Department of the Treasury Acquisition Regulation, 42056-42066 [2011-17623]
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Federal Register / Vol. 76, No. 137 / Monday, July 18, 2011 / Rules and Regulations
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DEPARTMENT OF THE TREASURY
48 CFR Chapter 10
RIN 1505–AC04
Department of the Treasury
Acquisition Regulation
Office of the Procurement
Executive, Treasury.
ACTION: Final rule.
AGENCY:
The Department of the
Treasury is issuing this final rule
amending the Department of the
Treasury Acquisition Regulation
(DTAR) to: update, revise, or remove, as
applicable, outdated text and references;
add new text to maintain consistency
with the Federal Acquisition Regulation
(FAR); incorporate Treasury-specific
policy associated with current FAR
requirements; reflect the Treasury’s
organization and delegation of
authorities; and make minor editorial
changes. This final rule adopts the
provisions in the December 17, 2010,
proposed rule with a minor change, thus
renumbering one paragraph in the
DTAR.
SUMMARY:
FOR FURTHER INFORMATION CONTACT:
Linda Kiefer, Remedial Project Manager,
U.S. Environmental Protection Agency,
Region 8, Mailcode EPR–SR, 1595
Wynkoop Street, Denver, CO 80202–
1129, (303) 312–6689, e-mail:
kiefer.linda@epa.gov.
DATES:
FOR FURTHER INFORMATION CONTACT:
SUPPLEMENTARY INFORMATION:
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Environmental protection, Air
pollution control, Chemicals, Hazardous
Waste, Hazardous substances,
Intergovernmental relations, Penalties,
Reporting and recordkeeping
requirements, Superfund, Water
pollution control, Water Supply.
Authority: 33 U.S.C. 1321(c)(2); 42 U.S.C.
9601–9657; E.O. 12777, 56 FR 54757, 3 CFR,
1991 Comp., p. 351; E.O. 12580, 52 FR 2923;
3 CFR, 1987 Comp., p. 193.
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On
December 17, 2010, the Department of
the Treasury published a proposed rule
(75 FR 78953) to update the Department
of the Treasury Acquisition Regulation
(DTAR) 2002 Edition, first published on
June 14, 2002, and available at: https://
www.access.gpo.gov/nara/cfr/. The
DTAR will be maintained separately
and combined with Department of the
Treasury Acquisition Procedures
(DTAP) for expediency of use by
Treasury staff. The DTAR and combined
DTAR/DTAP will be posted at: https://
SUPPLEMENTARY INFORMATION:
List of Subjects in 40 CFR Part 300
VerDate Mar<15>2010
Effective date: August 17, 2011.
Mr.
Fernando T. Tonolete, Procurement
Analyst, at (202) 622–6416 for
clarification of content or information
pertaining to status or publication
schedules.
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www.treasury.gov/about/organizationalstructure/offices/Mgt/Pages/
ProcurementPolicy-Regulations.aspx.
The December 17, 2010 proposed rule
invited public comments on several
changes to the DTAR. Among other
changes, the proposed changes included
revised definitions and scope of the
DTAR. In addition, the proposal
included new sections that address
´ ´
Treasury’s Mentor-Protege program,
new provisions concerning contractor
publicity, and new provisions on types
of contracts (specifying that Bureaus
must appoint a Task and Delivery
Ombudsman). Finally, several editorial
and grammatical changes were made in
order to make the DTAR easier to read.
See the December 17, 2010, proposed
rule for further information.
The comment period closed on
February 15, 2011. No comments were
received and the Department adopts the
proposed rule without change.
Procedural Matters
Executive Order 12866
This rule is not a significant
regulatory action under Executive Order
12866, Regulatory Planning and Review,
dated September 30, 1993.
Regulatory Flexibility Act
The Regulatory Flexibility Act, 5
U.S.C. 601, et seq., applies to this rule.
It is hereby certified that the changes
included in this rule will not have a
significant economic impact on a
substantial number of small entities
within the meaning of the Regulatory
Flexibility Act.
The revisions are not considered
substantive; revisions only update and
reorganize existing coverage. Further,
´ ´
the revisions to the Mentor-Protege
program, although having some
economic impact on participating small
entities, are not expected to affect a
substantial number of small entities.
The program is designed for mentoring
firms to provide developmental
´ ´
assistance to proteges in the areas of
management, personnel, organization,
technical capability, financial strength,
and training/certifications. As a result,
the approximately 44 participating
small entities may experience shortterm gains including an increase in the
areas of revenue, number of contract
awards, personnel, technical
capabilities, and business relationships.
Long-term, program participation
should provide increased access to
prime or subcontractor opportunities at
the Treasury. Subsequently, this
program serves to improve the
Department of the Treasury’s small
business goal attainment.
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Paperwork Reduction Act
SUBCHAPTER A—GENERAL
1001.105–2
The information collections contained
in this proposed rule have been
previously approved by the Office of
Management and Budget under the
Paperwork Reduction Act (44 U.S.C.
3501, et seq.) and assigned OMB control
numbers 1505–0081; 1505–0080; and
1505–0107. Under the Paperwork
Reduction Act, an agency may not
conduct or sponsor and a person is not
required to respond to a collection of
information unless it displays a valid
OMB control number.
PART 1001—DEPARTMENT OF THE
TREASURY ACQUISITION
REGULATION (DTAR) SYSTEM
(a) References and citations. The
DTAR is divided into the same parts,
subparts, sections, subsections, and
paragraphs as the FAR except that 10 or
100 will precede the DTAR citation so
that there are four numbers to the left
of the first decimal. Reference to DTAR
material must be made in a manner
similar to that prescribed by FAR 1.105–
2(c).
List of Subjects in 48 CFR Parts 1001,
1002, 1009, 1016, 1019, 1028, 1032,
1033, 1034, 1036, 1048, and 1052
Government procurement.
Dated: June 6, 2011.
Thomas A. Sharpe, Jr.,
Senior Procurement Executive, Office of the
Procurement Executive.
Accordingly, the Department of the
Treasury revises 48 CFR Chapter 10 to
read as follows:
CHAPTER 10—DEPARTMENT OF THE
TREASURY
Subpart 1001.1—Purpose, Authority,
Issuance
Sec.
1001.101 Purpose.
1001.104 Applicability.
1001.105 Issuance.
1001.105–1 Publication and code
arrangement.
1001.105–2 Arrangement of regulations.
1001.105–3 Copies.
1001.106 OMB Approval under the
Paperwork Reduction Act.
Subpart 1001.3—Agency Acquisition
Regulations
1001.301 Policy.
1001.304 Agency control and compliance
procedures.
Subpart 1001.4—Deviations From the FAR
1001.403 Individual deviations.
1001.404 Class deviations.
Subpart 1001.6—Career Development,
Contracting Authority and Responsibilities
1001.670 Contract clause.
Authority: 41 U.S.C. 418b.
Part
Subpart 1001.1—Purpose, Authority,
Issuance
Subchapter A—General
1001.101
1001 Department of the Treasury
Acquisition Regulation (DTAR) System.
1002 Definitions of Words and Terms.
This subpart establishes Chapter 10,
the Department of the Treasury
Acquisition Regulation (DTAR), within
Title 48 of the Federal Acquisition
Regulation (FAR) System. The DTAR
contains policies and procedures that
supplement FAR coverage and directly
affect the contractual relationship
between the Department of the Treasury
and its business partners (e.g.,
prospective offerors/bidders and
contractors). When FAR coverage is
adequate, there will be no
corresponding DTAR coverage.
Subchapter B—Acquisition Planning
1009
Contractor Qualifications.
Subchapter C—Contracting Methods and
Contract Types
1016
Types of Contracts.
Subchapter D—Socioeconomic Programs
1019
Small Business Programs.
Subchapter E—General Contracting
Requirements
1028
1032
1033
1001.104
Bonds and Insurance.
Contract Financing.
Protests, Disputes, and Appeals.
Subchapter F—Special Categories of
Contracting
1034 Major System Acquisition.
1036 Construction and Architect-Engineer
Contracts.
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Subchapter G—Contract Management
1042 Contract Administration and Audit
Services.
Subchapter H—Clauses and Forms
1052 Solicitation Provisions and Contract
Clauses.
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Purpose.
Applicability.
The DTAR applies to all acquisitions
of supplies and services, which obligate
appropriated funds. For acquisitions
made from non-appropriated funds, the
Senior Procurement Executive will
determine the rules and procedures that
will apply. The DTAR does not apply to
the acquisitions of the U.S. Mint.
1001.105
The DTAR and its subsequent changes
will be published in the Federal Register
and codified in the Code of Federal
Regulations (CFR). The DTAR will be
issued as 48 CFR Chapter 10.
Frm 00065
Fmt 4700
Copies.
Copies of the DTAR in Federal
Register or CFR form may be purchased
from the Superintendent of Documents,
Government Printing Office (GPO),
Washington, DC 20402.
1001.106 OMB Approval under the
Paperwork Reduction Act.
OMB has assigned the following
control numbers that must appear on
the upper right corner of the face page
of each solicitation, contract,
modification, and order: OMB Control
No. 1505–0081 (Offeror submissions),
OMB Control No. 1505–0080
(Contractor submissions), OMB Control
No. 1505–0107 (Protests). OMB
regulations and OMB’s approval and
assignment of control numbers are
conditioned upon Treasury bureaus not
requiring more than three copies
(including the original) of any document
of information. OMB has granted a
waiver to permit the Department to
require up to eight copies of proposal
packages, including proprietary data, for
solicitations, provided that contractors
who submit only an original and two
copies will not be placed at a
disadvantage.
Subpart 1001.3—Agency Acquisition
Regulations
1001.301
Policy.
(a)(1) The DTAR (48 CFR Chapter 10)
is issued for Treasury implementation
in accordance with the authority cited
in FAR 1.301(b). The DTAR
supplements the Federal Acquisition
Regulation by establishing uniform
policies for all acquisition activities
throughout the Department of the
Treasury, except for the United States
Mint.
1001.304 Agency control and compliance
procedures.
Issuance.
1001.105–1 Publication and code
arrangement.
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1001.105–3
Arrangement of regulations.
Sfmt 4700
(a) The DTAR is under the direct
oversight and control of Treasury’s
Office of the Procurement Executive
(OPE), which is responsible for the
evaluation, review, and issuance of all
Department-wide acquisition
regulations and guidance.
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Subpart 1001.4—Deviations from the
FAR
1001.403
Individual deviations.
The SPE is authorized to approve
individual contract FAR and DTAR
deviations.
1001.404
Class deviations.
(a) The SPE is authorized to approve
class FAR and DTAR deviations.
Subpart 1001.6—Career Development,
Contracting Authority and
Responsibilities
1001.670
Contract clause.
Contracting Officers must insert a
clause substantially similar to the clause
in section 1052.201–70, Contracting
Officer’s Technical Representative
(COTR) Appointment and Authority, in
all solicitations and contracts.
Exceptions to the requirement for
inclusion of the COTR clause and the
appointment of a COTR may be made at
the discretion of the BCPO.
PART 1002—DEFINITIONS OF WORDS
AND TERMS
Sec.
Subpart 1002.1—Definitions
1002.101 Definitions.
1002.70 Abbreviations.
Authority: 41 U.S.C. 418b.
Subpart 1002.1—Definitions
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1002.101
Bureau means any one of the
following Treasury organizations:
(1) Alcohol and Tobacco Tax and
Trade Bureau (TTB);
(2) Bureau of Engraving & Printing
(BEP);
(3) Bureau of Public Debt (BPD);
(4) Departmental Offices (DO);
(5) Financial Crimes Enforcement
Network (FinCEN);
(6) Financial Management Service
(FMS);
(7) Inspector General (OIG);
(8) Internal Revenue Service (IRS);
(9) Office of the Comptroller of the
Currency (OCC);
(10) Office of Thrift Supervision
(OTS);
(11) Special Inspector General for the
Troubled Asset Relief Program
(SIGTARP);
(12) Treasury Inspector General for
Tax Administration (TIGTA); or
(13) U.S. Mint.
Bureau Chief Procurement Officer
(BCPO) means the senior acquisition
person at each headquarters office or
bureau. Within the Internal Revenue
Service, this may be the Director,
Procurement or the Deputy Director,
Procurement.
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1002.70
Abbreviations.
BCPO Bureau Chief Procurement
Officer
COTR Contracting Officer’s Technical
Representative
HCA Head of the Contracting Activity
OPE Office of the Procurement
Executive
OSDBU Office of Small and
Disadvantaged Business Utilization
SPE Senior Procurement Executive
SUBCHAPTER B—ACQUISITION
PLANNING
Definitions.
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Contracting Activity means an
organization within a bureau or the
Departmental Offices, having delegated
acquisition authority.
Head of Contracting Activity (HCA)
means the Senior Procurement
Executive for Departmental Offices, the
Deputy Commissioner for Operations
Support for the Internal Revenue
Service, and the heads of each bureau,
as listed in section 1.b.(1) of Department
of the Treasury Directive 12–11.
Head of the Agency means the
Assistant Secretary for Management and
Chief Financial Officer as designated by
Treasury Order 101–30.
Legal Counsel means the Treasury or
bureau office providing legal services to
the contracting activity.
Senior Procurement Executive (SPE)
for the Department of the Treasury is the
Director, Office of the Procurement
Executive.
PART 1009—CONTRACTOR
QUALIFICATIONS
Authority: 41 U.S.C. 418b.
Subpart 1009.2—Qualifications
Requirements
Contractor publicity.
31 U.S.C. 333(a) prohibits the use of
Treasury names, abbreviations, or
symbols, in connection with, or as a part
of, any advertisement, solicitation,
business activity, or product, in a
manner that may imply endorsement by
Treasury. Bureaus shall insert a clause
substantially the same as 1052.210–70
Contractor Publicity in all solicitations
and contracts.
SUBCHAPTER C—CONTRACTING
METHODS AND CONTRACT TYPES
PART 1016—TYPES OF CONTRACTS
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Subpart 1016.5—Indefinite-Delivery
Contracts
1016.505
Ordering.
(b)(6) Bureaus shall designate a Task
and Delivery Ombudsman in
accordance with bureau procedures. In
the absence of a designation, the Bureau
Competition Advocate will serve in that
capacity.
SUBCHAPTER D—SOCIOECONOMIC
PROGRAMS
PART 1019—SMALL BUSINESS
PROGRAMS
Sec.
Subpart 1019.2—Policies
1019.202 Specific policies.
´ ´
1019.202–70 Treasury’s Mentor-Protege
Program
Subpart 1019.7—The Small Business
Subcontracting Program
1019.705 Responsibilities of the Contracting
Officer Under the Subcontracting
Assistant Program.
1019.705–4 Reviewing the Subcontracting
Plan.
Subpart 1019.8—Contracting With the Small
Business Administration (The 8(a) Program)
1019.811 Preparing the contracts.
1019.811–3 Contract clauses.
Authority: 41 U.S.C. 418b.
1019.202
Subpart 1009.2—Qualifications
Requirements
1009.204–70 Contractor publicity.
Sec.
Authority: Authority: 41 U.S.C. 418b.
