Acquisition Regulation Rewrite, 19828-19863 [2010-7967]

Agencies

• DEPARTMENT OF THE INTERIOR
• Office of the Secretary

[Federal Register Volume 75, Number 72 (Thursday, April 15, 2010)]
[Rules and Regulations]
[Pages 19828-19863]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-7967]



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Part III





Department of the Interior





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48 CFR Chapter 14



Acquisition Regulation Rewrite; Interim Final Rule

Federal Register / Vol. 75, No. 72 / Thursday, April 15, 2010 / Rules 
and Regulations

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DEPARTMENT OF THE INTERIOR

Office of the Secretary

48 CFR Chapter 14

RIN 1093-AA11


Acquisition Regulation Rewrite

AGENCY: Office of the Secretary, Interior.

ACTION: Interim final rule.

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SUMMARY: The Department of the Interior (DOI) is taking interim final 
action on administrative changes to the Department of the Interior 
Acquisition Regulation (DIAR). This action revises the DIAR, 48 CFR 
Chapter 14, but does not impose any new requirements on DOI 
contractors. The revisions in this interim final rule will make minor 
corrections to and streamline DOI acquisition processes to be 
consistent with and non-duplicative of the Federal Acquisition 
Regulation (FAR). Some DIAR coverage is being revised and obsolete 
material is being removed. FAR clauses are now available that provide 
coverage for the DIAR clauses that are removed by this rule.

DATES: This rule is effective on May 17, 2010. Submit comments by June 
14, 2010.

ADDRESSES: You may submit comments on the rulemaking through the 
Federal eRulemaking Portal at https://www.regulations.gov. Please use 
the Regulation Identifier Number (RIN) 1093-AA11 in your message. 
Follow the instructions on the Web site for submitting comments.

FOR FURTHER INFORMATION CONTACT: Tiffany A. Schermerhorn, Senior 
Procurement Analyst, Office of Acquisition and Property Management, 
Office of the Secretary, telephone (202) 513-0747, fax (202) 219-4244, 
or e-mail tiffany_schermerhorn@ios.doi.gov.

SUPPLEMENTARY INFORMATION: 

I. Background

    This rule revises the Department of the Interior Acquisition 
Regulation (DIAR) in order to update references to other federal and 
Departmental directives, remove obsolete material and references, and 
clarify and streamline internal policies and procedures.
    This rule is a result of the DIAR Rewrite Project. DOI is 
undertaking this project to revise the DIAR to maintain consistency 
with the FAR and make other administrative changes. No DOI clauses are 
being changed, with the exception of the removal of obsolete clauses. 
We view this as a noncontroversial amendment and anticipate no adverse 
comment. This rule does not impose any new requirements on DOI 
contractors. All changes are minor and are consistent with the FAR. We 
are providing an opportunity for the public to comment on this interim 
rule and will carefully consider and respond to any comments that we 
receive. We have found good cause to publish this rule without prior 
proposal. We have determined that it would be impracticable, 
unnecessary, and contrary to the public interest to delay publication 
of this rule in final form pending an opportunity for public comment.

II. Procedural Matters

1. Public Availability of Comments

Public availability of comments
    Before including your address, phone number, e-mail address, or 
other personal identifying information in your comment, you should be 
aware that your entire comment--including your personal identifying 
information--may be made publicly available at any time. While you can 
ask us in your comment to withhold your personal identifying 
information from public review, we cannot guarantee that we will be 
able to do so.

2. Regulatory Planning and Review (Executive Order 12866)

    This document is not a significant rule and is not subject to 
review by the Office of Management and Budget under Executive Order 
12866.
    (1) This rule will not have an effect of $100 million or more on 
the economy. It will not adversely affect in a material way the 
economy, productivity, competition, jobs, the environment, public 
health or safety, or State, local, or tribal governments or 
communities.
    (2) This rule will not create a serious inconsistency or otherwise 
interfere with an action taken or planned by another agency.
    (3) This rule does not alter the budgetary effects or entitlements, 
grants, user fees, or loan programs or the rights or obligations of 
their recipients.
    (4) This rule does not raise novel legal or policy issues.

3. The Regulatory Flexibility Act

    The Department of the Interior certifies that this rule will not 
have a significant economic effect on a substantial number of small 
entities under the Regulatory Flexibility Act (5 U.S.C. 601 et seq.). 
This rule will not impose any new requirements on small entities.

4. Small Business Regulatory Enforcement Fairness Act (SBREFA)

    This rule is not a major rule under 5 U.S.C. 804(2), the Small 
Business Regulatory Enforcement Fairness Act. This rule:
    a. Does not have an annual effect on the economy of $100 million or 
more.
    b. Will not cause a major increase in costs or prices for 
consumers, individual industries, Federal, State, or local government 
agencies, or geographic regions.
    c. Does not have significant adverse effects on competition, 
employment, investment, productivity, innovation, or the ability of 
U.S.-based enterprises to compete with foreign-based enterprises.

5. Unfunded Mandates Reform Act

    This rule does not impose an unfunded mandate on State, local, or 
tribal governments or the private sector of more than $100 million per 
year. The rule will not have a significant or unique effect on State, 
local, or tribal governments or the private sector. A statement 
containing the information required by the Unfunded Mandates Reform Act 
(2 U.S.C. 1531 et seq.) is not required.

6. Takings (Executive Order 12630)

    Under the criteria in Executive Order 12630, this proposed rule 
does not have significant takings implications. This rule does not 
impose conditions or limitations on the use of any private property; 
consequently, a takings implication assessment is not required.

7. Federalism (Executive Order 13132)

    Under the criteria in Executive Order 13132, this rule does not 
have Federalism implications. This rule does not substantially or 
directly affect the relationship between Federal and State governments 
or impose costs on States or localities. A Federalism Assessment is not 
required.

8. Civil Justice Reform (Executive Order 12988)

    This rule complies with the requirements of Executive Order 12988. 
Specifically, this rule:
    (a) Meets the criteria of section 3(a) requiring that all 
regulations be reviewed to eliminate errors and ambiguity and be 
written to minimize litigation; and
    (b) Meets the criteria of section 3(b)(2) of the Order.

9. Paperwork Reduction Act of 1995

    This rule does not contain an information collection, as defined by 
the Paperwork Reduction Act.

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10. National Environmental Policy Act

    This rule does not constitute a major Federal action significantly 
affecting the quality of the human environment. A detailed statement 
under the National Environmental Policy Act of 1969 is not required.

11. Data Quality Act

    In developing this rule we did not conduct or use a study, 
experiment, or survey requiring peer review under the Data Quality Act 
(Pub. L. 106-554).

12. Effects on the Energy Supply

    This rule is not a significant energy action under the definition 
in Executive Order 13211. A Statement of Energy Effects is not 
required.

13. Clarity of This Regulation

    We are required by Executive Orders 12866 and 12988 and by the 
Presidential Memorandum of June 1, 1998, to write all rules in plain 
language. This means that each rule we publish must:
    (a) Be logically organized;
    (b) Use the active voice to address readers directly;
    (c) Use clear language rather than jargon;
    (d) Be divided into short sections and sentences; and
    (e) Use lists and tables wherever possible.
    If you feel that we have not met these requirements, send us 
comments by one of the methods listed in the ADDRESSES section. To 
better help us revise the rule, your comments should be as specific as 
possible. For example, you should tell us the numbers of the sections 
or paragraphs that you find unclear, which sections or sentences are 
too long, which sections where you feel lists or tables would be 
useful, etc.

List of Subjects in 48 CFR Chapter 14

    Government Procurement.

    Dated: March 22, 2010.
Pamela K. Haze,
Deputy Assistant Secretary, Budget, Finance, Performance and 
Acquisition.

