[Federal Register Volume 76, Number 137 (Monday, July 18, 2011)]
[Rules and Regulations]
[Pages 42056-42066]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-17623]
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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.
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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to: update, revise, or remove, as applicable, outdated text and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: http://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: http://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 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 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)
[[Page 42066]]
1052.234-72 Core Earned Value Management System AUG 2011
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 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.
(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 pre-award 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