Subpart 1019.2—Policies
Sec.
1009.204–70
Subpart 1016.5—Indefinite-Delivery
Contracts
1016.505 Ordering.
Specific policies.
1019.202–70
Program.
´ ´
The Treasury Mentor Protege
(a) [Reserved]
(b) [Reserved]
(c) Non-affiliation. For purposes of
´ ´
the Small Business Act, a protege firm
may not be considered an affiliate of a
mentor firm solely on the basis that the
´ ´
protege firm is receiving developmental
assistance referred to in paragraph (m)
of this section, from such mentor firm
´ ´
under the Mentor-Protege Program.
(d) General policy. (1) Eligible
contractors, not included on the ‘‘List of
Parties Excluded from Federal
Procurement and Nonprocurement
Programs,’’ that are approved as mentors
will enter into agreements with eligible
´ ´
proteges. Mentors provide appropriate
developmental assistance to enhance
´ ´
the capabilities of proteges to perform as
contractors or subcontractors.
´ ´
(2) A firm’s status as a protege under
a Treasury contract shall not have an
effect on the firm’s eligibility to seek
other contracts or subcontracts.
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Federal Register / Vol. 76, No. 137 / Monday, July 18, 2011 / Rules and Regulations
(e) Incentives for contractor
participation. (1) Under the Small
Business Act, 15 U.S.C. 637(d)(4)(E),
Treasury is authorized to provide
appropriate incentives in negotiated
contractual actions to encourage
subcontracting opportunities consistent
with the efficient and economical
performance of the contract. Proposed
´ ´
mentor-protege efforts will be
considered during the evaluation of
such negotiated, competitive offers.
Contracting Officers may provide, as an
incentive, a bonus score, not to exceed
5% of the relative importance assigned
to the non-price factors. If this incentive
is used, the Contracting Officer shall
include language in the solicitation
indicating that this adjustment may
occur.
(2) Before awarding a contract that
requires a subcontracting plan, the
´ ´
existence of a mentor-protege
arrangement, and performance (if any)
under such an existing arrangement,
will be considered by the Contracting
Officer in:
(i) Evaluating the quality of a
proposed subcontracting plan under
FAR 19.705–4; and,
(ii) Evaluating the contractor
compliance with the subcontracting
plans submitted in previous contracts as
a factor in determining contractor
responsibility under FAR 19.705–
5(a)(1).
(3) The Office of Small and
Disadvantaged Business Utilization
(OSDBU) Mentoring Award is a nonmonetary award that will be presented
(annually on a fiscal year basis or as
often as is appropriate) to the mentoring
firm providing the most effective
´ ´
developmental support of a protege. The
´ ´
Mentor-Protege Program Manager will
recommend an award winner to the
Director, OSDBU.
(f) [Reserved]
(g) Mentor firms. A mentor firm may
be either a large or small business,
eligible for award of a Government
contract that can provide developmental
assistance to enhance the capabilities of
´ ´
proteges to perform as subcontractors.
Mentors will be encouraged to enter into
´ ´
arrangements with proteges in addition
to firms with whom they have
established business relationships.
´ ´
(h) Protege firms. (1) For selection as
´ ´
a protege, a firm must be:
(i) A small business, women-owned
small business, small disadvantaged
business, small business owned and
controlled by veteran or service disabled
veteran, or qualified HUBZone small
business, or a qualified 8(a) concern;
(ii) Qualified as a small business
under the NAICS code for the services
or supplies to be provided by the
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15:32 Jul 15, 2011
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´ ´
protege under its subcontract to the
mentor; and
(iii) Eligible for award of Government
contracts.
(2) Except small disadvantaged
businesses and qualified HUBZone
´ ´
small business firms, a protege firm may
self-certify to a mentor firm that it meets
the requirements set forth in paragraph
(h)(1) of this section. Mentors may rely
in good faith on written representations
´ ´
by potential proteges that they meet the
specified eligibility requirements. The
h(1)(i), small disadvantaged business, or
qualified HUBZone small business
status eligibility and documentation
requirements are determined according
to FAR 19.304 and 19.1303,
respectively.
´ ´
(3) Proteges may not have multiple
mentors unless approved, in writing, by
´ ´
the Director, OSDBU. Proteges
participating in other agency mentor
´ ´
protege programs in addition to the
´ ´
Treasury Mentor-Protege Program
should maintain a system for preparing
separate reports of mentoring activity
for each agency’s program.
´ ´
(i) Selection of protege firms. (1)
Mentor firms will be solely responsible
´ ´
for selecting protege firms. The mentor
is encouraged to identify and select the
´ ´
types of protege firms listed in
1019.202–70(h). Mentor firms may have
´ ´
multiple proteges.
´ ´
(2) The selection of protege firms by
mentor firms may not be protested. Any
question regarding the size or eligibility
status of an entity selected by a mentor
´ ´
to be a protege must be referred solely
to Treasury’s OSDBU for resolution.
Treasury, at its discretion, may seek an
advisory opinion from the Small
Business Administration (SBA).
(j) Application process for mentor
firms to participate in the program. (1)
Firms interested in becoming a mentor
firm may apply in writing to Treasury’s
OSDBU. The application will be
evaluated based upon the description of
the nature and extent of technical and
managerial support proposed as well as
the extent of other developmental
assistance in the form of equity
investment, loans, joint-venture support
and traditional subcontracting support.
(k) OSDBU review and approval
process of agreement. (1) OSDBU will
review the information specified in
1019.202–70(l). The OSDBU review will
be completed no later than 30 calendar
days after receipt.
(2) Upon completion of the review,
the mentor may implement the
developmental assistance program.
(3) An approved agreement will be
incorporated into the mentor firm’s
contract(s) with Treasury.
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42059
(4) If OSDBU disapproves the
agreement, the mentor may provide
additional information for
reconsideration. Upon finding
deficiencies that OSDBU considers
correctable, OSDBU will notify the
mentor and provide a list of defects.
Any additional information or
corrections requested will be provided
within 30 calendar days. The review of
any supplemental material will be
completed within 30 calendar days after
receipt by OSDBU. When submission of
additional data is required during a
proposal evaluation for a new contract
award, shorter timeframes for
submission, review and re-evaluation
for approval may be authorized by
OSDBU.
(5) The agreement defines the
relationship between the mentor and
´ ´
protege firms only. The agreement itself
does not create any privity of contract
´ ´
between the mentor or protege and
Treasury.
(l) Agreement contents. The contents
of the agreement will contain:
(1) Names and addresses of mentor
´ ´
and protege firms and a point of contact
within both firms who will oversee the
agreement;
(2) Procedures for the mentor firm to
´ ´
notify the protege firm, OSDBU and the
Contracting Officer, in writing, at least
30 days in advance of the mentor firm’s
intent to voluntarily withdraw from the
´ ´
Mentor-Protege Program;
´ ´
(3) Procedures for a protege firm to
notify the mentor firm in writing at least
´ ´
30 days in advance of the protege firm’s
intent to voluntarily terminate the
´ ´
mentor-protege agreement. The mentor
must notify OSDBU and the Contracting
Officer immediately upon receipt of
´ ´
such notice from the protege;
´ ´
(4) Each proposed mentor-protege
relationship must include information
on the mentor’s ability to provide
´ ´
developmental assistance to the protege
and how that assistance will potentially
increase contracting and subcontracting
´ ´
opportunities for the protege firm;
(5) A description of the type of
developmental program that will be
provided by the mentor firm to the
´ ´
protege firm, to include a description of
the potential subcontract work, and a
schedule for providing assistance and
´ ´
criteria for evaluation of the proteges
developmental success;
(6) A listing of the types and dollar
amounts of subcontracts that may be
´ ´
awarded to the protege firm;
(7) Program participation term;
(8) Termination procedures;
(9) Plan for accomplishing work
should the agreement be terminated;
and
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(10) Other terms and conditions, as
appropriate.
(m) Developmental assistance. The
forms of developmental assistance a
´ ´
mentor can provide to a protege include:
(1) Management guidance relating to
financial management, organizational
management, overall business
management/planning, business
development, and technical assistance.
(2) Loans;
(3) Rent-free use of facilities and/or
equipment;
(4) Property;
(5) Temporary assignment of
´ ´
personnel to protege for purpose of
training; and
(6) Any other types of mutually
beneficial assistance.
´ ´
(n) Obligation. (1) Mentor or protege
firms may voluntarily withdraw from
´ ´
the Mentor-Protege Program. However,
such withdrawal shall not excuse the
contractor from compliance with
contract requirements.
(2) At the conclusion of each year in
´ ´
the Mentor-Protege Program, the
´ ´
contractor and protege must formally
brief the Department of the Treasury
team regarding program
accomplishments as they pertain to the
approved agreement. Individual
briefings may be conducted, at the
request of either party. Treasury will
consider the following:
(i) Specific actions taken by the
mentor, during the evaluation period, to
´ ´
increase the participation of proteges as
suppliers to the Federal government and
to commercial entities;
(ii) Specific actions taken by the
mentor, during the evaluation period, to
develop the technical and corporate
´ ´
administrative expertise of a protege as
defined in the agreement;
´ ´
(iii) To what extent the protege has
met the developmental objectives in the
agreement; and
(iv) To what extent the mentor firm’s
´ ´
participation in the Mentor-Protege
´ ´
Program resulted in the protege
receiving contract(s) and subcontract(s)
from private firms and agencies other
than the Department of the Treasury.
´ ´
(v) Mentor and protege firms must
submit an evaluation to OSDBU at the
conclusion of the mutually agreed upon
program period, the conclusion of the
contract, or the voluntary withdrawal by
´ ´
either party from the Mentor-Protege
Program, whichever comes first.
(o) [Reserved]
(p) Solicitation provisions and
contract clauses (1) Insert the provision
at 1052.219–73, Department of the
´ ´
Treasury Mentor-Protege Program, in all
unrestricted solicitations exceeding
$500,000 ($1,000,000 for construction)
that offer subcontracting possibilities.
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(2) Insert the clause at 1052.219–75,
Mentor Requirements and Evaluation, in
contracts where the contractor is a
participant in the Treasury Mentor´ ´
Protege Program.
1028.311 Solicitation provision and
contract clause on liability insurance under
cost reimbursement contracts.
Subpart 1019.8—Contracting With the
Small Business Administration (The
8(A) Program)
Insert a clause substantially similar to
1052.228–70, ‘‘Insurance
Requirements,’’ in all solicitations and
contracts that contain the clause at FAR
52.228–7.
1019.81
Preparing the contracts.
1019.811–3
1028.311–2 Agency solicitation provisions
and contract clauses.
Contract clauses.
(d)(3) Insert the clause at 1052.219–
18, Notification of Competition Limited
to Eligible 8(a) Concerns—Alternate III
(Deviation), for paragraph (c) of FAR
52.219–18, Notification of Competition
Limited to Eligible 8(a) Concerns, in all
solicitations and contracts that exceed
$100,000 and are processed under
1019.8.
(f) Insert the clause at 1052.219–72,
Section 8(a) Direct Awards, in
solicitations and contracts that exceed
$100,000 and are processed under
1019.8 for paragraph (c) of FAR 52.219–
11, Special 8(a) Contract Conditions;
FAR 52.219–12, Special 8(a)
Subcontract Conditions; and FAR
52.219–17, Section 8(a) Award.
SUBCHAPTER E—GENERAL
CONTRACTING REQUIREMENTS
PART 1032—CONTRACT FINANCING
Sec.
Subpart 1032.1—Non-Commercial Item
Purchase Financing
1032.113
Customary contract financing.
Subpart 1032.2—Commercial Item
Purchase Financing
1032.202 General.
1032.202–1 Policy.
Authority: 41 U.S.C. 418b.
Subpart 1032.1—Non-Commercial Item
Purchase Financing
1032.113
Customary contract financing.
The specified arrangements are
considered customary within Treasury.
PART 1028—BONDS AND INSURANCE
Subpart 1032.2—Commercial Item
Purchase Financing
Sec.
1032.202
Subpart 1028.3—Insurance
1028.307 Insurance under costreimbursement contracts.
1028.307–1 Group insurance plans.
1028.310 Contract clause for work on a
Government installation.
1028.310–70 Contract clause.
1028.311 Solicitation provision and
contract clause on liability insurance
under cost-reimbursement contracts.
1028.311–2 Agency solicitation provisions
and contract clauses.
Authority: 41 U.S.C. 418b.
Group insurance plans.
(a) Plans shall be submitted to the CO.
(b) [Reserved]
1028.310 Contract clause for work on a
Government installation.
Contract clause.
(a) Insert a clause substantially similar
to 1052.228–70, ‘‘Insurance
Requirements,’’ in all solicitations and
contracts that contain the clause at FAR
52.228–5.
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Policy.
(b)(2) Commercial interim payments
and commercial advance payments may
also be made when the contract price is
at or below the simplified acquisition
threshold.
PART 1033—PROTESTS, DISPUTES,
AND APPEALS
Sec.
1033.201
1028.307 Insurance under costreimbursement contracts.
1028.310–70
1032.202–1
Subpart 1033.2—Disputes and Appeals
Subpart 1028.3—Insurance
1028.307–1
General.
Definitions.
Authority: 41 U.S.C. 418b.
Subpart 1033.2—Disputes and Appeals
1033.201
Definitions.
Agency Board of Contract Appeals
means the Civilian Board of Contract
Appeals (CBCA). The CBCA is the
authorized representative of the
Secretary of the Treasury in hearing,
considering, and determining all
appeals of decisions of Contracting
Officers filed by contractors pursuant to
FAR Subpart 33.2. Appeals are governed
by the Rules of Procedure of the CBCA.
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SUBCHAPTER F—SPECIAL
CATEGORIES OF CONTRACTING
PART 1034—MAJOR SYSTEM
ACQUISITION
Sec.
Subpart 34.0—General
1034.001 Definitions.
1034.004 Acquisition strategy.
Subpart 34.2—Earned Value Management
System
1034.201 Policy.
1034.202 Integrated Baseline Reviews.
1034.203 Solicitation provisions and
contract clauses.
Authority: 41 U.S.C. 418b.
Subpart 34.0—General
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1034.001
Definitions.
Core Earned Value Management is a
process for ensuring that the
contractor’s self validated earned value
management system is capable of
producing earned value management
data and meets, at a minimum, the
following core ANSI/EIA Standard-748
criteria:
(1) (ANSI #1) Define the authorized
work elements for the program. A work
breakdown structure (WBS), tailored for
effective internal management control,
is commonly used in this process.
(2) (ANSI #2) Identify the program
organizational structure including the
major subcontractors responsible for
accomplishing the authorized work, and
define the organizational elements in
which work will be planned and
controlled.
(3) (ANSI #3) Provide for the
integration of the company’s planning,
scheduling, budgeting, work
authorization, and cost accumulation
processes with each other, and as
appropriate, the program WBS and the
program organizational structure.
(4) (ANSI #6) Schedule the authorized
work in a manner that describes the
sequence of work and identifies
significant task interdependencies
required to meet the needs of the
program.
(5) (ANSI #7) Identify physical
products, milestones, technical
performance goals, or other indicators
that will be used to measure progress.