0
For the reasons set out in the preamble, we are revising Chapter 14 of 
Title 48 Code of Federal Regulations to read as follows:
Title 48--Federal Acquisition Regulations System
CHAPTER 14--DEPARTMENT OF THE INTERIOR
SUBCHAPTER A--GENERAL
PART 1401--DEPARTMENT OF THE INTERIOR ACQUISITION REGULATION SYSTEM
PART 1402--DEFINITIONS OF WORDS AND TERMS
PART 1403--IMPROPER BUSINESS PRACTICES AND PERSONAL CONFLICTS OF 
INTEREST
PART 1404--ADMINISTRATIVE MATTERS
SUBCHAPTER B--COMPETITION AND ACQUISITION PLANNING
PART 1405--PUBLICIZING CONTRACT ACTIONS
PART 1406--COMPETITION REQUIREMENTS
PART 1407--ACQUISITION PLANNING
PART 1408--REQUIRED SOURCES OF SUPPLIES AND SERVICES
PART 1409--CONTRACTOR QUALIFICATIONS
PARTS 1410--1412 [RESERVED]
SUBCHAPTER C--CONTRACTING METHODS AND CONTRACT TYPES
PART 1413--SIMPLIFIED ACQUISITION PROCEDURES
PART 1414--SEALED BIDDING
PART 1415--CONTRACTING BY NEGOTIATION
PART 1416--TYPES OF CONTRACTS
PART 1417--SPECIAL CONTRACTING METHODS
PART 1418--[RESERVED]
SUBCHAPTER D--SOCIOECONOMIC PROGRAMS
PART 1419--SMALL BUSINESS PROGRAMS
PARTS 1420--1421 [RESERVED]
PART 1422--APPLICATION OF LABOR LAWS TO GOVERNMENT ACQUISITIONS
PART 1423--[RESERVED]
PART 1424--PROTECTION OF PRIVACY AND FREEDOM OF INFORMATION
PART 1425--FOREIGN ACQUISITION
PART 1426--OTHER SOCIOECONOMIC PROGRAMS
SUBCHAPTER E--GENERAL CONTRACTING REQUIREMENTS
PART 1427--PATENTS, DATA, AND COPYRIGHTS
PART 1428--BONDS AND INSURANCE
PART 1429--TAXES
PART 1430--COST ACCOUNTING STANDARDS ADMINISTRATION
PART 1431--CONTRACT COST PRINCIPLES AND PROCEDURES
PART 1432--CONTRACT FINANCING
PART 1433--PROTESTS, DISPUTES, AND APPEALS
SUBCHAPTER F--SPECIAL CATEGORIES OF CONTRACTING
PART 1434--[RESERVED]
PART 1435--RESEARCH AND DEVELOPMENT CONTRACTING
PART 1436--CONSTRUCTION AND ARCHITECT-ENGINEER CONTRACTS
PART 1437--SERVICE CONTRACTING
PARTS 1438--1441 --[RESERVED]
SUBCHAPTER G--CONTRACT MANAGEMENT
PART 1442--CONTRACT ADMINISTRATION AND AUDIT SERVICES
PART 1443--CONTRACT MODIFICATIONS
PART 1444--[RESERVED]
PART 1445--GOVERNMENT PROPERTY
PART 1446--QUALITY ASSURANCE
PART 1447--[RESERVED]
PART 1448--VALUE ENGINEERING
PART 1449--TERMINATION OF CONTRACTS
PART 1450--EXTRAORDINARY CONTRACTUAL ACTIONS AND THE SAFETY ACT
PART 1451--USES OF GOVERNMENT SOURCES BY CONTRACTORS
PART 1452--SOLICITATION PROVISIONS AND CONTRACT CLAUSES
SUBCHAPTER A--GENERAL

PART 1401--DEPARTMENT OF THE INTERIOR ACQUISITION REGULATION SYSTEM

Subpart 1401.1--Purpose, Authority, Issuance
Sec.
1401.105-3 Copies.
Subpart 1401.2--Administration
1401.201 Maintenance of the Federal Acquisition Regulation (FAR).
1401.201-1 The Civilian Agency Acquisition Council (CAAC).
Subpart 1401.3--Agency Acquisition Regulations
1401.301 Policy.
1401.301-70 Definitions.
1401.303 Publication and codification.
1401.304 Agency control and compliance procedures.
1401.370 Acquisition Managers' Partnership.
Subpart 1401.4--Deviations from the FAR and DIAR
1401.403 Individual deviations.
1401.404 Class deviations.
1401.405 Deviations pertaining to treaties and executive agreements.
Subpart 1401.6--Career Development, Contracting Authority, and 
Responsibilities
1401.601 General.
1401.602 Contracting officers.
1401.602-1 Authority.
1401.602-3 Ratification of unauthorized commitments.
1401.603 Selection, appointment and termination of appointment.
1401.603-1 General.
1401.603-2 Selection.
1401.603-3 Appointment.
1401.670 Contracting officers' representatives.
1401.670-1 Contract clause.
Subpart 1401.70--Acquisition Reviews
1401.7000 Scope of subpart.
1401.7001 Review and approval of contract actions.

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1401.7001-1 Review and approval by Assistant Secretaries.
1401.7001-2 Legal review by the Office of the Solicitor.
1401.7001-3 Administrative review and approval by bureaus and 
offices.
1401.7001-4 Acquisition performance measurement systems.
1401.7001-5 Acquisition Management Reviews (AMRs).

    Authority: Sec. 205(c), 63 Stat. 390, 40 U.S.C. 486(c); and 5 
U.S.C. 301.

Subpart 1401.1--Purpose, Authority, Issuance


1401.105-3  Copies.

    Copies of the Department of the Interior Acquisition Regulation 
(DIAR) and Department-wide internal guidance may be obtained from the 
Office of Acquisition and Property Management, Office of the Secretary, 
U.S. Department of the Interior, 1849 C Street (MS 2607-MIB), NW., 
Washington, DC 20240. Additional information on DOI may be obtained on 
the Internet at https://www.doi.gov/pam.

Subpart 1401.2--Administration


1401.201  Maintenance of the Federal Acquisition Regulation (FAR).


1401.201-1  The Civilian Agency Acquisition Council (CAAC).

    The Department of the Interior is represented on the CAAC by a 
member of the Office of Acquisition and Property Management (PAM).

Subpart 1401.3--Agency Acquisition Regulations


1401.301  Policy.

    (a)(1) Subject to the authorities in paragraph (c) of this section, 
the Department issues acquisition regulations which implement or 
supplement the FAR under the DIAR System. The regulation, as part of 
the FAR system, is issued in accordance with the policy in FAR 
1.301(a)(1).
    (2) Subject to the authorities in paragraph (c) of this section, 
the Department also issues internal guidance and instructions under the 
DIAR System in accordance with the policy in FAR 1.301(a)(2).
    (b) Public participation in promulgating acquisition regulations, 
which are published in the Federal Register, shall follow the 
Department's rulemaking procedures prescribed in Part 318, Chapter 5 of 
the Departmental Manual (318 DM 5) and the procedures in FAR Subpart 
1.5.
    (c) Regulations and internal guidance under the DIAR System are 
issued pursuant to the authority of the Secretary of the Interior under 
5 U.S.C. 301 and 40 U.S.C. 486(c). This authority has been delegated to 
the Assistant Secretary--Policy, Management and Budget under Part 209, 
Chapter 4.1A of the Departmental Manual (209 DM 4.1A).


1401.301-70  Definitions.

