a like copy to (1) Federal Aviation Administration, Logistics Service, Contracts Division, Management and Services Branch, LG-380 for inclusion on or removal from the Department list, and (2) the Director of Installations and Logistics, OST, for information.

(b) Requests for standard distribution and for individual copies of the Department Consolidated List shall be made to the Federal Aviation Administration, Logistics Service, Contracts Division, Management and Services Branch, LG-380, Washington, D.C. 25090.

Subpart 12-1.7—Small Business Concerns

§ 12-1.701 Definitions.

§ 12-1.701-1 Small business concern (for Government procurement).

(a) When the solicitation is for a manufactured product classified within an industry set forth in FPR 11.701-1(h), and small business set-aside procedures are utilized, a size standard reading substantially as follows shall be included in the solicitation:

The small business employment size standard prescribed for this procurement is not more than-'employees, except when

the concern is a small business non-manufacturer in which case the employment size standard is not more than 500 employees.

Insert "750", "1,000", or "1,500", as appropriate.

(b) When the solicitation is for a manufactured product that is not classified within an industry set forth in FPR 1-1.701-1(h), and small business setaside procedures are utilized, a size standard reading substantially as follows shall be included in the solicitation:

The small business employment size standard prescribed for this procurement is not more than 500 employees.

(c) Similar language shall be used to prescribe other size standard criteria.

§ 12-1.704 Agency program direction and operation.

Each administration of the Department will establish and maintain a strong and viable small business program, designed to further the small business policies as set forth in FPR 11.702.

§ 12-1.704-1 Small business assistance officer.

Each administration, except NTSB, will designate an individual as the administration's small business assistance officer. The small business assistance officer will be responsible, either on a full time basis or as a collateral duty, for the establishment, implementation and execution of the small business program of his administration. He will be the central point of contact within his administration for inquiries concerning the small business program such as from industry, the Small Business Administration (SBA), the Congress, or the Office of the Secretary of Transportation. His duties shall include developing a plan of operation to increase the share of contracts awarded to small business by his administration.

§ 12-1.704-2 Small business specialists.

(a) A small business specialist shall be appointed by name, in writing, for each procurement office, to operate on either a full time or collateral duty basis. Only those individuals possessing the necessary business acumen,

knowledge of the Department's procurement policies and procedures, training and background to accomplish effectively the objectives of the small business program shall be considered for appointment. In any instance where the duty of a small business specialist is on a part-time basis, the appointment shall clearly indicate that the part-time nature of the assignment shall in no way relieve the individual from full responsibility for effectively accomplishing the activity's small business program requirements.

(b) In larger offices, where practical, the small business specialist shall not be the contracting officer nor an individual under the supervision of a contracting officer. He shall be given the authority to exercise independent judgment in his areas of responsibility. In small offices the assignment of the small business specialist should promote maximum effectiveness within the capabilities of the office.

(c) The small business specialist appointed pursuant to paragraph (a) of this section shall perform such of the following duties as are determined by the administration to be appropriate for his procurement office:

(1) Maintain a program designed to locate capable small business sources for current and future procurements;

(2) Coordinate inquiries and requests for advice from small business concerns on procurement matters;

(3) Review proposed solicitations for supplies and services, assuring that small business concerns will be afforded an equitable opportunity to compete, and as appropriate initiating recommendations for small business setasides;

(4) Take action to assure the availability of adequate specifications and drawings, when necessary, to obtain small business participation in a procurement;

(5) Review proposed procurements for possible breakout of items suitable for procurement from small business concerns;

(6) Advise small business concerns with respect to the financial assistance available under existing laws and regulations and assist such concerns in applying for financial assistance;

(7) Participate in determinations concerning the responsibility of a prospective small business contractor;

(8) Participate in the evaluation of a prime contractor's small business subcontracting programs;

(9) Assure that adequate records are maintained, and accurate reports prepared, concerning small business participation in the procurement program;

(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.

§ 12-1.708 Certificate of competency program.

§ 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.

§ 12-1.708-50 Additional procedures-referrals to SBA for reasons of capacity or credit.