(6) (ANSI #8) Establish and maintain
a time-phased budget baseline, at the
control account level, against which
program performance can be measured.
Initial budgets established for
performance measurement will be based
on either internal management goals or
the external customer negotiated target
cost including estimates for authorized
but vaguely defined work. Budget for
far-term efforts may be held in higher-
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level accounts until an appropriate time
for allocation at the control account
level. On government contracts, if an
over-target baseline is used for
performance measurement reporting
purposes, prior notification must be
provided to the customer.
(7) (ANSI #16) Record direct costs in
a manner consistent with the budgets in
a formal system controlled by the
general books of account.
(8) (ANSI #22) At least on a monthly
basis, generate the following
information at the control account and
other levels as necessary for
management control using actual cost
data from, or reconcilable with, the
accounting system:
(i) Comparison of the amount of
planned budget and the amount of
budget earned for work accomplished.
This comparison provides the schedule
variance.
(ii) Comparison of the amount of the
budget earned and the actual (applied
where appropriate) direct costs for the
same work. This comparison provides
the cost variance.
(9) (ANSI #27) Develop revised
estimates of cost at completion based on
performance to date, commitment
values for material, and estimates of
future conditions. Compare this
information with the performance
measurement baseline to identify
variances at completion important to
management and any applicable
customer reporting requirements,
including statements of funding
requirements.
(10) (ANSI #28) Incorporate
authorized changes in a timely manner,
recording the effects of such changes in
budgets and schedules. In the directed
effort prior to negotiation of a change,
base such revisions on the amount
estimated and budgeted to the program
organizations.
Development, Modernization,
Enhancement (DME) is the portion of an
IT investment/project which deals with
developing and implementing new or
enhanced technology in support of an
agency’s mission.
Major acquisitions for development
are defined as contracts, awarded in
support of one or more Major IT
investments with DME activities, which
meet the contract threshold for fully
applying FAR 34.2 procedures.
Performance-based acquisition
management means a documented,
systematic process for program
management, which includes
integration of program scope, schedule
and cost objectives, establishment of a
baseline plan for accomplishment of
program objectives, and use of earned
value techniques for performance
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measurement during execution of the
program. A performance-based
acquisition (as defined in FAR 37.101)
or an acquisition with a defined quality
assurance plan that includes
performance standards/measures should
be the basis for monitoring the
contractor.
1034.004
Acquisition strategy.
(a) A program manager’s acquisition
strategy written at the system or
investment level in accordance with
FAR 7.103(e) shall include at a
minimum:
(1) The relationship of each
individual acquisition (Contract,
Delivery Order, Task Order, or
Interagency Agreement) to the overall
investment requirements and
management structure;
(2) What work is being performed inhouse (by government personnel) versus
contracted out for the investment;
(3) A description of the effort, by
acquisition, and the plans to include
required clauses in the acquisitions;
(4) A timetable of major acquisition
award and administration activities,
including plans for contract transitions;
(5) An investment/system
surveillance plan;
(6) Financial and human resource
requirements to manage the acquisition
processes through the investment
lifecycle;
(7) Consideration of optimal contract
types, including considerations of
performance based approaches, small
business utilization, Section 508, etc.;
and
(8) Assurances that the acquisition
strategy section and supporting
acquisition plans will maximize
competition, including enabling
downstream competition through
avoidance of vendor ‘‘lock in’’.
(b) The acquisition strategy shall be
approved by a chartered
interdisciplinary acquisition team that
includes a representative of the
procurement organization designated in
accordance with bureau procedures.
Subpart 34.2—Earned Value
Management System
1034.201
Policy.
(a) (1) An Earned Value Management
System (EVMS) is required for major
acquisitions for development/
modernization/enhancement (DME) in
accordance with OMB Circular A–11.
This includes prototypes and tests to
select the most cost effective alternative
during the Planning Phase, the work
during the Acquisition Phase, and any
developmental, modification or upgrade
work done during the Operational/
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Steady State Phase. EVMS is to be
applied to contractor efforts regardless
of contract type. The Contracting Officer
shall procure the Contractor-developed
component(s) of major project(s) that
have been vetted through the Treasury
governance process and the acquisition
Contract, task order, IAG,
or CLIN value
Reporting
requirements for
IT
investments
>$50 M ............................
Full ....................
Between $20M and $50M
<$20M ..............................
has been identified by the program
manager as requiring the Contractor’s
use of an EVMS. In addition to major
acquisitions for development, the
Department of the Treasury may also
require the Contractor’s use of an EVMS
for other acquisitions. The following
Applicable
ANSI/EIA
criteria
thresholds apply to DME costs at the
Contract Line Item Number (CLIN) level
for performance-based acquisitions and
to DME costs at the acquisition level
(Contract, Task Order, or IAG) for nonperformance-based contracts:
Level of EVMS
validation/
acceptance
IBR required
32
CFA 1Acceptance ...........
Yes .................................
Full ....................
32
Yes.
Core ..................
10
Contractor Self-Validation.
Contractor Self-Validation.
Independent Baseline
Validation IBR (Core).
Level of EVMS
surveillance
(contractor)
CFA Surveillance unless
another interested
party alternative is requested by the Bureau
and approved by the
Treasury CIO.
Treasury/Bureau Surveillance.*
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* In accordance with Bureau Annual Surveillance Strategy.
1 CFA—Cognizant Federal Agency (See FAR 42.003).
(2) For the purpose of this subpart,
CLIN may be interpreted as a single
Contract Line Item Number, Contract
Line Item Number with Sub-CLINs, or
Multiple Contract Line Item Numbers
included in a single DME effort. Do not
break down any DME effort below the
aggregation of the requirement to avoid
use of the actual threshold
prescriptions.
(b) Acquisition Planning. All written
acquisition plans shall include the
following:
(1) A determination from the
requirements official as to whether the
program is a major acquisition as
defined under OMB Circular A–11 and
FAR Part 34;
(2) If so, whether the program is
required to include EVM and if the
Contractor is required to use an EVMS;
(3) If so, whether the program official
is EVM trained and qualified or has
support from someone who is EVM
trained and certified; and
(4) Whether a Full Integrated Baseline
Review (IBR) will be completed within
90 days when the acquisition DME
value is $20 Million or more, or a Core
Integrated Baseline Review when the
acquisition DME value is less than $20
Million).
(c) Solicitations and Awards. Unless a
waiver has been granted (See paragraph
(e) of this section), all solicitations and
awards for major investments with DME
valued at $20 Million or more require
EVMS from the Contractor and its
Subcontractor as follows:
(1) FAR Clause 52.234–4, Earned
Value Management System; and, as
appropriate, 1052.234–4, Earned Value
Management System Alternate I) (See
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1034.203 below), must contain a
requirement that the Contractor and its
subcontractors have:
(i) AN EVMS that has been
determined as meeting the Full criteria
of ANSI/EIA Standard-748 compliance
(valued at $20 Million or more);
(ii) An EVMS that has been
determined as meeting the Core criteria
of ANSI/EIA Standard-748 compliance
(valued at below $20 Million, See 5.
DTAR Special Solicitation Provisions
and Contract Clauses, 1052.234–2 and
1052.234–3); or
(iii) That the Contractor deliver a plan
to provide EVM data that meets the
standard.
(2) Provide for the completion of an
IBR, or, as appropriate, for subcontracts
with DME less than $20 million, an IBR
(Core) that meets the Government
standard, and provide periodic
reporting of the EVM data.
(3) All EVM determinations as set
forth in paragraphs 3(c)(i)(A) and (B) of
this section, shall be documented in the
pre-award and contract files, as
appropriate.
(d) Program Management. For those
acquisitions to which EVM applies, the
program manager (PM)/(COTR) shall:
(1) Ensure that EVM requirements are
included in the acquisition Statement of
Objectives (SOO), Performance Work
Statement (PWS), or Statement of Work
(SOW);
(2) Determine whether the
Contractor’s EVMS (and that of its
subcontractors) is ANSI/EIA Standard
748 compliant, or determine whether
the Contractor’s plan to provide EVM
data meets the required standard; and
(3) Validate and approve the IBR/IBR
(Core) and the subsequently issued EVM
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reports. These program management
requirements shall be included in the
Contracting Officer’s written
appointment letter to the COTR.
(e) Waivers. In accordance with
Bureau policy, a waiver(s) to the
guidance described within the
Department of the Treasury Earned
Value Management Guide (Treasury
EVM Guide) may be granted by the
Departmental Treasury CIO based on
Bureau documented and Bureau CIO
approved requests. Examples of waiver
justifications may include, but are not
limited to:
(1) Urgency of work to be performed;
(2) Limited duration of work to be
performed;
(3) Cost of adding EVMS requirement
to a contract versus benefit achieved;
`
(4) Percentage of DME costs vis-a-vis
the life cycle investment costs; and
(5) Level of risk.
1034.202
Integrated Baseline Reviews.
(a) When an EVMS is required, and
depending on the DME CLIN value
threshold, the Government will conduct
a Full IBR or a Core IBR.
(b) The purpose of the Full IBR and
the Core IBR is to verify the technical
content and the realism of the related
performance budgets, resources, and
schedules. It should provide a mutual
understanding of the inherent risks in
offerors’/contractors’ performance plans
and the underlying management control
systems, and it should formulate a plan
to handle these risks.
(c) Both the IBR and the IBR (Core) are
joint assessments by the offeror or
Contractor, and the Government, of
the—
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System—Post-Award IBR, with
1052.234–3, Notice of Earned Value
System—Post-Award Alternate I in
solicitations and awards that require the
contractor to use an Earned Value
Management System (EVMS) and for
which the Government requires an IBR
after award.
(3) The contracting officer shall insert
the FAR clause at FAR 52.234–4, Earned
Value Management System, with
1052.234–4, Earned Value Management
System Alternate I), in solicitations and
awards that require a contractor to use
an EVMS.
(c) For major acquisitions that include
a DME effort with a value of less than
$20 Million:
(1) The Contracting Officer shall
insert the provision 1052.234–70, Notice
of Earned Value Management System—
Pre-Award IBR (Core), in solicitations
for awards that require the contractor to
use an Earned Value Management
System (EVMS) and for which the
Government requires an IBR prior to
award.
(2) The Contracting Officer shall
insert the provision 1052.234–71, Notice
of Earned Value Management System—
Post-Award IBR (Core), in solicitations
for contracts that require the contractor
to use an Earned Value Management
System (EVMS) and for which the
Government requires an IBR after
award.
(3) The Contracting Officer shall
insert the clause 1052.234–72, Core
Earned Value Management System, in
solicitations and awards that require a
contractor to use an EVMS.
1034.203 Solicitation provisions and
contract clauses.
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(1) Ability of the project’s technical
plan to achieve the objectives of the
scope of work;
(2) Adequacy of the time allocated for
performing the defined tasks to
successfully achieve the project
schedule objectives;
(3) Ability of the Performance
Measurement Baseline (PMB) to
successfully execute the project and
attain cost objectives, recognizing the
relationship between budget resources,
funding, schedule, and scope of work;
(4) Availability of personnel,
facilities, and equipment when
required, to perform the defined tasks
needed to execute the program
successfully; and
(5) The degree to which the
management process provides effective
and integrated technical/schedule/cost
planning and baseline control.
(d) An IBR/IBR (Core) may be held
either pre- or post-award; however, the
post-award IBR/IBR (Core) must be
completed within 90 days after award,
or the Contracting Officer shall obtain a
copy of the Program Manager’s written
review of the requirement and
assessment of the IBR/IBR (Core) timing
based on the risk associated with the
acquisition. While a post-award IBR is
preferred, a pre-award IBR will be
acceptable. Note: The IBR (Core) may be
included within the Quality Assurance
Surveillance Plan (QASP).
(e) The solicitation and award shall
include the process and schedule for
EVMS validation as meeting the ANSI/
EIA 748 through EVMS Compliance
Recognition documents or a Compliance
Evaluation Review where a compliance
document does not exist, and periodic
systems surveillance.
Sec.
(a) For major investment acquisitions
that included a DME effort value of
greater than $50 Million, the
Contracting Officer shall follow the
requirements provided at FAR Subpart
34.203.
(b) For major investment acquisitions
that include a DME effort with a value
between $20–$50 Million:
(1) The Contracting Officer shall
insert the FAR provision at FAR 52.234–
2, Notice of Earned Value Management
System—Pre-Award IBR, with the
clause at 1052.234–2, Notice of Earned
Value System—Pre-Award Alternate I in
solicitations and awards that require the
contractor to use an EVMS and for
which the Government requires an IBR
prior to award.
(2) The Contracting Officer shall
insert the FAR provision at FAR 52.234–
3, Notice of Earned Value Management
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PART 1036—CONSTRUCTION AND
ARCHITECT-ENGINEER CONTRACTS
Authority: 41 U.S.C. 418b.
Subpart 1036.6—Architect-Engineer
Services
1036.602–5 Short selection process for
contracts not to exceed the simplified
acquisition threshold.
Bureaus are authorized to use either
process.
SUBCHAPTER G—CONTRACT
MANAGEMENT
PART 1042—CONTRACT
ADMINISTRATION AND AUDIT
SERVICES
Sec.
Frm 00071
Procedures.
Authority: 41 U.S.C. 418b.
1042.1500
Procedures.
Contracting Officers are responsible
for preparing interim and final past
performance evaluations.
SUBCHAPTER H—CLAUSES AND
FORMS
PART 1052—SOLICITATION
PROVISIONS AND CONTRACT
CLAUSES
Sec.
Subpart 1052.2—Texts of Provisions and
Clauses
1052.201–70 Contracting Officer’s
Technical Representative (COTR)
Appointment and Authority.
1052.210–70 Contractor Publicity.
1052.219–18 Notification of Competition
Limited to Eligible 8(a) Concerns—
Alternate III (Deviation).
1052.219.72 Section 8(a) Direct Awards.
1052.219–73 Department of the Treasury
´ ´
Mentor-Protege Program.
1052.219–75 Mentor Requirements and
Evaluation.
1052.228–70 Insurance Requirements.
1052.234–2 Notice of Earned Value
Management System—Pre-Award IBR—
Alternate I.
1052.234–3 Notice of Earned Value
Management System—Post-Award IBR—
Alternate I.
1052.234–4 Earned Value Management
System—Alternate I.
1052.234–70 Notice of Earned Value
Management System—Pre-Award IBR
(Core).
1052.234–71 Notice of Earned Value
Management System—Post-Award IBR
(Core).
1052.234–72 Core Earned Value
Management System.
Authority: 41 U.S.C. 418b.
Subpart 1036.6—Architect-Engineer
Services
1036.602–5 Short selection process for
contracts not to exceed the simplified
acquisition threshold.
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Subpart 1052.2—Texts of Provisions
and Clauses
1052.201–70 Contracting Officer’s
Technical Representative (COTR)
appointment and authority.
As prescribed in 1001.670–6, insert
the following clause:
CONTRACTING OFFICER′S
TECHNICAL REPRESENTATIVE
(COTR) APPOINTMENT AND
AUTHORITY AUG 2011
(a) The COTR is _____[insert name, address
and telephone number].