    (a) ``Implement,'' as used in this subpart, means coverage that 
expands upon or specifically indicates the manner of compliance with 
related higher level coverage.
    (b) ``Supplement,'' as used in this subpart, means material for 
which there is no counterpart in higher-level coverage.


1401.303  Publication and codification.

    (a)(1) Implementing and supplementing regulations issued under the 
DIAR System are codified under Chapter 14 in Title 48, Code of Federal 
Regulations and shall parallel the FAR in format, arrangement, and 
numbering system.
    (2)(i) Department-wide regulations are assigned parts 1401 through 
1479 under 48 CFR, Chapter 14.
    (ii) Where material in the FAR requires no implementation, there 
will be no corresponding number in the DIAR. Thus, there are gaps in 
the DIAR sequence of numbers where the FAR, as written, is deemed 
adequate. Supplemental material shall be numbered as specified in FAR 
1.303.
    (3) Bureau-wide regulations are authorized for codification in 
Appendices to Chapter 14, as assigned by the Director, PAM, in 
accordance with 1401.304(a)(3).
    (b) Regulations implementing the FAR or DIAR are numbered using 
Parts 1401 through 1479. Supplemental material is numbered using Parts 
1480 through 1499. Numbers for implementing or supplementing 
regulations by bureaus/offices are preceded by a prefix to the number 
14 (indicating Chapter 14-DIAR) for the organization indicated by 
lettered appendices as follows:
    (1) Bureau of Indian Affairs--BIA
    (2) Bureau of Reclamation--WBR
    (3) National Business Center--NBC
    (4) Bureau of Land Management--LLM
    (5) U.S. Geological Survey--WGS
    (6) Office of Surface Mining Reclamation & Enforcement--LSM
    (7) Minerals Management Service--LMS
    (8) National Park Service--FNP
    (9) U.S. Fish and Wildlife Service--FWS
    (c) e.g., FAR 1.3 then DIAR 1401.3 [Department level] then in 
Appendix A, BIA 1401.3 [Bureau level].


1401.304  Agency control and compliance procedures.

    (a)(1) The DIAR System is under the direct oversight and control of 
the Director, PAM, who is responsible for reviewing and preparing the 
issuance of all Department-wide and bureau-wide acquisition regulations 
published in the Federal Register to ensure compliance with FAR Part 1. 
Review procedures are contained in Part 401 of the Departmental Manual 
(401 DM) and paragraph (a)(3) of this section. One copy of all material 
issued shall be furnished to the Director, PAM, at the time of 
issuance.
    (2) The Director, PAM, is also responsible for reviewing and 
issuing unpublished Department-wide internal guidance under the DIAR 
System.
    (3) A bureau wishing to issue bureau-wide regulations shall submit 
a request to the Director, PAM, for authority to proceed with the 
regulation. The request shall include a justification for the 
regulation and a proposed outline of the regulation and the significant 
contents of the coverage to be included. The Director, PAM, shall 
review the request to determine whether the regulation should be 
considered for inclusion in the DIAR or FAR. If a determination is made 
that the regulation is appropriate for inclusion in the DIAR or FAR, 
PAM will process the regulation accordingly. If a determination is made 
that the regulation is appropriate for inclusion in bureau-wide 
regulations only, the Director, PAM, shall assign an appendix to 48 CFR 
Chapter 14 and authorization shall be granted for the bureau to proceed 
with the regulation in accordance with the procedures referenced in 
1401.301(b). Rulemaking notices shall be submitted to the Director, 
PAM, for processing of AS/PMB approval under 401 DM 1.4C(3), before the 
appropriate program Assistant Secretary signs them.
    (4) HCAs are responsible for establishing and implementing formal 
procedures for oversight and control of all unpublished bureau-wide 
internal guidance issued to implement FAR or DIAR requirements. The 
Director, PAM, shall review and approve these procedures and they shall 
include:
    (i) Provisions for centralized issuance of all guidance and 
instructions using a directives system;
    (ii) Methods for periodic review and updating of all issuances;
    (iii) Distribution processes which ensure timely receipt by all 
affected contracting offices; and
    (iv) Provisions for maintaining compliance with FAR 1.304.
    (b) The Director, PAM, is responsible for evaluating coverage under 
the DIAR

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System to determine applicability to other agencies and for 
recommending coverage to the FAR Secretariat for inclusion in the FAR.


1401.370  Acquisition Managers' Partnership.

    (a) The Acquisition Managers' Partnership (AMP) is a forum for 
DOI's senior acquisition management community to work cooperatively and 
continuously to improve the management, efficiency and effectiveness of 
its procurement services in support of DOI's mission.
    (b) The AMP consists of the BPCs and representatives from PAM and 
OSDBU.
    (c) The AMP Charter provides that the Chairperson and Associate 
Chairperson are leadership roles that will rotate annually. The AMP 
Chairperson determines when the partnership will meet and develops 
meeting agendas. The Chairperson will distribute the meeting minutes to 
all members.

Subpart 1401.4--Deviations from the FAR and DIAR


1401.403  Individual deviations.

    (a) The Director, PAM, is authorized to approve deviations of FAR 
provisions (see FAR 1.4) or DIAR provisions which affect only one 
contracting action.
    (b) Requests for deviations under paragraph (a) of this section 
shall be submitted by the BPC and include justification for the 
deviation.
    (c) A copy of the approved deviation shall be included in the 
contract file.


1401.404  Class deviations.

    (a) The Director, PAM, is authorized to approve class deviations of 
FAR or DIAR provisions which affect more than one contracting action.
    (b) Requests for deviations under paragraph (a) of this section 
shall be submitted by the HCA and include justification for the 
deviation and the number of contracting actions which will be affected.
    (c) For a FAR class deviation the Director, PAM, shall consult with 
the CAAC, as required in FAR 1.404(a)(1), before authorizing the 
deviation.
    (d) A copy of each approved class deviation shall be referenced in 
the contract file.
    (e) Recommended revisions to the FAR and a copy of each approved 
class FAR deviation shall be transmitted to the FAR Secretariat by the 
Director, PAM, as required in FAR 1.404.


1401.405  Deviations pertaining to treaties and executive agreements.

    (a) The Director, PAM, is responsible for transmitting to the FAR 
Secretariat the information required in FAR 1.405(d).
    (b) For deviations not authorized by FAR 1.405(b) or (c), the 
Director, PAM, shall process the request for deviation through the FAR 
Secretariat.
    (c) Deviations authorized or requested under paragraph (d) or (e) 
of this section shall be submitted by the HCA to the Director, PAM for 
further action.

Subpart 1401.6--Career Development, Contracting Authority, and 
Responsibilities


1401.601  General.

    (a) The authority and responsibility vested in the Secretary to 
contract for authorized supplies and services is delegated to Assistant 
Secretaries.
    (b) The contracting authority and responsibility delegated to 
Assistant Secretaries may be redelegated to heads of bureaus and 
offices under their supervision in accordance with 200 DM 3. Such 
redelegations are published in bureau chapters of the Part 200 series 
of the Departmental Manual.
    (c) Bureau heads and assistant or associate heads thereof (known as 
HCAs as defined in 1402.1) may redelegate contracting authority only as 
prescribed in 1401.603.


1401.602  Contracting officers.


1401.602-1  Authority.

    Information on the limits of CO's authority shall be maintained by 
the HCA as required in FAR 1.602-1.


1401.602-3  Ratification of unauthorized commitments.

    (a) The HCA may redelegate ratification authority to the CCO as 
defined in Subpart 1402.1 and implemented in bureau procedures.
    (b) Legal concurrence is required prior to ratification of 
unauthorized actions for amounts greater than the micropurchase 
threshold.
    (c) Nonratifiable commitments shall be coordinated with the SOL.