(a) Referrals made to SBA pursuant to FPR 1-1.708-2(a) shall include a request that the contracting officer be advised, by telephone, whether or not SBA looks favorably toward issuance of a COC. If the contracting officer does not hear from the cognizant SBA office within 5 working days after the matter has been referred, he shall contact the SBA office to which the matter was referred to determine whether a COC is being processed. SBA will ordinarily notify the contracting officer by the 13th workday after receipt whether or not it looks favorably toward issuance of a COC.

(b) It is the policy of the Department to endeavor to reach agreement with the SBA regarding the capacity or credit of a small business concern. If SBA looks favorably toward the issuance of a COC, SBA may be requested to advise the reasons for the proposed affirmative action. If the contracting officer has substantial basis

for not agreeing with the proposed affirmative action, he shall request SBA to suspend further action on the case. The contracting officer should meet with SBA representatives, examine SBA case files, and take pertinent notes. SBA case files will not be released outside SBA. Every effort should be made to resolve any differences between the SBA and the contracting officer through a complete exchange of preaward information developed by each agency.

(c) One of the following courses of action shall be taken after the meeting described in paragraph (b) of this section:

(1) If the new and additional facts presented by the SBA field office representatives so warrant, the contracting officer shall (i) reverse the negative determination as to capacity and credit of the apparent low bidder or offeror, (ii) withdraw the referral to SBA, (iii) inform the SBA field office of his intention to make award and the anticipated date of award, and (iv) make the contract award without the necessity for issuance of a COC.

(2) If agreement cannot be reached between the contracting officer and the SBA field office, but the contracting officer concludes it is not necessary to request a final determination of the case by SBA Washington nor appropriate to withdraw the request for COC action, the contracting officer shall inform the SBA field office that a COC must be issued as a prerequisite to contract award.

(3) If agreement cannot be reached between the contracting officer and the SBA field office, and the contracting officer still has substantial basis for doubt as to the ability of the firm to perform, the contracting officer shall request the SBA field office to suspend action to permit referral of the case to higher authority for review. The contracting officer shall then refer the matter to higher authority within his activity. If it is felt that the case is one which may warrant consideration by SBA Washington, it shall next be referred, with recommendations, to the Washington official designated by the administration, for review and determination of additional action required. The case

file shall include the data forwarded to SBA, a statement of SBA's reasons for proposing to issue a COC, and any pertinent data noted from the review of the SBA case files. No further procurement action will be taken by the contracting officer until he is informed of the final decision in the case.

(d) If an SBA field office issues a COC without first advising the contracting officer of its intention to do so, the contracting officer shall (1) determine from SBA the reasons for the failure to advise and the reasons why the COC was issued, and (2) advise the Washington official designated by his Administration of SBA's failure to advise and also whether an appeal of the COC action to SBA Washington is recommended.

[blocks in formation]

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.

§ 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 specialist 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.

§ 12-1.750-4 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.

§ 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 Concerns

§ 12-1.807 Report on preference procurement 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 February 5 and August 5. The Director of Installations and Logistics will prepare and submit to GSA the consolidated departmental report.

Subpart 12-1.9-Reporting Possible

Antitrust Violations

§ 12-1.901 General.

The reports required by FPR Subpart 1-1.9 shall be prepared for the signature of the Secretary, and forwarded to the Director of Installations and Logistics.

Subpart 12-1.11-Qualified Products § 12-1.1150 General.

(a) It is sometimes necessary to test products in advance of any procurement action to determine if a product is available that will meet specification requirements. In such cases, the specification may require qualification of the product. Qualification is the entire process by which products are obtained from manufacturers or distributors, examined and tested for compliance with specification requirements, and then identified on a list of qualified products. Qualification is performed in advance and independent of any specific procurement action.

(b) A Qualified Product List (QPL) identifies the specification, manufacturer or distributor, item by part or model number or trade name, place of manufacture, and the test report involved. Suppliers whose products have successfully passed qualification and who furnish evidence thereof are eligible for award even though the product is not yet included in the QPL.

(c) Chapter IV of the Federal Standardization handbook (Federal Property Management Regulations 101-29) is the basic instruction concerning qualified products and qualifications procedures. Copies of this handbook

« PreviousContinue »