(b) Performance of work under this
contract is subject to the technical direction
of the COTR identified above, or a
representative designated in writing. The
term ‘‘technical direction’’ includes, without
limitation, direction to the contractor that
directs or redirects the labor effort, shifts the
work between work areas or locations, and/
or fills in details and otherwise serves to
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ensure that tasks outlined in the work
statement are accomplished satisfactorily.
(c) Technical direction must be within the
scope of the contract specification(s)/work
statement. The COTR does not have authority
to issue technical direction that:
(1) Constitutes a change of assignment or
additional work outside the contract
specification(s)/work statement;
(2) Constitutes a change as defined in the
clause entitled ‘‘Changes’’;
(3) In any manner causes an increase or
decrease in the contract price, or the time
required for contract performance;
(4) Changes any of the terms, conditions,
or specification(s)/work statement of the
contract;
(5) Interferes with the contractor’s right to
perform under the terms and conditions of
the contract; or
(6) Directs, supervises or otherwise
controls the actions of the contractor’s
employees.
(d) Technical direction may be oral or in
writing. The COTR must confirm oral
direction in writing within five workdays,
with a copy to the Contracting Officer.
(e) The Contractor shall proceed promptly
with performance resulting from the
technical direction issued by the COTR. If, in
the opinion of the contractor, any direction
of the COTR or the designated representative
falls within the limitations of (c) above, the
contractor shall immediately notify the
Contracting Officer no later than the
beginning of the next Government work day.
(f) Failure of the Contractor and the
Contracting Officer to agree that technical
direction is within the scope of the contract
shall be subject to the terms of the clause
entitled ‘‘Disputes.’’
(End of clause)
1052.210–70
Contractor publicity.
As prescribed in 1009.204–70, insert
the following clause:
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CONTRACTOR PUBLICITY AUG 2011
The Contractor, or any entity or
representative acting on behalf of the
Contractor, shall not refer to the equipment
or services furnished pursuant to the
provisions of this contract in any news
release or commercial advertising, or in
connection with any news release or
commercial advertising, without first
obtaining explicit written consent to do so
from the Contracting Officer. Should any
reference to such equipment or services
appear in any news release or commercial
advertising issued by or on behalf of the
Contractor without the required consent, the
Government shall consider institution of all
remedies available under applicable law,
including 31 U.S.C. 333, and this contract.
Further, any violation of this provision may
be considered during the evaluation of past
performance in future competitively
negotiated acquisitions.
(End of clause)
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1052.219–18 Notification of competition
limited to eligible 8(a) concerns—Alternate
III (Deviation) (May 1998).
In accordance with 1019.811–3(d)(3),
substitute the following for the
paragraph (c) in FAR 52.219–18:
(c) Any award resulting from this
solicitation will be made directly by the
contracting officer to the successful 8(a)
offeror selected through the evaluation
criteria set forth in this solicitation.
1052.219–72
Section 8(a) direct awards.
As prescribed in 1019.811–3(f), insert
the following clause:
8(A) BUSINESS DEVELOPMENT
PROGRAM AWARDS (JUNE 2003)
(a) This purchase/delivery/task order or
contract is issued by the contracting activity
directly to the 8(a) program participant/
contractor pursuant to the Partnership
Agreement between the Small Business
Administration (SBA) and the Department of
the Treasury. However, the Small Business
Administration is the prime contractor and
retains responsibility for 8(a) certification,
8(a) eligibility determinations and related
issues, and provides counseling and
assistance to the 8(a) contractor under the
8(a) Business Development program. The
cognizant SBA district office is:
[To be completed by the contracting officer
at the time of award]
(b) The contracting officer is responsible
for administering the purchase/delivery/task
order or contract and taking any action on
behalf of the Government under the terms
and conditions of the purchase/delivery/task
order or contract, to include providing the
cognizant SBA district office with a signed
copy of the purchase/delivery/task order or
contract award within 15 days of the award.
However, the contracting officer shall give
advance notice to the SBA before it issues a
final notice terminating performance, either
in whole or in part, under the purchase order
or contract. The contracting officer shall also
coordinate with SBA prior to processing any
novation agreement. The contracting officer
may assign contract administration functions
to a contract administration office.
(c) The contractor agrees:
(1) to notify the contracting officer,
simultaneously with its notification to SBA
(as required by SBA’s 8(a) regulations), when
the owner or owners upon whom 8(a)
eligibility is based, plan to relinquish
ownership or control of the concern.
Consistent with 15 U.S.C. 637(a)(21), transfer
of ownership or control shall result in
termination of the contract for convenience,
unless SBA waives the requirement for
termination prior to the actual relinquishing
of control; and,
(2) to adhere to the requirements of FAR
52.219–14, Limitations on Subcontracting.
(End of clause)
1052.219–73 Department of the Treasury
´ ´
Mentor-Protege Program.
As prescribed in 1019.202–70.(p),
insert the following clause:
PO 00000
Frm 00072
Fmt 4700
Sfmt 4700
DEPARTMENT OF THE TREASURY
´ ´
MENTOR-PROTEGE PROGRAM (JUNE
2003)
(a) Large and small businesses are
encouraged to participate in the Department
´ ´
of the Treasury Mentor-Protege Program.
´ ´
Mentor firms provide small business proteges
with developmental assistance to enhance
their capabilities and ability to obtain Federal
contracts.
(b) Mentor firms are large prime
contractors or eligible small businesses
capable of providing developmental
´ ´
assistance. Protege firms are small businesses
as defined in 13 CFR parts 121, 124, and 126.
Developmental assistance includes
technical, managerial, financial, and other
´ ´
mutually beneficial assistance to aid protege.
Contractors interested in participating in the
Program are encouraged to contact the
Department of the Treasury Office of Small
and Disadvantaged Business Utilization for
further information.
(End of provision)
1052.219–75
Evaluation.
Mentor Requirements and
As prescribed in 1019.202–70(p),
insert the following clause:
MENTOR REQUIREMENTS AND
EVALUATION AUG 2011
´ ´
(a) Mentor and protege firms shall submit
an evaluation to the Department of the
Treasury’s Office of Small and Disadvantaged
Business Utilization (OSDBU) at the
conclusion of the mutually agreed upon
Program period, or the voluntary withdrawal
by either party from the Program, whichever
occurs first. At the conclusion of each year
´ ´
in the Mentor-Protege Program, the prime
´ ´
contractor and protege will formally brief the
´ ´
Department of the Treasury Mentor-Protege
Program Manager regarding program
´ ´
accomplishments under their mentor-protege
agreements.
´ ´
(b) A mentor or protege must notify the
OSDBU and the contracting officer, in
writing, at least 30 calendar days in advance
of the effective date of the firm’s withdrawal
from the Program. A mentor firm must notify
the OSDBU and the contracting officer upon
´ ´
receipt of a protege’s notice of withdrawal
from the Program.
(c) Contracting officers may provide, as an
incentive, a bonus score, not to exceed 5%
of the relative importance assigned to the
non-price factors. If this incentive is used,
the contracting officer shall include language
in the solicitation indicating that this
adjustment may occur.
(End of clause)
1052.228–70
Insurance requirements.
As prescribed in 1028.310–70 and
1028.311–2, insert a clause substantially
as follows: The contracting officer may
specify additional kinds (e.g., aircraft
public and passenger liability, vessel
liability) or increased amounts of
insurance.
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INSURANCE AUG 2011
(End of Clause)
In accordance with the clause entitled
‘‘Insurance—Work on a Government
Installation’’ [or ‘‘Insurance—Liability to
Third Persons’’] in Section I, insurance of the
following kinds and minimum amounts shall
be provided and maintained during the
period of performance of this contract:
(a) Worker’s compensation and employer’s
liability. The contractor shall, as a minimum,
meet the requirements specified at FAR
28.307–2(a).
(b) General liability. The contractor shall,
at a minimum, meet the requirements
specified at FAR 28.307–2(b).
(c) Automobile liability. The contractor
shall, at a minimum, meet the requirements
specified at FAR 28.307–2(c).
(End of clause)
1052.234–2 Notice of Earned Value
Management System—Pre-Award
IBR—Alternate I AUG 2011
As prescribed in DTAR 1034.203,
substitute the following paragraph (a) for
paragraph (a) of the basic FAR clause:
(a) The offeror shall provide either
documentation that the Cognizant Federal
Agency has determined that the proposed
earned value management system (EVMS)
complies with the EVMS guidelines in ANSI/
EIA Standard-748 (ANSI Standard) or
documentation that supports the offeror’s
self-validation that the EVMS complies with
the ANSI Standard, as applicable.
(End of Provision)
1052.234–3 Notice of Earned Value
Management System—Post-Award
IBR—Alternate I AUG 2011
As prescribed in DTAR 1034.203,
substitute the following paragraph (a) for
paragraph (a) of the basic FAR clause:
(a) The offeror shall provide either
documentation that the Cognizant Federal
Agency has determined that the proposed
earned value management system (EVMS)
complies with the EVMS guidelines in ANSI/
EIA Standard-748 (ANSI Standard) or
documentation that supports the offeror’s
self-validation that the EVMS complies with
the ANSI Standard, as applicable.
(End of Provision)
mstockstill on DSK4VPTVN1PROD with RULES
1052.234–4 Earned Value
Management System Alternate I AUG
2011
As prescribed in DTAR 1034.203,
substitute the following paragraph (a) for
paragraph (a) of the basic FAR clause:
(a) The Contractor shall use an earned
value management system (EVMS) that has
been determined by the Cognizant Federal
Agency (CFA) or has been determined
through Contractor’s self-validation to be
compliant with the guidelines in ANSI/EIA
Standard-748 (current version at the time of
award) to manage this contract. If the
Contractor’s current EVMS has not been
determined compliant at the time of award,
see paragraph (b) of this clause. The
Contractor shall submit reports in accordance
with the requirements of this contract.
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1052.234–70 Notice of Earned Value
Management System—Pre-Award IBR
(Core) AUG 2011
As prescribed in DTAR 1034.203, insert
this provision in solicitations and awards
that require the Contractor to use an earned
value management system (EVMS) and for
which the Government requires an IBR prior
to award.
(a) The offeror shall provide either
documentation that the Cognizant Federal
Agency has determined that the proposed
earned value management system (EVMS)
complies with the EVMS guidelines in ANSI/
EIA Standard-748 (ANSI Standard) or
documentation that supports its selfvalidation that the EVMS used for this award
complies with Core EVM criteria.
(b) If the offeror proposes to use a system
that has not been determined to be in
compliance with the requirements of
paragraph (a) of this provision, the offeror
shall submit a comprehensive plan for
compliance with the EVMS guidelines.
(1) The plan shall—
(i) Describe the EVMS the offeror intends
to use in performance of the contracts;
(ii) Distinguish between the offeror’s
existing management system and
modifications proposed to meet the
guidelines;
(iii) Describe the management system and
its application in terms of the EVMS
guidelines;
(iv) Describe the proposed procedures for
administration of the guidelines, as applied
to subcontracts; and
(v) Provide documentation describing the
process and results of any third-party or selfevaluation of the system’s compliance with
the EVMS guidelines.
(2) The offeror shall provide information
and assistance as required by the contracting
officer to support review of the plan.
(3) The Government will review and
approve the offeror’s plan for an EVMS
before contract award.
(4) The offeror’s EVMS plan must provide
milestones that indicate when the offeror
anticipates that the EVM system will be
compliant with the requirements in
paragraph (a) of this provision.
(c) Offerors shall identify the major
subcontractors, or major subcontracted effort
if major subcontracts have not been selected
subject to the guidelines. The prime
Contractor and the Government shall agree to
subcontractors selected for application of the
EVMS requirements.
(d) The Government will conduct an
Integrated Baseline Review (IBR), as designed
by the agency, prior to contract award. The
objective of the IBR is for the Government
and the Contractor to jointly assess technical
areas, such as the Contractor’s planning, to
ensure complete coverage of the contract
requirements, logical scheduling of the work
activities, adequate resources, methodologies
for earned value (budgeted cost for work
performed (BCWP)), and identification of
inherent risks.
PO 00000
(End of Provision)
Frm 00073
Fmt 4700
1052.234–71 Notice of Earned Value
Management System—Post-Award IBR
(Core) AUG 2011
As prescribed in DTAR 1034.203, insert
this provision in solicitations and awards
that require the contractor to use an earned
value management system (EVMS) and for
which the Government requires an IBR after
award.
(a) The offeror shall provide either
documentation that the Cognizant Federal
Agency has determined that the proposed
EVMS complies with the EVMS guidelines in
ANSI/EIA Standard-748 (ANSI Standard) or
documentation that supports its selfvalidation that the EVMS used for this award
complies with Core EVM criteria.
(b) If the offeror proposes to use a system
that has not been determined to be in
compliance with the requirements of
paragraph (a) of this provision, the offeror
shall submit a comprehensive plan for
compliance with the EVMS guidelines.
(1) The plan shall—
(i) Describe the EVMS the offeror intends
to use in performance of the contracts;
(ii) Distinguish between the offeror’s
existing management system and
modifications proposed to meet the
guidelines;
(iii) Describe the management system and
its application in terms of the EVMS
guidelines;
(iv) Describe the proposed procedures for
administration of the guidelines, as applied
to subcontracts; and
(v) Provide documentation describing the
process and results of any third-party or selfevaluation of the system’s compliance with
the EVMS guidelines.
(2) The offeror shall provide information
and assistance as required by the contracting
officer to support review of the plan.
(3) The Government will review and
approve the offeror’s plan for an EVMS
before contract award.
(4) The offeror’s EVMS plan must provide
milestones that indicate when the offeror
anticipates that the EVMS will be compliant
with the requirements in paragraph (a) of this
provision.
(c) Offerors shall identify the major
subcontractors, or major subcontracted effort
if major subcontracts have not been selected
subject to the guidelines. The prime
Contractor and the Government shall agree to
subcontractors selected for application of the
EVMS requirements.
(d) The Government will conduct an
Integrated Baseline Review (IBR), as designed
by the agency, prior to contract award. The
objective of the IBR is for the Government
and the Contractor to jointly assess technical
areas, such as the Contractor’s planning, to
ensure complete coverage of the contract
requirements, logical scheduling of the work
activities, adequate resources, methodologies
for earned value (budgeted cost for work
performed (BCWP)), and identification of
inherent risks.
(End of Provision)
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1052.234–72 Core Earned Value
Management System AUG 2011
mstockstill on DSK4VPTVN1PROD with RULES
As prescribed in DTAR 1034.203, insert
this clause in major investment solicitations
and awards with DME that require a
contractor to use an earned value
management system (EVMS).
(a) The Contractor shall use an earned
value management system (EVMS) that has
either been determined by the Cognizant
Federal Agency (CFA) to be compliant with
the guidelines in ANSI/EIA Standard-748
(current version at the time of award) or
documentation that supports its validation
that the EVMS used to manage this contract
meets the following ANSI/EIA–748 criteria:
(1) (ANSI #1) Define the authorized work
elements for the program. A work breakdown
structure (WBS), tailored for effective
internal management control, is commonly
used in this process.