1401.603  Selection, appointment and termination of appointment.


1401.603-1  General.

    BPCs are authorized to select and appoint COs and terminate their 
appointment as prescribed in the Department's Certificate of 
Appointment (COA) Manual. Copies of the manual may be obtained at 
https://www.doi.gov/pam/Acqworkfor.html.


1401.603-2  Selection.

    COs, regardless of series or organizational placement, must be 
certified at a level commensurate with their appointment level, as 
prescribed in the Department's Federal Acquisition Certification in 
Contracting (FAC-C) Program Manual. Director, PAM, is the approving 
authority for all new and reinstated FAC-C certifications. BPCs are 
authorized to approve renewal FAC-C certifications.


1401.603-3  Appointment.

    Purchase card holders may be appointed in writing or in accordance 
with the bureau/office procedures within the constraints of DOI 
Integrated Charge Card Program Policy Manual located at https://www.doi.gov/pam/chargecard. Additional guidance is available in the GSA 
Smart Pay program at https://www.gsa.gov/smartpay.


1401.670  Contracting officers' representatives.

    When a CO elects to appoint an individual to act as an authorized 
representative in the administration of a contract, such appointment 
must be made in accordance with the DOI Contracting Officers' 
Representative Manual available at https://www.doi.gov/pam/Acqworkfor.html.


1401.670-1  Contract clause.

    Insert the clause at 1452.201-70 in solicitations and contracts 
under which a COR or COTR will be appointed. Complete the fill-in 
before award.

Subpart 1401.70--Acquisition Reviews


1401.7000  Scope of subpart.

    This subpart sets forth requirements for review and approval of 
contract actions and the conduct of acquisition management reviews.


1401.7001  Review and approval of contract actions.


1401.7001-1  Review and approval by Assistant Secretaries.

    Contract actions shall be reviewed and approved by Assistant 
Secretaries as prescribed in 211-255 DM. Their approvals shall be 
obtained before requesting any other approvals prescribed in the DIAR.


1401.7001-2  Legal review by the Office of the Solicitor.

    The Office of the Solicitor (SOL) will review for legal sufficiency 
selected types and portions of contract actions from Bureaus and 
offices as required by the FAR, DIAR, and Department-wide policy. COs 
may request SOL advice or guidance on acquisition-related matters at 
any time. Matters related to legal sufficiency reviews that cannot be 
resolved between the respective CO and SOL Attorney-Advisor must be 
submitted for resolution to the HCA and the Assistant Solicitor for 
Acquisitions

[[Page 19832]]

and Intellectual Property, Washington, DC.


1401.7001-3  Administrative review and approval by bureaus and offices.

    (a) Administrative review and approval requirements for contract 
actions shall be established by the HCA and issued as internal bureau 
procedures. At a minimum, the review and approval requirements must 
address a representative percentage of the overall contract actions 
within a bureau/office. The procedures shall include:
    (1) Identifying the type and dollar amounts of the actions to be 
reviewed based on the volume and nature of the contracting office 
workload;
    (2) Designating the stage(s) in the acquisition process when the 
review(s) shall be performed;
    (3) Establishing review and approval levels based on the type and 
dollar amount of the action and the capabilities of the reviewing 
office;
    (4) Specifying what information is required to review the action, 
which includes creating a review and approval form and mechanism for 
following up on the correction of deficiencies noted in the review; and
    (5) Providing for periodic review of procedures and revision as 
required, to assure necessary controls are maintained.


1401.7001-4  Acquisition performance measurement systems.

    (a) The acquisition performance measurement system is a three-
pronged approach that includes self assessment, statistical data for 
validation and flexible quality reviews and assessment techniques. This 
system is required to:
    (1) Evaluate the effectiveness and efficiency of bureau and office 
acquisition systems;
    (2) Assess the adequacy of policies, procedures and regulations 
governing the acquisition process; and
    (3) Identify and implement changes necessary to improve the 
systems.
    (b) HCA's are responsible for ensuring contracting activity 
compliance with law and regulations through the review and oversight 
process.


1401.7001-5  Acquisition Management Reviews.

    Acquisition Management Reviews (AMRs) are to be conducted using the 
Government Accountability Office's (GAO) ``Framework for Assessing the 
Acquisition Function at Federal Agencies'' available at https://www.gao.gov/new.items/d05218g.pdf.

PART 1402--DEFINITIONS OF WORDS AND TERMS

Subpart 1402.1--Definitions
Sec.
1402.101 Definitions.
1402.170 Acronyms.

    Authority: Sec. 205(c), 63 Stat. 390, 40 U.S.C. 486(c); and 5 
U.S.C. 301.

Subpart 1402.1--Definitions


1402.101  Definitions.

    As used in this part:
    Bureau procurement chief (BPC) is defined as the senior GS-1102 
official in a bureau or office. His/her authority may be delegated, 
unless specified otherwise, to the CCO. If the BPC is also the CO for 
an action requiring approval of the BPC, then approval shall be at the 
HCA level.
    Chief of the contracting office (CCO) is defined as the senior GS-
1102 within a contracting office unless otherwise specified by bureau/
office regulation. If the CCO is also the Contracting Officer (CO) for 
an action requiring approval of the CCO, then approval shall be at a 
level above the CCO in accordance with bureau procedures.
    Contracting activity is defined as an office with delegated 
procurement authority. Within the Office of the Secretary (OS), the 
Office of Inspector General (OIG) is a contracting activity. The 
National Business Center (NBC) contracts for the OS.
    Head of the agency (also called ``agency head'') is defined as the 
Secretary of the Interior and the Assistant Secretary--Policy, 
Management and Budget (AS/PMB).
    Head of the contracting activity (HCA) is defined as the assistant 
or associate administrative head of each bureau and office who has 
overall responsibility for managing contracting. In reference to the 
OS, the HCAs are the Assistant Inspector General for Management and 
Policy and the Director, NBC. The authority of the HCA may be 
redelegated to the BPC unless otherwise specified.
    Senior procurement executive is defined as the Director, Office of 
Acquisition and Property Management (PAM).


1402.170  Acronyms.

A&E Architect & Engineering
ACMIS Acquisition Career Management Information System
AMP Acquisition Manager's Partnership
AMR Acquisition Management Review
AS/PMB Assistant Secretary--Policy, Management and Budget
BPA Blanket Purchase Agreement
BPC Bureau Procurement Chief
BUDS Business Utilization Development Specialist
CA Competition Advocate
CAAC Civilian Agency Acquisition Council
CAS Cost Accounting Standards
CASB Cost Accounting Standards Board
CBCA Civilian Board of Contract Appeals
CCO Chief of the Contracting Office
CERCLA Comprehensive Environmental Response, Compensation and Liability 
Act
CFR Code of Federal Regulations
CIO Chief Information Officer
CO Contracting Officer
COA Certificate of Appointment
COI Conflicts of Interest
COR Contracting Officer's Representative
COTR Contracting Officer's Technical Representative
DISP Defense Industrial Security Program
DM Departmental Manual
DOI Department of the Interior
DOL Department of Labor
EC Electronic Commerce
FAR Federal Acquisition Regulation
FBMS Financial Business Management System
FPDS--NG Federal Procurement Data System--Next Generation
GAO Government Accountability Office
GIDEP Government-Industry Data Exchange Program
GPE Government Point of Entry
GPO Government Printing Office
GSA General Services Administration
GSBCA General Services Board of Contract Appeals
HCA Head of the Contracting Activity
IT Information Technology
IPMD Interior Property Management Directives
MBDA Minority Business Development Agency
OCIO Office of Chief Information Officer
OIG/IG Office of Inspector General/Inspector General
OFPP Office of Federal Procurement Policy
OHA Office of Hearings and Appeals
OMB Office of Management and Budget
OS Office of the Secretary
OSDBU Office of Small and Disadvantaged Business Utilization
PAM Office of Acquisition and Property Management
PMO Property Management Officer
PNM Procurement Negotiation Memorandum
SAT Simplified Acquisition Threshold
SBA Small Business Administration