(2) (ANSI #2) Identify the program
organizational structure including the major
subcontractors responsible for accomplishing
the authorized work, and define the
organizational elements in which work will
be planned and controlled.
(3) (ANSI #3) Provide for the integration of
the company’s planning, scheduling,
budgeting, work authorization, and cost
accumulation processes with each other, and
as appropriate, the program WBS and the
program organizational structure.
(4) (ANSI #6) Schedule the authorized
work in a manner that describes the sequence
of work and identifies significant task
interdependencies required to meet the needs
of the program.
(5) (ANSI #7) Identify physical products,
milestones, technical performance goals, or
other indicators that will be used to measure
progress.
(6) (ANSI #8) Establish and maintain a
time-phased budget baseline, at the control
account level, against which program
performance can be measured. Initial budgets
established for performance measurement
will be based on either internal management
goals or the external customer negotiated
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Jkt 223001
target cost including estimates for authorized
but vaguely defined work. Budget for far-term
efforts may be held in higher-level accounts
until an appropriate time for allocation at the
control account level. On government
contracts, if an over-target baseline is used
for performance measurement reporting
purposes, prior notification must be provided
to the customer.
(7) (ANSI #16) Record direct costs in a
manner consistent with the budgets in a
formal system controlled by the general
books of account.
(8) (ANSI #22) At least on a monthly basis,
generate the following information at the
control account and other levels as necessary
for management control using actual cost
data from, or reconcilable with, the
accounting system:
(i) Comparison of the amount of planned
budget and the amount of budget earned for
work accomplished. This comparison
provides the schedule variance.
(ii) Comparison of the amount of the
budget earned and the actual (applied where
appropriate) direct costs for the same work.
This comparison provides the cost variance.
(9) (ANSI #27) Develop revised estimates of
cost at completion based on performance to
date, commitment values for material, and
estimates of future conditions. Compare this
information with the performance
measurement baseline to identify variances at
completion important to management and
any applicable customer reporting
requirements, including statements of
funding requirements.
(10) (ANSI #28) Incorporate authorized
changes in a timely manner, recording the
effects of such changes in budgets and
schedules. In the directed effort prior to
negotiation of a change, base such revisions
on the amount estimated and budgeted to the
program organizations. If the Contractor’s
current EVMS has not been determined
compliant at the time of award, see paragraph
(b) of this clause. The Contractor shall submit
reports in accordance with the requirements
of this contract.
PO 00000
Frm 00074
Fmt 4700
Sfmt 9990
(b) If, at the time of award, the Contractor’s
EVMS has not been determined by the CFA
as complying with EVMS guidelines or the
Contractor does not have an existing cost/
schedule control system that is compliant
with the guidelines in paragraph (a), the
Contractor shall—
(1) Apply the current system to the
contract; and
(2) Take necessary actions to meet the
milestones in the Contractor’s EVMS plan
approved by the contracting officer.
(c) The Government will conduct an
Integrated Baseline Review (IBR). If a preaward IBR has not been conducted, a post
award IBR shall be conducted as early as
practicable after contract award.
(d) The contracting officer may require an
IBR upon the—
(1) Exercise of significant options; or
(2) Incorporation of major modifications.
(e) Unless a waiver is granted by the CFA,
Contractor-proposed EVMS changes require
approval of the CFA prior to implementation.
The CFA will advise the Contractor of the
acceptability of such changes within 30
calendar days after receipt of the notice of
proposed changes from the Contractor. If the
advance approval requirements are waived
by the CFA, the Contractor shall disclose
EVMS changes to the CFA at least 14
calendar days prior to the effective date of
implementation.
(f) The Contractor shall provide access to
all pertinent records and data requested by
the contracting officer or a duly authorized
representative as necessary to permit
Government surveillance to ensure that the
EVMS conforms, and continues to conform,
with the performance criteria referenced in
paragraph (a) of this clause.
(g) The Contractor shall require the
subcontractors specified below to comply
with the requirements of this clause: [Insert
list of applicable subcontractors].
(End of Clause)
[FR Doc. 2011–17623 Filed 7–15–11; 8:45 am]
BILLING CODE 4810–25–P
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Agencies
[Federal Register Volume 76, Number 137 (Monday, July 18, 2011)]
[Rules and Regulations]
[Pages 42056-42066]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-17623]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF THE TREASURY
48 CFR Chapter 10
RIN 1505-AC04
Department of the Treasury Acquisition Regulation
AGENCY: Office of the Procurement Executive, Treasury.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Department of the Treasury is issuing this final rule
amending the Department of the Treasury Acquisition Regulation (DTAR)
to: update, revise, or remove, as applicable, outdated text and
references; add new text to maintain consistency with the Federal
Acquisition Regulation (FAR); incorporate Treasury-specific policy
associated with current FAR requirements; reflect the Treasury's
organization and delegation of authorities; and make minor editorial
changes. This final rule adopts the provisions in the December 17,
2010, proposed rule with a minor change, thus renumbering one paragraph
in the DTAR.
DATES: Effective date: August 17, 2011.
FOR FURTHER INFORMATION CONTACT: Mr. Fernando T. Tonolete, Procurement
Analyst, at (202) 622-6416 for clarification of content or information
pertaining to status or publication schedules.
SUPPLEMENTARY INFORMATION: On December 17, 2010, the Department of the
Treasury published a proposed rule (75 FR 78953) to update the
Department of the Treasury Acquisition Regulation (DTAR) 2002 Edition,
first published on June 14, 2002, and available at: https://www.access.gpo.gov/nara/cfr/. The DTAR will be maintained separately
and combined with Department of the Treasury Acquisition Procedures
(DTAP) for expediency of use by Treasury staff. The DTAR and combined
DTAR/DTAP will be posted at: https://www.treasury.gov/about/organizational-structure/offices/Mgt/Pages/ProcurementPolicy-Regulations.aspx.
The December 17, 2010 proposed rule invited public comments on
several changes to the DTAR. Among other changes, the proposed changes
included revised definitions and scope of the DTAR. In addition, the
proposal included new sections that address Treasury's Mentor-
Prot[eacute]g[eacute] program, new provisions concerning contractor
publicity, and new provisions on types of contracts (specifying that
Bureaus must appoint a Task and Delivery Ombudsman). Finally, several
editorial and grammatical changes were made in order to make the DTAR
easier to read. See the December 17, 2010, proposed rule for further
information.
The comment period closed on February 15, 2011. No comments were
received and the Department adopts the proposed rule without change.
Procedural Matters
Executive Order 12866
This rule is not a significant regulatory action under Executive
Order 12866, Regulatory Planning and Review, dated September 30, 1993.
Regulatory Flexibility Act
The Regulatory Flexibility Act, 5 U.S.C. 601, et seq., applies to
this rule. It is hereby certified that the changes included in this
rule will not have a significant economic impact on a substantial
number of small entities within the meaning of the Regulatory
Flexibility Act.
The revisions are not considered substantive; revisions only update
and reorganize existing coverage. Further, the revisions to the Mentor-
Prot[eacute]g[eacute] program, although having some economic impact on
participating small entities, are not expected to affect a substantial
number of small entities. The program is designed for mentoring firms
to provide developmental assistance to prot[eacute]g[eacute]s in the
areas of management, personnel, organization, technical capability,
financial strength, and training/certifications. As a result, the
approximately 44 participating small entities may experience short-term
gains including an increase in the areas of revenue, number of contract
awards, personnel, technical capabilities, and business relationships.
Long-term, program participation should provide increased access to
prime or subcontractor opportunities at the Treasury. Subsequently,
this program serves to improve the Department of the Treasury's small
business goal attainment.
[[Page 42057]]
Paperwork Reduction Act
The information collections contained in this proposed rule have
been previously approved by the Office of Management and Budget under
the Paperwork Reduction Act (44 U.S.C. 3501, et seq.) and assigned OMB
control numbers 1505-0081; 1505-0080; and 1505-0107. Under the
Paperwork Reduction Act, an agency may not conduct or sponsor and a
person is not required to respond to a collection of information unless
it displays a valid OMB control number.
List of Subjects in 48 CFR Parts 1001, 1002, 1009, 1016, 1019,
1028, 1032, 1033, 1034, 1036, 1048, and 1052
Government procurement.
Dated: June 6, 2011.
Thomas A. Sharpe, Jr.,
Senior Procurement Executive, Office of the Procurement Executive.
Accordingly, the Department of the Treasury revises 48 CFR Chapter
10 to read as follows:
CHAPTER 10--DEPARTMENT OF THE TREASURY
Part
Subchapter A--General
1001 Department of the Treasury Acquisition Regulation (DTAR)
System.
1002 Definitions of Words and Terms.
Subchapter B--Acquisition Planning
1009 Contractor Qualifications.
Subchapter C--Contracting Methods and Contract Types
1016 Types of Contracts.
Subchapter D--Socioeconomic Programs
1019 Small Business Programs.
Subchapter E--General Contracting Requirements
1028 Bonds and Insurance.
1032 Contract Financing.
1033 Protests, Disputes, and Appeals.
Subchapter F--Special Categories of Contracting
1034 Major System Acquisition.
1036 Construction and Architect-Engineer Contracts.
Subchapter G--Contract Management
1042 Contract Administration and Audit Services.
Subchapter H--Clauses and Forms
1052 Solicitation Provisions and Contract Clauses.
SUBCHAPTER A--GENERAL
PART 1001--DEPARTMENT OF THE TREASURY ACQUISITION REGULATION (DTAR)
SYSTEM
Subpart 1001.1--Purpose, Authority, Issuance
Sec.
1001.101 Purpose.
1001.104 Applicability.
1001.105 Issuance.
1001.105-1 Publication and code arrangement.
1001.105-2 Arrangement of regulations.
1001.105-3 Copies.
1001.106 OMB Approval under the Paperwork Reduction Act.
Subpart 1001.3--Agency Acquisition Regulations
1001.301 Policy.
1001.304 Agency control and compliance procedures.
Subpart 1001.4--Deviations From the FAR
1001.403 Individual deviations.
1001.404 Class deviations.
Subpart 1001.6--Career Development, Contracting Authority and
Responsibilities
1001.670 Contract clause.
Authority: 41 U.S.C. 418b.
Subpart 1001.1--Purpose, Authority, Issuance
1001.101 Purpose.
This subpart establishes Chapter 10, the Department of the Treasury
Acquisition Regulation (DTAR), within Title 48 of the Federal
Acquisition Regulation (FAR) System. The DTAR contains policies and
procedures that supplement FAR coverage and directly affect the
contractual relationship between the Department of the Treasury and its
business partners (e.g., prospective offerors/bidders and contractors).
When FAR coverage is adequate, there will be no corresponding DTAR
coverage.
1001.104 Applicability.
The DTAR applies to all acquisitions of supplies and services,
which obligate appropriated funds. For acquisitions made from non-
appropriated funds, the Senior Procurement Executive will determine the
rules and procedures that will apply. The DTAR does not apply to the
acquisitions of the U.S. Mint.
1001.105 Issuance.
1001.105-1 Publication and code arrangement.
The DTAR and its subsequent changes will be published in the
Federal Register and codified in the Code of Federal Regulations (CFR).
The DTAR will be issued as 48 CFR Chapter 10.
1001.105-2 Arrangement of regulations.
(a) References and citations. The DTAR is divided into the same
parts, subparts, sections, subsections, and paragraphs as the FAR
except that 10 or 100 will precede the DTAR citation so that there are
four numbers to the left of the first decimal. Reference to DTAR
material must be made in a manner similar to that prescribed by FAR
1.105-2(c).
1001.105-3 Copies.
Copies of the DTAR in Federal Register or CFR form may be purchased
from the Superintendent of Documents, Government Printing Office (GPO),
Washington, DC 20402.
1001.106 OMB Approval under the Paperwork Reduction Act.
OMB has assigned the following control numbers that must appear on
the upper right corner of the face page of each solicitation, contract,
modification, and order: OMB Control No. 1505-0081 (Offeror
submissions), OMB Control No. 1505-0080 (Contractor submissions), OMB
Control No. 1505-0107 (Protests). OMB regulations and OMB's approval
and assignment of control numbers are conditioned upon Treasury bureaus
not requiring more than three copies (including the original) of any
document of information. OMB has granted a waiver to permit the
Department to require up to eight copies of proposal packages,
including proprietary data, for solicitations, provided that
contractors who submit only an original and two copies will not be
placed at a disadvantage.
Subpart 1001.3--Agency Acquisition Regulations
1001.301 Policy.
(a)(1) The DTAR (48 CFR Chapter 10) is issued for Treasury
implementation in accordance with the authority cited in FAR 1.301(b).
The DTAR supplements the Federal Acquisition Regulation by establishing
uniform policies for all acquisition activities throughout the
Department of the Treasury, except for the United States Mint.
1001.304 Agency control and compliance procedures.
(a) The DTAR is under the direct oversight and control of
Treasury's Office of the Procurement Executive (OPE), which is
responsible for the evaluation, review, and issuance of all Department-
wide acquisition regulations and guidance.
[[Page 42058]]
Subpart 1001.4--Deviations from the FAR
1001.403 Individual deviations.
The SPE is authorized to approve individual contract FAR and DTAR
deviations.
1001.404 Class deviations.
(a) The SPE is authorized to approve class FAR and DTAR deviations.
Subpart 1001.6--Career Development, Contracting Authority and
Responsibilities
1001.670 Contract clause.
Contracting Officers must insert a clause substantially similar to
the clause in section 1052.201-70, Contracting Officer's Technical
Representative (COTR) Appointment and Authority, in all solicitations
and contracts. Exceptions to the requirement for inclusion of the COTR
clause and the appointment of a COTR may be made at the discretion of
the BCPO.
PART 1002--DEFINITIONS OF WORDS AND TERMS
Sec.
Subpart 1002.1--Definitions
1002.101 Definitions.
1002.70 Abbreviations.
Authority: 41 U.S.C. 418b.
Subpart 1002.1--Definitions
1002.101 Definitions.
Bureau means any one of the following Treasury organizations:
(1) Alcohol and Tobacco Tax and Trade Bureau (TTB);
(2) Bureau of Engraving & Printing (BEP);
(3) Bureau of Public Debt (BPD);
(4) Departmental Offices (DO);
(5) Financial Crimes Enforcement Network (FinCEN);
(6) Financial Management Service (FMS);
(7) Inspector General (OIG);
(8) Internal Revenue Service (IRS);
(9) Office of the Comptroller of the Currency (OCC);
(10) Office of Thrift Supervision (OTS);
(11) Special Inspector General for the Troubled Asset Relief
Program (SIGTARP);
(12) Treasury Inspector General for Tax Administration (TIGTA); or
(13) U.S. Mint.
Bureau Chief Procurement Officer (BCPO) means the senior
acquisition person at each headquarters office or bureau. Within the
Internal Revenue Service, this may be the Director, Procurement or the
Deputy Director, Procurement.
Contracting Activity means an organization within a bureau or the
Departmental Offices, having delegated acquisition authority.
Head of Contracting Activity (HCA) means the Senior Procurement
Executive for Departmental Offices, the Deputy Commissioner for
Operations Support for the Internal Revenue Service, and the heads of
each bureau, as listed in section 1.b.(1) of Department of the Treasury
Directive 12-11.
Head of the Agency means the Assistant Secretary for Management and
Chief Financial Officer as designated by Treasury Order 101-30.
Legal Counsel means the Treasury or bureau office providing legal
services to the contracting activity.
Senior Procurement Executive (SPE) for the Department of the
Treasury is the Director, Office of the Procurement Executive.
1002.70 Abbreviations.
BCPO Bureau Chief Procurement Officer
COTR Contracting Officer's Technical Representative
HCA Head of the Contracting Activity
OPE Office of the Procurement Executive
OSDBU Office of Small and Disadvantaged Business Utilization
SPE Senior Procurement Executive
SUBCHAPTER B--ACQUISITION PLANNING
PART 1009--CONTRACTOR QUALIFICATIONS
Sec.
Subpart 1009.2--Qualifications Requirements
1009.204-70 Contractor publicity.
Authority: 41 U.S.C. 418b.
Subpart 1009.2--Qualifications Requirements
1009.204-70 Contractor publicity.
31 U.S.C. 333(a) prohibits the use of Treasury names,
abbreviations, or symbols, in connection with, or as a part of, any
advertisement, solicitation, business activity, or product, in a manner
that may imply endorsement by Treasury. Bureaus shall insert a clause
substantially the same as 1052.210-70 Contractor Publicity in all
solicitations and contracts.
SUBCHAPTER C--CONTRACTING METHODS AND CONTRACT TYPES
PART 1016--TYPES OF CONTRACTS
Sec.
Subpart 1016.5--Indefinite-Delivery Contracts
1016.505 Ordering.
Authority: Authority: 41 U.S.C. 418b.
Subpart 1016.5--Indefinite-Delivery Contracts
1016.505 Ordering.
(b)(6) Bureaus shall designate a Task and Delivery Ombudsman in
accordance with bureau procedures. In the absence of a designation, the
Bureau Competition Advocate will serve in that capacity.
SUBCHAPTER D--SOCIOECONOMIC PROGRAMS
PART 1019--SMALL BUSINESS PROGRAMS
Sec.
Subpart 1019.2--Policies
1019.202 Specific policies.
1019.202-70 Treasury's Mentor-Prot[eacute]g[eacute] Program
Subpart 1019.7--The Small Business Subcontracting Program
1019.705 Responsibilities of the Contracting Officer Under the
Subcontracting Assistant Program.
1019.705-4 Reviewing the Subcontracting Plan.
Subpart 1019.8--Contracting With the Small Business Administration (The
8(a) Program)
1019.811 Preparing the contracts.
1019.811-3 Contract clauses.
Authority: 41 U.S.C. 418b.
Subpart 1019.2--Policies
1019.202 Specific policies.
1019.202-70 The Treasury Mentor Prot[eacute]g[eacute] Program.
(a) [Reserved]
(b) [Reserved]
(c) Non-affiliation. For purposes of the Small Business Act, a
prot[eacute]g[eacute] firm may not be considered an affiliate of a
mentor firm solely on the basis that the prot[eacute]g[eacute] firm is
receiving developmental assistance referred to in paragraph (m) of this
section, from such mentor firm under the Mentor-Prot[eacute]g[eacute]
Program.
(d) General policy. (1) Eligible contractors, not included on the
``List of Parties Excluded from Federal Procurement and Nonprocurement
Programs,'' that are approved as mentors will enter into agreements
with eligible prot[eacute]g[eacute]s. Mentors provide appropriate
developmental assistance to enhance the capabilities of
prot[eacute]g[eacute]s to perform as contractors or subcontractors.
(2) A firm's status as a prot[eacute]g[eacute] under a Treasury
contract shall not have an effect on the firm's eligibility to seek
other contracts or subcontracts.
[[Page 42059]]
(e) Incentives for contractor participation. (1) Under the Small
Business Act, 15 U.S.C. 637(d)(4)(E), Treasury is authorized to provide
appropriate incentives in negotiated contractual actions to encourage
subcontracting opportunities consistent with the efficient and
economical performance of the contract. Proposed mentor-
prot[eacute]g[eacute] efforts will be considered during the evaluation
of such negotiated, competitive offers. Contracting Officers may
provide, as an incentive, a bonus score, not to exceed 5% of the
relative importance assigned to the non-price factors. If this
incentive is used, the Contracting Officer shall include language in
the solicitation indicating that this adjustment may occur.
(2) Before awarding a contract that requires a subcontracting plan,
the existence of a mentor-prot[eacute]g[eacute] arrangement, and
performance (if any) under such an existing arrangement, will be
considered by the Contracting Officer in:
(i) Evaluating the quality of a proposed subcontracting plan under
FAR 19.705-4; and,
(ii) Evaluating the contractor compliance with the subcontracting
plans submitted in previous contracts as a factor in determining
contractor responsibility under FAR 19.705-5(a)(1).
(3) The Office of Small and Disadvantaged Business Utilization
(OSDBU) Mentoring Award is a non-monetary award that will be presented
(annually on a fiscal year basis or as often as is appropriate) to the
mentoring firm providing the most effective developmental support of a
prot[eacute]g[eacute]. The Mentor-Prot[eacute]g[eacute] Program Manager
will recommend an award winner to the Director, OSDBU.
(f) [Reserved]
(g) Mentor firms. A mentor firm may be either a large or small
business, eligible for award of a Government contract that can provide
developmental assistance to enhance the capabilities of
prot[eacute]g[eacute]s to perform as subcontractors. Mentors will be
encouraged to enter into arrangements with prot[eacute]g[eacute]s in
addition to firms with whom they have established business
relationships.
(h) Prot[eacute]g[eacute] firms. (1) For selection as a
prot[eacute]g[eacute], a firm must be:
(i) A small business, women-owned small business, small
disadvantaged business, small business owned and controlled by veteran
or service disabled veteran, or qualified HUBZone small business, or a
qualified 8(a) concern;
(ii) Qualified as a small business under the NAICS code for the
services or supplies to be provided by the prot[eacute]g[eacute] under
its subcontract to the mentor; and
(iii) Eligible for award of Government contracts.
(2) Except small disadvantaged businesses and qualified HUBZone
small business firms, a prot[eacute]g[eacute] firm may self-certify to
a mentor firm that it meets the requirements set forth in paragraph
(h)(1) of this section. Mentors may rely in good faith on written
representations by potential prot[eacute]g[eacute]s that they meet the
specified eligibility requirements. The h(1)(i), small disadvantaged
business, or qualified HUBZone small business status eligibility and
documentation requirements are determined according to FAR 19.304 and
19.1303, respectively.
(3) Prot[eacute]g[eacute]s may not have multiple mentors unless
approved, in writing, by the Director, OSDBU. Prot[eacute]g[eacute]s
participating in other agency mentor prot[eacute]g[eacute] programs in
addition to the Treasury Mentor-Prot[eacute]g[eacute] Program should
maintain a system for preparing separate reports of mentoring activity
for each agency's program.
(i) Selection of prot[eacute]g[eacute] firms. (1) Mentor firms will
be solely responsible for selecting prot[eacute]g[eacute] firms. The
mentor is encouraged to identify and select the types of
prot[eacute]g[eacute] firms listed in 1019.202-70(h). Mentor firms may
have multiple prot[eacute]g[eacute]s.
(2) The selection of prot[eacute]g[eacute] firms by mentor firms
may not be protested. Any question regarding the size or eligibility
status of an entity selected by a mentor to be a prot[eacute]g[eacute]
must be referred solely to Treasury's OSDBU for resolution. Treasury,
at its discretion, may seek an advisory opinion from the Small Business
Administration (SBA).
(j) Application process for mentor firms to participate in the
program. (1) Firms interested in becoming a mentor firm may apply in
writing to Treasury's OSDBU. The application will be evaluated based
upon the description of the nature and extent of technical and
managerial support proposed as well as the extent of other
developmental assistance in the form of equity investment, loans,
joint-venture support and traditional subcontracting support.
(k) OSDBU review and approval process of agreement. (1) OSDBU will
review the information specified in 1019.202-70(l). The OSDBU review
will be completed no later than 30 calendar days after receipt.
(2) Upon completion of the review, the mentor may implement the
developmental assistance program.
(3) An approved agreement will be incorporated into the mentor
firm's contract(s) with Treasury.
(4) If OSDBU disapproves the agreement, the mentor may provide
additional information for reconsideration. Upon finding deficiencies
that OSDBU considers correctable, OSDBU will notify the mentor and
provide a list of defects. Any additional information or corrections
requested will be provided within 30 calendar days. The review of any
supplemental material will be completed within 30 calendar days after
receipt by OSDBU. When submission of additional data is required during
a proposal evaluation for a new contract award, shorter timeframes for
submission, review and re-evaluation for approval may be authorized by
OSDBU.
(5) The agreement defines the relationship between the mentor and
prot[eacute]g[eacute] firms only. The agreement itself does not create
any privity of contract between the mentor or prot[eacute]g[eacute] and
Treasury.
(l) Agreement contents. The contents of the agreement will contain:
(1) Names and addresses of mentor and prot[eacute]g[eacute] firms
and a point of contact within both firms who will oversee the
agreement;
(2) Procedures for the mentor firm to notify the
prot[eacute]g[eacute] firm, OSDBU and the Contracting Officer, in
writing, at least 30 days in advance of the mentor firm's intent to
voluntarily withdraw from the Mentor-Prot[eacute]g[eacute] Program;
(3) Procedures for a prot[eacute]g[eacute] firm to notify the
mentor firm in writing at least 30 days in advance of the
prot[eacute]g[eacute] firm's intent to voluntarily terminate the
mentor-prot[eacute]g[eacute] agreement. The mentor must notify OSDBU
and the Contracting Officer immediately upon receipt of such notice
from the prot[eacute]g[eacute];
(4) Each proposed mentor-prot[eacute]g[eacute] relationship must
include information on the mentor's ability to provide developmental
assistance to the prot[eacute]g[eacute] and how that assistance will
potentially increase contracting and subcontracting opportunities for
the prot[eacute]g[eacute] firm;
(5) A description of the type of developmental program that will be
provided by the mentor firm to the prot[eacute]g[eacute] firm, to
include a description of the potential subcontract work, and a schedule
for providing assistance and criteria for evaluation of the
prot[eacute]g[eacute]s developmental success;
(6) A listing of the types and dollar amounts of subcontracts that
may be awarded to the prot[eacute]g[eacute] firm;
(7) Program participation term;
(8) Termination procedures;
(9) Plan for accomplishing work should the agreement be terminated;
and
[[Page 42060]]
(10) Other terms and conditions, as appropriate.
(m) Developmental assistance. The forms of developmental assistance
a mentor can provide to a prot[eacute]g[eacute] include:
(1) Management guidance relating to financial management,
organizational management, overall business management/planning,
business development, and technical assistance.
(2) Loans;
(3) Rent-free use of facilities and/or equipment;
(4) Property;
(5) Temporary assignment of personnel to prot[eacute]g[eacute] for
purpose of training; and
(6) Any other types of mutually beneficial assistance.
(n) Obligation. (1) Mentor or prot[eacute]g[eacute] firms may
voluntarily withdraw from the Mentor-Prot[eacute]g[eacute] Program.
However, such withdrawal shall not excuse the contractor from
compliance with contract requirements.
(2) At the conclusion of each year in the Mentor-
Prot[eacute]g[eacute] Program, the contractor and prot[eacute]g[eacute]
must formally brief the Department of the Treasury team regarding
program accomplishments as they pertain to the approved agreement.
Individual briefings may be conducted, at the request of either party.
Treasury will consider the following:
(i) Specific actions taken by the mentor, during the evaluation
period, to increase the participation of prot[eacute]g[eacute]s as
suppliers to the Federal government and to commercial entities;
(ii) Specific actions taken by the mentor, during the evaluation
period, to develop the technical and corporate administrative expertise
of a prot[eacute]g[eacute] as defined in the agreement;
(iii) To what extent the prot[eacute]g[eacute] has met the
developmental objectives in the agreement; and
(iv) To what extent the mentor firm's participation in the Mentor-
Prot[eacute]g[eacute] Program resulted in the prot[eacute]g[eacute]
receiving contract(s) and subcontract(s) from private firms and
agencies other than the Department of the Treasury.
(v) Mentor and prot[eacute]g[eacute] firms must submit an
evaluation to OSDBU at the conclusion of the mutually agreed upon
program period, the conclusion of the contract, or the voluntary
withdrawal by either party from the Mentor-Prot[eacute]g[eacute]
Program, whichever comes first.
(o) [Reserved]
(p) Solicitation provisions and contract clauses (1) Insert the
provision at 1052.219-73, Department of the Treasury Mentor-
Prot[eacute]g[eacute] Program, in all unrestricted solicitations
exceeding $500,000 ($1,000,000 for construction) that offer
subcontracting possibilities.
(2) Insert the clause at 1052.219-75, Mentor Requirements and
Evaluation, in contracts where the contractor is a participant in the
Treasury Mentor-Prot[eacute]g[eacute] Program.
Subpart 1019.8--Contracting With the Small Business Administration
(The 8(A) Program)
1019.81 Preparing the contracts.
1019.811-3 Contract clauses.
(d)(3) Insert the clause at 1052.219-18, Notification of
Competition Limited to Eligible 8(a) Concerns--Alternate III
(Deviation), for paragraph (c) of FAR 52.219-18, Notification of
Competition Limited to Eligible 8(a) Concerns, in all solicitations and
contracts that exceed $100,000 and are processed under 1019.8.
(f) Insert the clause at 1052.219-72, Section 8(a) Direct Awards,
in solicitations and contracts that exceed $100,000 and are processed
under 1019.8 for paragraph (c) of FAR 52.219-11, Special 8(a) Contract
Conditions; FAR 52.219-12, Special 8(a) Subcontract Conditions; and FAR
52.219-17, Section 8(a) Award.
SUBCHAPTER E--GENERAL CONTRACTING REQUIREMENTS
PART 1028--BONDS AND INSURANCE
Sec.
Subpart 1028.3--Insurance
1028.307 Insurance under cost-reimbursement contracts.
1028.307-1 Group insurance plans.
1028.310 Contract clause for work on a Government installation.
1028.310-70 Contract clause.
1028.311 Solicitation provision and contract clause on liability
insurance under cost-reimbursement contracts.
1028.311-2 Agency solicitation provisions and contract clauses.
Authority: 41 U.S.C. 418b.
Subpart 1028.3--Insurance
1028.307 Insurance under cost-reimbursement contracts.
1028.307-1 Group insurance plans.
(a) Plans shall be submitted to the CO.
(b) [Reserved]
1028.310 Contract clause for work on a Government installation.
1028.310-70 Contract clause.
(a) Insert a clause substantially similar to 1052.228-70,
``Insurance Requirements,'' in all solicitations and contracts that
contain the clause at FAR 52.228-5.
1028.311 Solicitation provision and contract clause on liability
insurance under cost reimbursement contracts.
1028.311-2 Agency solicitation provisions and contract clauses.