[[Page 19833]]

SOL Office of the Solicitor
TFM Treasury Financial Manual
U.S.C. United States Code
VECP Value Engineering Change Proposal

PART 1403--IMPROPER BUSINESS PRACTICES AND PERSONAL CONFLICTS OF 
INTEREST

Subpart 1403.1--Safeguards
Sec.
1403.101 Standards of conduct.
1403.101-3 Agency regulations.
1403.101-70 Technical evaluators and advisors.
1403.104 Procurement integrity.
1403.104-2 Applicability.
1403.104-4 Disclosure, protection and marking of contractor bid or 
proposal information and source selection information.
1403.104-7 Violations or possible violations.
Subpart 1403.2--Contractor Gratuities to Government Personnel
1403.203 Reporting suspected violations of the Gratuities clause.
1403.204 Treatment of violations.
Subpart 1403.3--Reports of Suspected Antitrust Violations
1403.303 Reporting suspected antitrust violations.
Subpart 1403.4--Contingent Fees
1403.405 Misrepresentations or violations of the Covenant Against 
Contingent Fees.
Subpart 1403.5--Other Improper Business Practices
1403.570 Restrictions on contractor advertising.
1403.570-1 Policy.
1403.570-2 Procedures.
1403.570-3 Contract clause.
Subpart 1403.6--Contracts With Government Employees or Organizations 
Owned or Controlled by Them
1403.602 Exceptions.
1403.603 Responsibilities of the contracting officer.
Subpart 1403.7--Voiding and Rescinding Contracts
1403.704 Policy.
1403.705 Procedures.
Subpart 1403.8--Limitation on the Payment of Funds to Influence Federal 
Transactions
1403.804 Policy.
1403.806 Processing suspected violations.
Subpart 1403.10--Contractor Code of Business Ethics and Conduct
1403.1004 Contract clause.

    Authority:  Sec. 205(c), 63 Stat. 390, 40 U.S.C. 486(c); and 5 
U.S.C. 301.

Subpart 1403.1--Safeguards


1403.101  Standards of conduct.


1403.101-3  Agency regulations.

    (a) Policy. DOI regulations governing the conduct and 
responsibilities of regular and special employees are contained in 43 
CFR Part 20. Additional guidance is contained in the DOI publication 
``Ethics Guide for Department of the Interior Employees.'' Copies of 
the Guide can be obtained from the Bureau/Office Ethics Office or on 
the Internet at https://www.doi.gov/ethics/. With regard to the 
provisions of 43 CFR Part 20, officials who participate personally and 
substantially in DOI procurements (as defined in FAR 3.104-3), may not 
solicit or accept any gift, gratuity, favor, entertainment, loan or 
anything of monetary value from a competing contractor during the 
conduct of a procurement.
    (b)(1) Officials may not accept or solicit from any competing 
contractor any services that involve the development of specifications, 
statements of work, evaluation criteria, or formal cost estimates to be 
used in a procurement unless such services are formally contracted for 
pursuant to the FAR and DIAR, and until the organizational COI 
provisions in FAR Subpart 9.5 have been fully addressed. This does not 
preclude COs from issuing formal Requests for Comment (RFC) or draft 
RFPs.
    (2) IT resources shall not be accepted, installed or utilized by 
the Department on a no cost, free of charge basis (this includes 
donated equipment but not public domain software), except as permitted 
by law.


1403.101-70  Technical evaluators and advisors.

    (a) Technical evaluators and advisors, including members of 
proposal evaluation committees, must render impartial, technically 
sound, and objective assistance and advice.
    (b) With the exception of contracting personnel, proposal 
evaluators and advisors are not required to file a Confidential 
Financial Disclosure Report (SF450) unless they occupy positions 
identified in 43 CFR 20.735.30(b). Therefore, when an individual is 
appointed as an evaluator or advisor, he/she must sign and return to 
the CO a Conflict of Interest Certificate in a format approved by the 
HCA. If a potential COI exists, the appointee must not be allowed to 
evaluate or advise on an offeror's proposal until the conflict has been 
resolved with the servicing Ethics Counselor.
    (c) During the evaluation process, each evaluator and advisor is 
responsible for ensuring that there are no financial or employment 
interests that conflict or give the appearance of conflicting with his 
or her duty to evaluate proposals impartially and objectively. Examples 
of situations that may be prohibited or represent a potential COI 
include:
    (1) Financial interest, including stocks and bonds, in a firm that 
submits, or is expected to submit, an offer in response to the 
solicitation;
    (2) Outstanding financial commitments to any actual or potential 
offeror;
    (3) Employment in any capacity, even if otherwise permissible, by 
any actual or potential offeror;
    (4) Employment within the last 12 months by an actual or potential 
offeror;
    (5) Any non-vested pension or re-employment rights, or interest in 
profit sharing or stock bonus plans arising out of past employment by 
an actual or potential offeror; or
    (6) Employment of any member of the immediate family by an actual 
or potential offeror.
    (d) Bureaus shall include a notice similar to the following in all 
correspondence notifying employees of appointments to serve as 
technical evaluators or advisors, formally called Technical Evaluation 
Panels (TEP) and/or Source Evaluation Boards (SEB):

    You shall not solicit or accept any gift, gratuity, favor, 
entertainment, loan, or anything of monetary value from a competing 
contractor involved in any action for which you participate 
personally and substantially under this delegation of authority. You 
are also reminded of other conduct prohibitions in FAR 3.104-3, 
including negotiating with competing contractors for future 
employment, disclosure of contractor bid or proposal information or 
source selection information, and post-Government employment 
restrictions.
    Such notice shall include an acknowledgement of receipt signed 
and returned by the employee.


1403.104  Procurement integrity.


1403.104-2  Applicability.

    Construction contracts (or subcontracts in such cases where the 
tribal contractor has subcontracted the activity) awarded under the 
authority of the Indian Self-Determination and Education Assistance 
Act, Public Law 93-638, as amended, are subject to the provisions 
promulgated under that Act.


1403.104-4  Disclosure, protection, and marking of contractor bid or 
proposal information and source selection information.

    (a) The following classes of persons may be authorized access to 
contractor

[[Page 19834]]

bid or proposal information and source selection information to the 
extent necessary to accomplish their requisite duties and 
responsibilities with respect to a particular procurement:
    (1) Individuals who generate contract requirements, including 
program and technical experts involved in the development of statements 
of work, specifications or similar documents;
    (2) Contracting personnel acting in support of the CO;
    (3) Secretarial, clerical and administrative personnel of the 
contracting activity directly involved in the procurement;
    (4) Supervisors in the CO's chain of command;
    (5) Attorneys in the SOL;
    (6) OIG contract auditors, and auditors of other agencies such as 
the Defense Contract Audit Agency (DCAA) and DHHS when requested to 
perform contract audits by the OIG;
    (7) Engineers and other technical support personnel who provide 
support to the CO;
    (8) Small Business Technical Advisors and BUDS;
    (9) SBA personnel responsible for reviewing determinations related 
to set-aside acquisitions, determining the small business status of 
offerors, processing applications for Certificates of Competency, 
reviewing subcontracting plans, or awarding contracts under the 8(a) 
program;
    (10) Personnel in DOL responsible for making eligibility 
determinations or for processing preaward EEO clearances;
    (11) Personnel who review bid protests in the GAO and the CBCA;
    (12) Personnel serving on technical evaluation boards or source 
selection evaluation boards;
    (13) Contract clearance personnel;
    (14) Departmental and bureau/office Competition Advocates;
    (15) Personnel in the Congressional liaison offices;
    (16) Agency ethics official and servicing Ethics Counselors;
    (17) Members of Congress and members of their staff. (See also DIAR 
1405.403.); and
    (18) Anyone specifically authorized by the CO.