Insert a clause substantially similar to 1052.228-70, ``Insurance
Requirements,'' in all solicitations and contracts that contain the
clause at FAR 52.228-7.
PART 1032--CONTRACT FINANCING
Sec.
Subpart 1032.1--Non-Commercial Item Purchase Financing
1032.113 Customary contract financing.
Subpart 1032.2--Commercial Item Purchase Financing
1032.202 General.
1032.202-1 Policy.
Authority: 41 U.S.C. 418b.
Subpart 1032.1--Non-Commercial Item Purchase Financing
1032.113 Customary contract financing.
The specified arrangements are considered customary within
Treasury.
Subpart 1032.2--Commercial Item Purchase Financing
1032.202 General.
1032.202-1 Policy.
(b)(2) Commercial interim payments and commercial advance payments
may also be made when the contract price is at or below the simplified
acquisition threshold.
PART 1033--PROTESTS, DISPUTES, AND APPEALS
Sec.
Subpart 1033.2--Disputes and Appeals
1033.201 Definitions.
Authority: 41 U.S.C. 418b.
Subpart 1033.2--Disputes and Appeals
1033.201 Definitions.
Agency Board of Contract Appeals means the Civilian Board of
Contract Appeals (CBCA). The CBCA is the authorized representative of
the Secretary of the Treasury in hearing, considering, and determining
all appeals of decisions of Contracting Officers filed by contractors
pursuant to FAR Subpart 33.2. Appeals are governed by the Rules of
Procedure of the CBCA.
[[Page 42061]]
SUBCHAPTER F--SPECIAL CATEGORIES OF CONTRACTING
PART 1034--MAJOR SYSTEM ACQUISITION
Sec.
Subpart 34.0--General
1034.001 Definitions.
1034.004 Acquisition strategy.
Subpart 34.2--Earned Value Management System
1034.201 Policy.
1034.202 Integrated Baseline Reviews.
1034.203 Solicitation provisions and contract clauses.
Authority: 41 U.S.C. 418b.
Subpart 34.0--General
1034.001 Definitions.
Core Earned Value Management is a process for ensuring that the
contractor's self validated earned value management system is capable
of producing earned value management data and meets, at a minimum, the
following core ANSI/EIA Standard-748 criteria:
(1) (ANSI 1) Define the authorized work elements for the
program. A work breakdown structure (WBS), tailored for effective
internal management control, is commonly used in this process.
(2) (ANSI 2) Identify the program organizational structure
including the major subcontractors responsible for accomplishing the
authorized work, and define the organizational elements in which work
will be planned and controlled.
(3) (ANSI 3) Provide for the integration of the company's
planning, scheduling, budgeting, work authorization, and cost
accumulation processes with each other, and as appropriate, the program
WBS and the program organizational structure.
(4) (ANSI 6) Schedule the authorized work in a manner that
describes the sequence of work and identifies significant task
interdependencies required to meet the needs of the program.
(5) (ANSI 7) Identify physical products, milestones,
technical performance goals, or other indicators that will be used to
measure progress.
(6) (ANSI 8) Establish and maintain a time-phased budget
baseline, at the control account level, against which program
performance can be measured. Initial budgets established for
performance measurement will be based on either internal management
goals or the external customer negotiated target cost including
estimates for authorized but vaguely defined work. Budget for far-term
efforts may be held in higher-level accounts until an appropriate time
for allocation at the control account level. On government contracts,
if an over-target baseline is used for performance measurement
reporting purposes, prior notification must be provided to the
customer.
(7) (ANSI 16) Record direct costs in a manner consistent
with the budgets in a formal system controlled by the general books of
account.
(8) (ANSI 22) At least on a monthly basis, generate the
following information at the control account and other levels as
necessary for management control using actual cost data from, or
reconcilable with, the accounting system:
(i) Comparison of the amount of planned budget and the amount of
budget earned for work accomplished. This comparison provides the
schedule variance.
(ii) Comparison of the amount of the budget earned and the actual
(applied where appropriate) direct costs for the same work. This
comparison provides the cost variance.
(9) (ANSI 27) Develop revised estimates of cost at
completion based on performance to date, commitment values for
material, and estimates of future conditions. Compare this information
with the performance measurement baseline to identify variances at
completion important to management and any applicable customer
reporting requirements, including statements of funding requirements.
(10) (ANSI 28) Incorporate authorized changes in a timely
manner, recording the effects of such changes in budgets and schedules.
In the directed effort prior to negotiation of a change, base such
revisions on the amount estimated and budgeted to the program
organizations.
Development, Modernization, Enhancement (DME) is the portion of an
IT investment/project which deals with developing and implementing new
or enhanced technology in support of an agency's mission.
Major acquisitions for development are defined as contracts,
awarded in support of one or more Major IT investments with DME
activities, which meet the contract threshold for fully applying FAR
34.2 procedures.
Performance-based acquisition management means a documented,
systematic process for program management, which includes integration
of program scope, schedule and cost objectives, establishment of a
baseline plan for accomplishment of program objectives, and use of
earned value techniques for performance measurement during execution of
the program. A performance-based acquisition (as defined in FAR 37.101)
or an acquisition with a defined quality assurance plan that includes
performance standards/measures should be the basis for monitoring the
contractor.
1034.004 Acquisition strategy.
(a) A program manager's acquisition strategy written at the system
or investment level in accordance with FAR 7.103(e) shall include at a
minimum:
(1) The relationship of each individual acquisition (Contract,
Delivery Order, Task Order, or Interagency Agreement) to the overall
investment requirements and management structure;
(2) What work is being performed in-house (by government personnel)
versus contracted out for the investment;
(3) A description of the effort, by acquisition, and the plans to
include required clauses in the acquisitions;
(4) A timetable of major acquisition award and administration
activities, including plans for contract transitions;
(5) An investment/system surveillance plan;
(6) Financial and human resource requirements to manage the
acquisition processes through the investment lifecycle;
(7) Consideration of optimal contract types, including
considerations of performance based approaches, small business
utilization, Section 508, etc.; and
(8) Assurances that the acquisition strategy section and supporting
acquisition plans will maximize competition, including enabling
downstream competition through avoidance of vendor ``lock in''.
(b) The acquisition strategy shall be approved by a chartered
interdisciplinary acquisition team that includes a representative of
the procurement organization designated in accordance with bureau
procedures.
Subpart 34.2--Earned Value Management System
1034.201 Policy.
(a) (1) An Earned Value Management System (EVMS) is required for
major acquisitions for development/modernization/enhancement (DME) in
accordance with OMB Circular A-11. This includes prototypes and tests
to select the most cost effective alternative during the Planning
Phase, the work during the Acquisition Phase, and any developmental,
modification or upgrade work done during the Operational/
[[Page 42062]]
Steady State Phase. EVMS is to be applied to contractor efforts
regardless of contract type. The Contracting Officer shall procure the
Contractor-developed component(s) of major project(s) that have been
vetted through the Treasury governance process and the acquisition has
been identified by the program manager as requiring the Contractor's
use of an EVMS. In addition to major acquisitions for development, the
Department of the Treasury may also require the Contractor's use of an
EVMS for other acquisitions. The following thresholds apply to DME
costs at the Contract Line Item Number (CLIN) level for performance-
based acquisitions and to DME costs at the acquisition level (Contract,
Task Order, or IAG) for non-performance-based contracts:
--------------------------------------------------------------------------------------------------------------------------------------------------------
Applicable Level of EVMS
Contract, task order, IAG, or CLIN Reporting requirements for ANSI/EIA Level of EVMS IBR required surveillance
value IT investments criteria validation/ acceptance (contractor)
--------------------------------------------------------------------------------------------------------------------------------------------------------
>$50 M............................. Full....................... 32 CFA 1Acceptance....... Yes................... CFA Surveillance
unless another
interested party
alternative is
requested by the
Bureau and approved
by the Treasury CIO.
Between $20M and $50M.............. Full....................... 32 Contractor Self- Yes...................
Validation.
<$20M.............................. Core....................... 10 Contractor Self- Independent Baseline Treasury/Bureau
Validation. Validation IBR (Core). Surveillance.*
--------------------------------------------------------------------------------------------------------------------------------------------------------
* In accordance with Bureau Annual Surveillance Strategy.
\1\ CFA--Cognizant Federal Agency (See FAR 42.003).
(2) For the purpose of this subpart, CLIN may be interpreted as a
single Contract Line Item Number, Contract Line Item Number with Sub-
CLINs, or Multiple Contract Line Item Numbers included in a single DME
effort. Do not break down any DME effort below the aggregation of the
requirement to avoid use of the actual threshold prescriptions.
(b) Acquisition Planning. All written acquisition plans shall
include the following:
(1) A determination from the requirements official as to whether
the program is a major acquisition as defined under OMB Circular A-11
and FAR Part 34;
(2) If so, whether the program is required to include EVM and if
the Contractor is required to use an EVMS;
(3) If so, whether the program official is EVM trained and
qualified or has support from someone who is EVM trained and certified;
and
(4) Whether a Full Integrated Baseline Review (IBR) will be
completed within 90 days when the acquisition DME value is $20 Million
or more, or a Core Integrated Baseline Review when the acquisition DME
value is less than $20 Million).
(c) Solicitations and Awards. Unless a waiver has been granted (See
paragraph (e) of this section), all solicitations and awards for major
investments with DME valued at $20 Million or more require EVMS from
the Contractor and its Subcontractor as follows:
(1) FAR Clause 52.234-4, Earned Value Management System; and, as
appropriate, 1052.234-4, Earned Value Management System Alternate I)
(See 1034.203 below), must contain a requirement that the Contractor
and its subcontractors have:
(i) AN EVMS that has been determined as meeting the Full criteria
of ANSI/EIA Standard-748 compliance (valued at $20 Million or more);
(ii) An EVMS that has been determined as meeting the Core criteria
of ANSI/EIA Standard-748 compliance (valued at below $20 Million, See
5. DTAR Special Solicitation Provisions and Contract Clauses, 1052.234-
2 and 1052.234-3); or
(iii) That the Contractor deliver a plan to provide EVM data that
meets the standard.
(2) Provide for the completion of an IBR, or, as appropriate, for
subcontracts with DME less than $20 million, an IBR (Core) that meets
the Government standard, and provide periodic reporting of the EVM
data.
(3) All EVM determinations as set forth in paragraphs 3(c)(i)(A)
and (B) of this section, shall be documented in the pre-award and
contract files, as appropriate.
(d) Program Management. For those acquisitions to which EVM
applies, the program manager (PM)/(COTR) shall:
(1) Ensure that EVM requirements are included in the acquisition
Statement of Objectives (SOO), Performance Work Statement (PWS), or
Statement of Work (SOW);
(2) Determine whether the Contractor's EVMS (and that of its
subcontractors) is ANSI/EIA Standard 748 compliant, or determine
whether the Contractor's plan to provide EVM data meets the required
standard; and
(3) Validate and approve the IBR/IBR (Core) and the subsequently
issued EVM reports. These program management requirements shall be
included in the Contracting Officer's written appointment letter to the
COTR.
(e) Waivers. In accordance with Bureau policy, a waiver(s) to the
guidance described within the Department of the Treasury Earned Value
Management Guide (Treasury EVM Guide) may be granted by the
Departmental Treasury CIO based on Bureau documented and Bureau CIO
approved requests. Examples of waiver justifications may include, but
are not limited to:
(1) Urgency of work to be performed;
(2) Limited duration of work to be performed;
(3) Cost of adding EVMS requirement to a contract versus benefit
achieved;
(4) Percentage of DME costs vis-[agrave]-vis the life cycle
investment costs; and
(5) Level of risk.
1034.202 Integrated Baseline Reviews.
(a) When an EVMS is required, and depending on the DME CLIN value
threshold, the Government will conduct a Full IBR or a Core IBR.
(b) The purpose of the Full IBR and the Core IBR is to verify the
technical content and the realism of the related performance budgets,
resources, and schedules. It should provide a mutual understanding of
the inherent risks in offerors'/contractors' performance plans and the
underlying management control systems, and it should formulate a plan
to handle these risks.
(c) Both the IBR and the IBR (Core) are joint assessments by the
offeror or Contractor, and the Government, of the--
[[Page 42063]]
(1) Ability of the project's technical plan to achieve the
objectives of the scope of work;
(2) Adequacy of the time allocated for performing the defined tasks
to successfully achieve the project schedule objectives;
(3) Ability of the Performance Measurement Baseline (PMB) to
successfully execute the project and attain cost objectives,
recognizing the relationship between budget resources, funding,
schedule, and scope of work;
(4) Availability of personnel, facilities, and equipment when
required, to perform the defined tasks needed to execute the program
successfully; and
(5) The degree to which the management process provides effective
and integrated technical/schedule/cost planning and baseline control.
(d) An IBR/IBR (Core) may be held either pre- or post-award;
however, the post-award IBR/IBR (Core) must be completed within 90 days
after award, or the Contracting Officer shall obtain a copy of the
Program Manager's written review of the requirement and assessment of
the IBR/IBR (Core) timing based on the risk associated with the
acquisition. While a post-award IBR is preferred, a pre-award IBR will
be acceptable. Note: The IBR (Core) may be included within the Quality
Assurance Surveillance Plan (QASP).
(e) The solicitation and award shall include the process and
schedule for EVMS validation as meeting the ANSI/EIA 748 through EVMS
Compliance Recognition documents or a Compliance Evaluation Review
where a compliance document does not exist, and periodic systems
surveillance.
1034.203 Solicitation provisions and contract clauses.
(a) For major investment acquisitions that included a DME effort
value of greater than $50 Million, the Contracting Officer shall follow
the requirements provided at FAR Subpart 34.203.
(b) For major investment acquisitions that include a DME effort
with a value between $20-$50 Million:
(1) The Contracting Officer shall insert the FAR provision at FAR
52.234-2, Notice of Earned Value Management System--Pre-Award IBR, with
the clause at 1052.234-2, Notice of Earned Value System--Pre-Award
Alternate I in solicitations and awards that require the contractor to
use an EVMS and for which the Government requires an IBR prior to
award.
(2) The Contracting Officer shall insert the FAR provision at FAR
52.234-3, Notice of Earned Value Management System--Post-Award IBR,
with 1052.234-3, Notice of Earned Value System--Post-Award Alternate I
in solicitations and awards that require the contractor to use an
Earned Value Management System (EVMS) and for which the Government
requires an IBR after award.
(3) The contracting officer shall insert the FAR clause at FAR
52.234-4, Earned Value Management System, with 1052.234-4, Earned Value
Management System Alternate I), in solicitations and awards that
require a contractor to use an EVMS.
(c) For major acquisitions that include a DME effort with a value
of less than $20 Million:
(1) The Contracting Officer shall insert the provision 1052.234-70,
Notice of Earned Value Management System--Pre-Award IBR (Core), in
solicitations for awards that require the contractor to use an Earned
Value Management System (EVMS) and for which the Government requires an
IBR prior to award.
(2) The Contracting Officer shall insert the provision 1052.234-71,
Notice of Earned Value Management System--Post-Award IBR (Core), in
solicitations for contracts that require the contractor to use an
Earned Value Management System (EVMS) and for which the Government
requires an IBR after award.