1403.104-7  Violations or possible violations.

    (a)(1) The CO's determination that there is no impact on the 
procurement due to a possible violation of the Procurement Integrity 
Act and decision to proceed with contract award shall receive 
concurrence from an individual one level above the CO.
    (2) In case of nonconcurrence with the CO's determination, the HCA 
shall provide a copy of the reported violation and recommended action 
to the OIG in accordance with Part 111 DM 3. The CO, in consultation 
with the SOL and the OIG, must justify the compelling circumstances for 
immediate award and obtain approval to proceed from the BPC without the 
power of redelegation. Copies of the determination to proceed with the 
award will be sent to the Director, PAM, for submission to the AS/PMB.

Subpart 1403.2--Contractor Gratuities to Government Personnel


1403.203  Reporting suspected violations of the Gratuities clause.

    When suspected violations of the clause at FAR 52.203-3, 
Gratuities, become known to a Federal Government employee, the matter 
shall be reported, in writing, to the cognizant CO or the CO's 
supervisor, as appropriate. The report shall clearly state the alleged 
circumstances surrounding the incident or incidents in which the 
contractor offered or gave a gratuity to a Federal Government employee 
and intended to obtain a contract or favorable treatment under a 
contract because of the gratuity. The date(s), location(s) and name(s) 
of all parties involved in the incident shall be included in the 
report.


1403.204  Treatment of violations.

    (a) The CO will provide the contractor with a formal notice that 
summarizes the events involving the suspected violation and affords the 
contractor the opportunity to take the action(s) listed under FAR 
3.204(b). The notice shall contain a time limit for reply and shall be 
sent by certified mail return receipt requested. The CO will submit the 
report, additional documentary evidence and other pertinent information 
to the HCA for disposition with a recommended course of action. A copy 
of this submission must also be sent to the Deputy Assistant Inspector 
General for Investigations. In consultation with the SOL and the OIG, 
and based on the results of any further discussion with the contractor, 
its counsel or witnesses, the HCA may make a recommendation to the 
Director, PAM, pursuant to FAR 3.204(c) and shall provide formal notice 
to the contractor of such recommendation.
    (b) If the decision involves the termination of a contract (see FAR 
3.204(c)(1)), the CO will be responsible for implementing the decision.

Subpart 1403.3--Reports of Suspected Antitrust Violations


1403.303  Reporting suspected antitrust violations.

    (a) Reports on suspected violations of antitrust laws as required 
by FAR 3.303 shall be prepared by the CO, reviewed by the SOL, and 
submitted by the HCA directly to the Attorney General, Department of 
Justice. A copy of this submission must also be sent to the Deputy 
Assistant Inspector General for Investigations.
    (b) Depending on the nature of the suspected violation or the 
disposition of the matter, the HCA may recommend debarment or 
suspension in accordance with FAR 9.406-2(a)(2) or 9.407-2(a)(2) and 
Subpart 1409.4.

Subpart 1403.4--Contingent Fees


1403.405  Misrepresentation or violations of the Covenant Against 
Contingent Fees.

    (a) In addition to notifying the CO, the matter must also be 
reported to the Deputy Assistant Inspector General for Investigations 
and the HCA.
    (b) The HCA may recommend debarment and suspension in accordance 
with Subpart 1409.4.
    (c) The CCO shall consult with the SOL and OIG prior to forwarding 
a report of suspected fraudulent or criminal violations to the 
Department of Justice for action.

Subpart 1403.5--Other Improper Business Practices


1403.570  Restrictions on contractor advertising.


1403.570-1  Policy.

    Award of a contract does not signify endorsement of the supplies or 
services purchased, nor does it signify agreement with any views 
espoused by officials of the awardee. It is vital to the integrity of 
the procurement system to avoid even the appearance of an improper 
preference toward a particular vendor. Therefore, contractors shall not 
be permitted to publicize, or otherwise circulate, promotional 
materials that state or imply Governmental endorsement of a product, 
service or position which the contractor represents.


1403.570-2  Procedures.

    If a contractor requests a determination as to the propriety of 
such promotional material, the response shall be coordinated with the 
cognizant Public Affairs Office and Ethics Officer.


1403.570-3  Contract clause.

    CO's shall include the clause at 1452.203-70, Restriction on

[[Page 19835]]

Endorsements, in all solicitations, contracts and agreements which are 
not executed in accordance with FAR Parts 12 or 13.

Subpart 1403.6--Contracts With Government Employees or 
Organizations Owned or Controlled by Them


1403.602  Exceptions.

    The HCA, without the power of redelegation, is authorized to except 
a contract from the policy in FAR 3.601. However, no exceptions may be 
granted where the proposed contractor is owned or controlled by a 
Government employee or one or more members of the employee's immediate 
family and the employee or any subordinate is serving as a procurement 
official on the proposed contract.


1403.603  Responsibilities of the contracting officer.

    The CO shall prepare a written determination and findings for the 
signature of the HCA when requesting authorization to allow a contract 
award to a Government employee or business concern or other 
organization owned or substantially owned or controlled by one or more 
Government employees.

Subpart 1403.7--Voiding and Rescinding Contracts


1403.704  Policy.

    The HCA is authorized to declare void and rescind contracts in 
accordance with the procedures in FAR 3.705.


1403.705  Procedures.

    (a) Reporting. The facts concerning any final conviction for any 
violation of 18 U.S.C. 201-224 involving or relating to any contract 
awarded by a bureau or office shall be set forth in a report and 
submitted by the HCA to the Civil Division of the Department of the 
Justice. The report shall also contain a recommendation to initiate a 
debarment action. If debarment is recommended, the procedures in 
1409.406-3(a) shall be followed. Copies of the report shall be provided 
to Director, PAM, and the Deputy Assistant Inspector General for 
Investigations for informational purposes.
    (b) Notice of Proposed Action. Based upon review of the report in 
paragraph (a) of this section and after consultation with the SOL and 
the OIG, as appropriate, the HCA shall give notice of the proposed 
action to the contractor in accordance with the requirements of FAR 
3.704(c).
    (c) Final Agency Decision. The HCA shall make the final decision on 
voiding and rescinding contracts in accordance with the requirements of 
FAR 3.705(e).

Subpart 1403.8--Limitation on the Payment of Funds to Influence 
Federal Transactions


1403.804  Policy.

    The BPC shall receive copies of contractor disclosures and forward 
them to the Director, PAM, for submission to Congress.


1403.806  Processing suspected violations.

    Suspected violations shall be referred to the HCA. The HCA, in 
consultation with the SOL and OIG, shall act in accordance with FAR 
3.807.

Subpart 1403.10--Contractor Code of Business Ethics and Conduct


1403.1004  Contract clause.

    (a) In all awards expected to exceed $3,000,000, including options, 
for which performance is expected to exceed 120 days, except purchases 
conducted in accordance with FAR Part 12 and contracts to be performed 
entirely outside the United States, replace ``$5,000,000'' with 
``$3,000,000'' in paragraph (d) of FAR 52.203-14.
    (b) Insert the following into paragraph (b)(3) of the same clause: 
``Downloadable hotline posters as well as instructions for obtaining a 
hard copy poster are available at https://www.doioig.gov/hotline.''

PART 1404--ADMINISTRATIVE MATTERS

Subpart 1404.4--Safeguarding Classified Information within Industry
Sec.
1404.402 General.
1404.403 Responsibilities of contracting officers.
Subpart 1404.7--Contractor Records Retention
1404.702 Applicability.
Subpart 1404.8--Contract Files
1404.802 Contract files.
1404.804 Closeout of contract files.
1404.804-70 Release of claims.
1404.805 Disposal of contract files.
Subpart 1404.70--Deposit of Contract Publications
1404.7001 General.
1404.7002 Policy.
1404.7003 Exceptions.
1404.7004 Procedures.

    Authority:  Sec. 205(c), 63 Stat. 390, 40 U.S.C. 486(c); and 5 
U.S.C. 301.

Subpart 1404.4--Safeguarding Classified Information Within Industry


1404.402  General.

    (a) The DOI has entered into an agreement with the DOD to be 
covered by the National Industrial Security Program (NISP). The 
agreement is contained in 443 DM 1, Appendix 1.
    (b) Classified acquisitions or contracts (see FAR 4.401) shall be 
subject to the instructions contained in the DOD publications listed in 
FAR 4.402(b).


1404.403  Responsibilities of contracting officers.

    (a) For proposed solicitations that may require access to 
Departmental classified information, the CO shall consult with the 
Office of Managing Risk and Public Safety for guidance on NISP in 
accordance with 443 DM 1.
    (b) For proposed contracts where the contractor provides service 
for the handling and transmission of registered or certified mail at 
activities that customarily receive and transmit classified information 
(see FAR 4.401), the contractor shall be cleared to the degree of 
SECRET. This clearance shall be obtained through the Office of Managing 
Risk and Public Safety in accordance with 442 DM 8.
    (c) For proposed contracts where guard services are assigned to 
safeguard Department activities in possession of classified information 
(see FAR 4.401), review and approval shall be obtained from the Office 
of Managing Risk and Public Safety in accordance with 442 DM 8.

Subpart 1404.7--Contractor Records Retention


1404.702  Applicability.

    In addition to the clauses listed at FAR 4.702, the policies and 
procedures at FAR 4.7 shall also apply to records generated under 
contracts containing the clause at 1452.215-70, Examination of Records 
by the Department of the Interior.

Subpart 1404.8--Contract Files


1404.802  Contract files.

    In addition to the requirements in FAR 4.802, files shall also be 
maintained in accordance with the provisions of 380 DM 3.


1404.804  Closeout of contract files.


1404.804-70  Release of claims.

    (a) The CO shall insert the clause at 1452.204-70, Release of 
Claims, in all construction, architect and engineering, and cost-
reimbursement contracts that exceed the SAT. The Release of Claims

[[Page 19836]]

clause may be inserted in other types of contracts when the CO 
determines that the release is necessary to protect the interests of 
the Government.
    (b) Form DI-137, Release of Claims, shall be used to obtain a 
release of claims.


1404.805  Disposal of contract files.

    Disposition of files shall be accomplished in accordance with 384 
DM.

Subpart 1404.70--Deposit of Contract Publications


1404.7001  General.

    The DOI Departmental Library is responsible for maintaining a 
complete collection of Departmental publications. As used in this 
Subpart, the term ``Departmental publication'' means any publication or 
report produced under a DOI contract or Interagency agreement.


1404.7002  Policy.

    The CO shall direct the contractor, in the technical instructions, 
to acknowledge Federal sponsorship in the final report or publication 
by placing the following statement on the title page:
    ``This publication was funded by U.S. Department of the Interior, 
(Name of Bureau/Office), Washington, DC, under contract number--------
------.''


1404.7003  Exceptions.

    The following types of publications are excluded from the 
requirements of this Subpart:
    (a) Internal documents required for administrative or operational 
purposes that have no public interest, educational, scientific, or 
research value;
    (b) Classified publications and material otherwise marked 
prohibiting unauthorized disclosure;
    (c) Tentative drafts such as preliminary planning reports that will 
appear later in revised or final form;
    (d) Journal and magazine articles; or
    (e) Disclosure materials containing any description, specification, 
data, plan, or drawing of any unpatented invention upon which a patent 
application is likely to be filed, unless an opinion by the SOL, or 
his/her duly authorized designee, has been rendered which finds that 
the interests of the Government will not be prejudiced by disclosure of 
such materials.


1404.7004  Procedures.

    (a) The CO shall direct the contractor, in the technical 
instructions, to provide two copies of each publication or report 
produced under a contract to: U.S. Department of the Interior, 
Departmental Library, 1849 C Street, NW., MS-2258, Main Interior Bldg., 
Washington, DC 20240.
    (b) A transmittal letter shall accompany the copies and identify 
the sender and the publication(s). The bibliographic information 
required by 481 DM 1.3B(4) shall be also included with the submission 
of all translations.

SUBCHAPTER B--COMPETITION AND ACQUISITION PLANNING

PART 1405--PUBLICIZING CONTRACT ACTIONS

Subpart 1405.2--Synopses of Proposed Contract Actions
Sec.
1405.202 Exceptions.
1405.207 Preparation and transmittal of synopses.
Subpart 1405.3--Synopses of Contract Awards
1405.303 Announcement of contract awards.
Subpart 1405.4--Release of Information
1405.403 Requests from members of Congress.
1405.404 Release of long-range acquisition estimates.
1405.404-1 Release procedures.
Subpart 1405.5--Paid Advertisements
1405.502 Authority.

    Authority:  Sec. 205(c), 63 Stat. 390, 40 U.S.C. 486(c); and 5 
U.S.C. 301.

Subpart 1405.2--Synopses of Proposed Contract Actions


1405.202  Exceptions.

    The AS/PMB is authorized to approve the written determination 
documenting the reasons why a synopsis is not appropriate or 
reasonable. The CO shall prepare the determination, submit it to the 
HCA and then to the Director, PAM, for AS/PMB approval.


1405.207  Preparation and transmittal of synopses.

    In addition to the synopsis information generally required under 
FAR 5.207, as a best business practice, it is recommended each synopsis 
of a proposed contract action under other than full and open 
competition include the location where the offeror may obtain:
    (a) A description of specific qualifications the Government 
requires of the product or service to meet the Government's minimum 
needs; and
    (b) The factors the Government will use to evaluate the product or 
service information prospective contractors provide under the proposed 
contract action.

Subpart 1405.3--Synopses of Contract Awards


1405.303  Announcement of contract awards.

    (a) The CO shall report the following information to the cognizant 
bureau congressional affairs officer for notification to Congress 24 
hours prior to the award of a contract expecting to exceed $500,000:
    (1) Proposed award date;
    (2) Contractor name and address;
    (3) Geographical location of contract performance;
    (4) Description of the contracted work;
    (5) Dollar amount of contract; and
    (6) Contractor business size and whether the firm is minority-owned 
or is a disadvantaged business concern.
    (b) With the concurrence of the Office of Congressional and 
Legislative Affairs, the HCA may waive the announcement of sensitive 
awards.

Subpart 1405.4--Release of Information


1405.403  Requests from Members of Congress.

    For purposes of this subpart, the agency head is the HCA with the 
power of redelegation to the BPC.


1405.404  Release of long-range acquisition estimates.


1405.404-1  Release procedures.

    (a) The authority to release acquisition requirements anticipated 
in the coming year is delegated to the OSDBU and the HCA with 
redelegation limited to the BPC. The Government cost estimate shall not 
be revealed. The expected dollar values shall be advertised as falling 
within dollar ranges rather than specific dollar amounts.
    (b) Classified information shall only be released in accordance 
with the procedures in 442 DM.