(3) The Contracting Officer shall insert the clause 1052.234-72,
Core Earned Value Management System, in solicitations and awards that
require a contractor to use an EVMS.
PART 1036--CONSTRUCTION AND ARCHITECT-ENGINEER CONTRACTS
Sec.
Subpart 1036.6--Architect-Engineer Services
1036.602-5 Short selection process for contracts not to exceed the
simplified acquisition threshold.
Authority: 41 U.S.C. 418b.
Subpart 1036.6--Architect-Engineer Services
1036.602-5 Short selection process for contracts not to exceed the
simplified acquisition threshold.
Bureaus are authorized to use either process.
SUBCHAPTER G--CONTRACT MANAGEMENT
PART 1042--CONTRACT ADMINISTRATION AND AUDIT SERVICES
Sec.
1042.1500 Procedures.
Authority: 41 U.S.C. 418b.
1042.1500 Procedures.
Contracting Officers are responsible for preparing interim and
final past performance evaluations.
SUBCHAPTER H--CLAUSES AND FORMS
PART 1052--SOLICITATION PROVISIONS AND CONTRACT CLAUSES
Sec.
Subpart 1052.2--Texts of Provisions and Clauses
1052.201-70 Contracting Officer's Technical Representative (COTR)
Appointment and Authority.
1052.210-70 Contractor Publicity.
1052.219-18 Notification of Competition Limited to Eligible 8(a)
Concerns--Alternate III (Deviation).
1052.219.72 Section 8(a) Direct Awards.
1052.219-73 Department of the Treasury Mentor-Prot[eacute]g[eacute]
Program.
1052.219-75 Mentor Requirements and Evaluation.
1052.228-70 Insurance Requirements.
1052.234-2 Notice of Earned Value Management System--Pre-Award IBR--
Alternate I.
1052.234-3 Notice of Earned Value Management System--Post-Award
IBR--Alternate I.
1052.234-4 Earned Value Management System--Alternate I.
1052.234-70 Notice of Earned Value Management System--Pre-Award IBR
(Core).
1052.234-71 Notice of Earned Value Management System--Post-Award IBR
(Core).
1052.234-72 Core Earned Value Management System.
Authority: 41 U.S.C. 418b.
Subpart 1052.2--Texts of Provisions and Clauses
1052.201-70 Contracting Officer's Technical Representative (COTR)
appointment and authority.
As prescribed in 1001.670-6, insert the following clause:
CONTRACTING OFFICER'S TECHNICAL REPRESENTATIVE (COTR) APPOINTMENT AND
AUTHORITY AUG 2011
(a) The COTR is ----------[insert name, address and telephone
number].
(b) Performance of work under this contract is subject to the
technical direction of the COTR identified above, or a
representative designated in writing. The term ``technical
direction'' includes, without limitation, direction to the
contractor that directs or redirects the labor effort, shifts the
work between work areas or locations, and/or fills in details and
otherwise serves to
[[Page 42064]]
ensure that tasks outlined in the work statement are accomplished
satisfactorily.
(c) Technical direction must be within the scope of the contract
specification(s)/work statement. The COTR does not have authority to
issue technical direction that:
(1) Constitutes a change of assignment or additional work
outside the contract specification(s)/work statement;
(2) Constitutes a change as defined in the clause entitled
``Changes'';
(3) In any manner causes an increase or decrease in the contract
price, or the time required for contract performance;
(4) Changes any of the terms, conditions, or specification(s)/
work statement of the contract;
(5) Interferes with the contractor's right to perform under the
terms and conditions of the contract; or
(6) Directs, supervises or otherwise controls the actions of the
contractor's employees.
(d) Technical direction may be oral or in writing. The COTR must
confirm oral direction in writing within five workdays, with a copy
to the Contracting Officer.
(e) The Contractor shall proceed promptly with performance
resulting from the technical direction issued by the COTR. If, in
the opinion of the contractor, any direction of the COTR or the
designated representative falls within the limitations of (c) above,
the contractor shall immediately notify the Contracting Officer no
later than the beginning of the next Government work day.
(f) Failure of the Contractor and the Contracting Officer to
agree that technical direction is within the scope of the contract
shall be subject to the terms of the clause entitled ``Disputes.''
(End of clause)
1052.210-70 Contractor publicity.
As prescribed in 1009.204-70, insert the following clause:
CONTRACTOR PUBLICITY AUG 2011
The Contractor, or any entity or representative acting on behalf
of the Contractor, shall not refer to the equipment or services
furnished pursuant to the provisions of this contract in any news
release or commercial advertising, or in connection with any news
release or commercial advertising, without first obtaining explicit
written consent to do so from the Contracting Officer. Should any
reference to such equipment or services appear in any news release
or commercial advertising issued by or on behalf of the Contractor
without the required consent, the Government shall consider
institution of all remedies available under applicable law,
including 31 U.S.C. 333, and this contract. Further, any violation
of this provision may be considered during the evaluation of past
performance in future competitively negotiated acquisitions.
(End of clause)
1052.219-18 Notification of competition limited to eligible 8(a)
concerns--Alternate III (Deviation) (May 1998).
In accordance with 1019.811-3(d)(3), substitute the following for
the paragraph (c) in FAR 52.219-18:
(c) Any award resulting from this solicitation will be made
directly by the contracting officer to the successful 8(a) offeror
selected through the evaluation criteria set forth in this
solicitation.
1052.219-72 Section 8(a) direct awards.
As prescribed in 1019.811-3(f), insert the following clause:
8(A) BUSINESS DEVELOPMENT PROGRAM AWARDS (JUNE 2003)
(a) This purchase/delivery/task order or contract is issued by
the contracting activity directly to the 8(a) program participant/
contractor pursuant to the Partnership Agreement between the Small
Business Administration (SBA) and the Department of the Treasury.
However, the Small Business Administration is the prime contractor
and retains responsibility for 8(a) certification, 8(a) eligibility
determinations and related issues, and provides counseling and
assistance to the 8(a) contractor under the 8(a) Business
Development program. The cognizant SBA district office is:
[To be completed by the contracting officer at the time of award]
(b) The contracting officer is responsible for administering the
purchase/delivery/task order or contract and taking any action on
behalf of the Government under the terms and conditions of the
purchase/delivery/task order or contract, to include providing the
cognizant SBA district office with a signed copy of the purchase/
delivery/task order or contract award within 15 days of the award.
However, the contracting officer shall give advance notice to the
SBA before it issues a final notice terminating performance, either
in whole or in part, under the purchase order or contract. The
contracting officer shall also coordinate with SBA prior to
processing any novation agreement. The contracting officer may
assign contract administration functions to a contract
administration office.
(c) The contractor agrees:
(1) to notify the contracting officer, simultaneously with its
notification to SBA (as required by SBA's 8(a) regulations), when
the owner or owners upon whom 8(a) eligibility is based, plan to
relinquish ownership or control of the concern. Consistent with 15
U.S.C. 637(a)(21), transfer of ownership or control shall result in
termination of the contract for convenience, unless SBA waives the
requirement for termination prior to the actual relinquishing of
control; and,
(2) to adhere to the requirements of FAR 52.219-14, Limitations
on Subcontracting.
(End of clause)
1052.219-73 Department of the Treasury Mentor-Prot[eacute]g[eacute]
Program.
As prescribed in 1019.202-70.(p), insert the following clause:
DEPARTMENT OF THE TREASURY MENTOR-PROT[Eacute]G[Eacute] PROGRAM (JUNE
2003)
(a) Large and small businesses are encouraged to participate in
the Department of the Treasury Mentor-Prot[eacute]g[eacute] Program.
Mentor firms provide small business prot[eacute]g[eacute]s with
developmental assistance to enhance their capabilities and ability
to obtain Federal contracts.
(b) Mentor firms are large prime contractors or eligible small
businesses capable of providing developmental assistance.
Prot[eacute]g[eacute] firms are small businesses as defined in 13
CFR parts 121, 124, and 126.
Developmental assistance includes technical, managerial,
financial, and other mutually beneficial assistance to aid
prot[eacute]g[eacute]. Contractors interested in participating in
the Program are encouraged to contact the Department of the Treasury
Office of Small and Disadvantaged Business Utilization for further
information.
(End of provision)
1052.219-75 Mentor Requirements and Evaluation.
As prescribed in 1019.202-70(p), insert the following clause:
MENTOR REQUIREMENTS AND EVALUATION AUG 2011
(a) Mentor and prot[eacute]g[eacute] firms shall submit an
evaluation to the Department of the Treasury's Office of Small and
Disadvantaged Business Utilization (OSDBU) at the conclusion of the
mutually agreed upon Program period, or the voluntary withdrawal by
either party from the Program, whichever occurs first. At the
conclusion of each year in the Mentor-Prot[eacute]g[eacute] Program,
the prime contractor and prot[eacute]g[eacute] will formally brief
the Department of the Treasury Mentor-Prot[eacute]g[eacute] Program
Manager regarding program accomplishments under their mentor-
prot[eacute]g[eacute] agreements.
(b) A mentor or prot[eacute]g[eacute] must notify the OSDBU and
the contracting officer, in writing, at least 30 calendar days in
advance of the effective date of the firm's withdrawal from the
Program. A mentor firm must notify the OSDBU and the contracting
officer upon receipt of a prot[eacute]g[eacute]'s notice of
withdrawal from the Program.
(c) Contracting officers may provide, as an incentive, a bonus
score, not to exceed 5% of the relative importance assigned to the
non-price factors. If this incentive is used, the contracting
officer shall include language in the solicitation indicating that
this adjustment may occur.
(End of clause)
1052.228-70 Insurance requirements.
As prescribed in 1028.310-70 and 1028.311-2, insert a clause
substantially as follows: The contracting officer may specify
additional kinds (e.g., aircraft public and passenger liability, vessel
liability) or increased amounts of insurance.
[[Page 42065]]
INSURANCE AUG 2011
In accordance with the clause entitled ``Insurance--Work on a
Government Installation'' [or ``Insurance--Liability to Third
Persons''] in Section I, insurance of the following kinds and
minimum amounts shall be provided and maintained during the period
of performance of this contract:
(a) Worker's compensation and employer's liability. The
contractor shall, as a minimum, meet the requirements specified at
FAR 28.307-2(a).
(b) General liability. The contractor shall, at a minimum, meet
the requirements specified at FAR 28.307-2(b).
(c) Automobile liability. The contractor shall, at a minimum,
meet the requirements specified at FAR 28.307-2(c).
(End of clause)
1052.234-2 Notice of Earned Value Management System--Pre-Award IBR--
Alternate I AUG 2011
As prescribed in DTAR 1034.203, substitute the following
paragraph (a) for paragraph (a) of the basic FAR clause:
(a) The offeror shall provide either documentation that the
Cognizant Federal Agency has determined that the proposed earned
value management system (EVMS) complies with the EVMS guidelines in
ANSI/EIA Standard-748 (ANSI Standard) or documentation that supports
the offeror's self-validation that the EVMS complies with the ANSI
Standard, as applicable.
(End of Provision)
1052.234-3 Notice of Earned Value Management System--Post-Award IBR--
Alternate I AUG 2011
As prescribed in DTAR 1034.203, substitute the following
paragraph (a) for paragraph (a) of the basic FAR clause:
(a) The offeror shall provide either documentation that the
Cognizant Federal Agency has determined that the proposed earned
value management system (EVMS) complies with the EVMS guidelines in
ANSI/EIA Standard-748 (ANSI Standard) or documentation that supports
the offeror's self-validation that the EVMS complies with the ANSI
Standard, as applicable.
(End of Provision)
1052.234-4 Earned Value Management System Alternate I AUG 2011
As prescribed in DTAR 1034.203, substitute the following
paragraph (a) for paragraph (a) of the basic FAR clause:
(a) The Contractor shall use an earned value management system
(EVMS) that has been determined by the Cognizant Federal Agency
(CFA) or has been determined through Contractor's self-validation to
be compliant with the guidelines in ANSI/EIA Standard-748 (current
version at the time of award) to manage this contract. If the
Contractor's current EVMS has not been determined compliant at the
time of award, see paragraph (b) of this clause. The Contractor
shall submit reports in accordance with the requirements of this
contract.
(End of Clause)
1052.234-70 Notice of Earned Value Management System--Pre-Award IBR
(Core) AUG 2011
As prescribed in DTAR 1034.203, insert this provision in
solicitations and awards that require the Contractor to use an
earned value management system (EVMS) and for which the Government
requires an IBR prior to award.
(a) The offeror shall provide either documentation that the
Cognizant Federal Agency has determined that the proposed earned
value management system (EVMS) complies with the EVMS guidelines in
ANSI/EIA Standard-748 (ANSI Standard) or documentation that supports
its self-validation that the EVMS used for this award complies with
Core EVM criteria.
(b) If the offeror proposes to use a system that has not been
determined to be in compliance with the requirements of paragraph
(a) of this provision, the offeror shall submit a comprehensive plan
for compliance with the EVMS guidelines.
(1) The plan shall--
(i) Describe the EVMS the offeror intends to use in performance
of the contracts;
(ii) Distinguish between the offeror's existing management
system and modifications proposed to meet the guidelines;
(iii) Describe the management system and its application in
terms of the EVMS guidelines;
(iv) Describe the proposed procedures for administration of the
guidelines, as applied to subcontracts; and
(v) Provide documentation describing the process and results of
any third-party or self-evaluation of the system's compliance with
the EVMS guidelines.
(2) The offeror shall provide information and assistance as
required by the contracting officer to support review of the plan.
(3) The Government will review and approve the offeror's plan
for an EVMS before contract award.
(4) The offeror's EVMS plan must provide milestones that
indicate when the offeror anticipates that the EVM system will be
compliant with the requirements in paragraph (a) of this provision.
(c) Offerors shall identify the major subcontractors, or major
subcontracted effort if major subcontracts have not been selected
subject to the guidelines. The prime Contractor and the Government
shall agree to subcontractors selected for application of the EVMS
requirements.
(d) The Government will conduct an Integrated Baseline Review
(IBR), as designed by the agency, prior to contract award. The
objective of the IBR is for the Government and the Contractor to
jointly assess technical areas, such as the Contractor's planning,
to ensure complete coverage of the contract requirements, logical
scheduling of the work activities, adequate resources, methodologies
for earned value (budgeted cost for work performed (BCWP)), and
identification of inherent risks.
(End of Provision)
1052.234-71 Notice of Earned Value Management System--Post-Award IBR
(Core) AUG 2011
As prescribed in DTAR 1034.203, insert this provision in
solicitations and awards that require the contractor to use an
earned value management system (EVMS) and for which the Government
requires an IBR after award.
(a) The offeror shall provide either documentation that the
Cognizant Federal Agency has determined that the proposed EVMS
complies with the EVMS guidelines in ANSI/EIA Standard-748 (ANSI
Standard) or documentation that supports its self-validation that
the EVMS used for this award complies with Core EVM criteria.
(b) If the offeror proposes to use a system that has not been
determined to be in compliance with the requirements of paragraph
(a) of