Subpart 1405.5--Paid Advertisements


1405.502  Authority.

    (a) The CO shall obtain written authorization of the HCA before 
placing an advertisement in a newspaper to advertise a contracting 
opportunity.
    (b) Advertisements placed in media other than newspapers do not 
require advance authorization.

PART 1406--COMPETITION REQUIREMENTS

Subpart 1406.2--Full and Open Competition After Exclusion of Sources
Sec.
1406.202 Establishing or maintaining alternate sources.

[[Page 19837]]

Subpart 1406.3--Other Than Full and Open Competition
1406.302 Circumstances permitting other than full and open 
competition.
1406.302-1 Only one responsible source and no other supplies or 
services will satisfy agency requirements.
1406.302-7 Public interest.
1406.303 Justifications.
1406.303-70 Additional requirements.
1406.304 Approval of the justification.
Subpart 1406.5--Competition Advocates
1406.501 Requirement.
1406.502 Duties and responsibilities.

    Authority:  Sec. 205(c), 63 Stat. 390, 40 U.S.C. 486(c); and 5 
U.S.C. 301.

Subpart 1406.2--Full and Open Competition After Exclusion of 
Sources


1406.202  Establishing or maintaining alternative sources.

    HCAs are authorized to approve the determinations and findings 
(D&Fs) to establish or maintain an alternative source or sources for 
supplies or services.

Subpart 1406.3--Other Than Full and Open Competition


1406.302  Circumstances permitting other than full and open 
competition.


1406.302-1  Only one responsible source and no other supplies or 
services will satisfy agency requirements.

    For contracts that will be awarded using this authority, the 
notices required by FAR 5.201 shall have been published and any bids, 
proposals, quotations, or capability statements must have been 
considered.


1406.302-7  Public interest.

    The CO shall prepare the D&F and complete the justification to 
support use of public interest authority for other than full and open 
competition and submit it through the HCA to the Director, PAM, for 
further action.


1406.303  Justifications.


1406.303-70  Additional requirements.

    (a) If other than full and open competition is recommended by the 
office initiating an acquisition requirement, the recommendation shall:
    (1) Be in writing;
    (2) Accompany the requisition;
    (3) Contain the information required by FAR 6.303-2; and
    (4) Request the CO to conduct a market survey by issuing a synopsis 
of the proposed contract action (see 1405.207). The initiating office 
shall evaluate and document all responses to the notice. The CO shall 
prepare the D&F that only one source can meet the Government's needs 
based on the evaluation results. The evaluation results shall be 
included in the justification as required by FAR 6.303-2(a)(8) if it is 
determined that only one source can meet the Government's needs.
    (b) The procedure in paragraph (a) of this section is not required 
for proposed contract actions to be awarded under the authority in FAR 
6.302-2 when the CO determines that preparation and approval of the 
justification would unreasonably delay the acquisition. Under these 
circumstances, a justification may be prepared and approved after award 
in accordance with FAR 6.303-1(d).


1406.304  Approval of the justification.

    A class justification shall be approved in accordance with bureau 
procedures. Copies of approved class justifications shall be promptly 
transmitted to PAM.

Subpart 1406.5--Competition Advocates


1406.501  Requirement.

    (a) The competition advocate for DOI is located within PAM's staff. 
Applicable correspondence should be addressed to PAM, Attention: 
Competition Advocate.
    (b) Competition Advocates for each bureau and office shall be as 
designated by the CAO-AS/PMB.


1406.502  Duties and responsibilities.

    PAM is responsible for preparing and submitting the annual report 
required by FAR 6.502(b)(2). Bureau Competition Advocates shall furnish 
certain information, as may be required, to assist PAM in preparing the 
report.

PART 1407--ACQUISITION PLANNING

Subpart 1407.1--Acquisition Plans
1407.102 Policy.
Subpart 1407.3--Contractor Versus Government Performance
1407.301 Policy.
1407.307 Appeals.

    Authority:  Sec. 205(c), 63 Stat. 390, 40 U.S.C. 486(c); and 5 
U.S.C. 301.

Subpart 1407.1--Acquisition Plans


1407.102  Policy.

    DOI has implemented its acquisition planning system in 404 DM. This 
system meets the criteria prescribed in FAR Subpart 7.1, 375 DM, OCIO 
Program Management, and 376 DM, Automated Data Processing. Each of 
these addresses strategic planning for OCIO and planning for 
acquisition of federal information processing resources.

Subpart 1407.3--Contractor Versus Government Performance


1407.301  Policy.

    404 DM, Procurement Planning, addresses the requirements of OMB 
Circular A-76.


1407.307  Appeals.

    Department appeal procedures required by OMB Circular A-76 are 
codified in 43 CFR Part 4, Subpart M.

PART 1408--REQUIRED SOURCES OF SUPPLIES AND SERVICES

Subpart 1408.1--Excess Personal Property
Sec.
1408.102 Policy.
Subpart 1408.8--Acquisition of Printing and Related Supplies
1408.802 Policy.

    Authority:  Sec. 205(c), 63 Stat. 390, 40 U.S.C. 486(c); and 5 
U.S.C. 301.

Subpart 1408.1--Excess Personal Property


1408.102  Policy.

    Inquiries on available excess or surplus personal property should 
be directed to the PMO or the designee in each Bureau or Office.

Subpart 1408.8--Acquisition of Printing and Related Supplies


1408.802  Policy.

    (a) Duplicating is the mass reproduction of materials beyond the 
capabilities of typical office copiers. Volumes are of sufficient mass 
quantities up to 5,000 single-page and 25,000 production units in the 
aggregate of multiple pages. Such duplicating units shall require 
Departmental approval to be processed through the Department of the 
Interior Publishing Council (DOIPC).
    (b) Copying is distinguished from ``duplicating'' in that such work 
is administrative in nature, produced on office copying equipment and 
produced as necessary, in limited quantities. Volumes typically range 
from 1 to 500 single-pages to 2,500 production units in the aggregate 
of multiple pages. This volume standard is referred to as the ``500/
2500'' rule. Reproduction work exceeding the ``500/2500'' rule is 
duplicating, and requires a waiver from the nearest servicing GPO 
office. Employees should consult with their bureau printing officer or 
the DOIPC representative to secure such a waiver.
    (c) The DOIPC has been designated as the Department's liaison with 
the Joint Committee on Printing and GPO. Requirements for printing and 
related supplies shall be coordinated with the

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DOIPC or the designated bureau publications liaison officer in 
accordance with 314 DM 1.

PART 1409--CONTRACTOR QUALIFICATIONS

Subpart 1409.2--Qualifications Requirements
Sec.
1409.202 Policy.
1409.206 Acquisitions subject to qualifications requirements.
1409.206-1 General.
Subpart 1409.4--Debarment, Suspension and Ineligibility
1409.403 Definitions.
1409.404 Excluded Parties List System (EPLS).
1409.405 Effect of listing.
1409.405-1 Continuation of current contracts.
1409.406 Debarment.
1409.406-1 General.
1409.406-3 Procedures.
1409.407 Suspension.
1409.407-1 General.
1409.407-3 Procedures.
Subpart 1409.5--Organizational and Consultant Conflicts of Interest
1409.503 Waiver.
1409.506 Procedures.

    Authority:  Sec. 205(c), 63 Stat. 390, 40 U.S.C. 486(c); and 5 
U.S.C. 301.

Subpart 1409.2--Qualifications Requirements


1409.202  Policy.

    (a) The HCA is the official responsible for establishing the 
qualification requirement in FAR 9.202(a)(1). This authority is not 
redelegable.
    (b) The HCA is the approval official referenced in FAR 9.202