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DOSAR PART 604 - ADMINISTRATIVE MATTERS


PART 604 - ADMINISTRATIVE MATTERS


PART 604 - ADMINISTRATIVE MATTERS

Subpart 604.1 - Contract Execution

604.170 Standardized acquisition instrument identification numbering system.

(a) Policy. (1) It is Department policy that uniform numbers shall be assigned to all DOS procurement instruments, domestic and overseas. The numbering system applies to all contracts, purchase orders, and other related instruments, including solicitation documents and delivery orders. This includes instruments executed by DOS contracting officers on behalf of other federal agencies. It does not include requisitions submitted to a contracting activity, or to instruments awarded under Federal assistance arrangements, e.g., grants, cooperative agreements, and loans.

(b) Responsibility. Heads of contracting activities are responsible for enforcing compliance with the uniform numbering system. Heads of contracting activities shall develop and maintain a system for assigning and recording contract numbers that conforms with this section.

(c) Instrument identification numbers. A 13-character "alpha numeric" designator shall be assigned to all DOS procurement instruments. Positions (beginning at the left) one through six shall identify the purchasing office; positions seven and eight, the fiscal year in which the number is assigned; position nine, a symbol designating a type of procurement instrument; and positions ten through thirteen, a four-position serial number.

(d) Solicitation amendment and contract modification numbers. Solicitation amendments are to be numbered sequentially, beginning with the alpha designator “A”, e.g. A001. Contract modifications shall also be numbered sequentially, beginning with the alpha designator “M”, e.g. M001.

Subpart 604.2 - Contract Distribution

604.202 Agency distribution requirements.

As necessary, the contracting officer shall distribute reproduced copies of the signed contract or modification to those officers/offices involved in contract administrative support functions, e.g., the Contracting Officer's Representative; the requirements office; the Despatch Agent or other receiving activity, particularly if it is the initial point of contact for receipt of goods or services; the financial management office; and each post or office where the contract shall be performed. Where required by the laws of a foreign country, overseas posts shall retain the original copy of the contract or modification awarded by a domestic contracting activity for performance overseas. The contracting officer shall send copies of contracts and modifications awarded as small business or 8(a) set-asides to A/SDBU.

Subpart 604.5 - Electronic Commerce in Contracting

604.502 Policy.

(b) The Assistant Secretary of State for Administration is the head of the agency for the purpose of FAR 4.502(b).

Subpart 604.6 - Contract Reporting

604.602 Federal Procurement Data System.

604.602-70 State/Federal Procurement Data System.

(a) The State/Federal Procurement Data System (S/FPDS) (or its successor, FPDS-NG) is an automated data collection system, designed to provide DOS contracting activities worldwide with an effective method for collecting, maintaining, and reporting contract activity data. It was established to comply with Federal law.

(b) All domestic and overseas contracting activities shall submit quarterly procurement data through the S/FPDS to A/OPE for subsequent transmittal to the Federal Procurement Data System (FPDS).

(c) Domestic and overseas contracting activities shall provide procurement information using the S/FPDS User Guides (Domestic and Overseas) as of the last day of the fiscal quarter and shall submit the data to the A/OPE not later than:

Subpart 604.8 - Government Contract Files

604.802 Contract files.

Heads of contracting activities shall maintain standard procedures to conform with FAR 4.802 for file location and maintenance.

604.803 Contents of contract files.

604.803-70 Contract file table of contents.

(a) It is the Department's policy that all contracts, regardless of dollar value, be properly documented so as to provide a complete record of: pre-solicitation activities; the solicitation, evaluation, and award process; and, the administration of the contract through closeout.

(b)(1) Form DS-1969, Procurement Request Form (Domestic), shall be used as the procurement request for all actions exceeding the simplified acquisition threshold to be awarded by domestic contracting activities. Form DS-1970, Procurement Request Form (Abroad), may be used by overseas contracting activities for acquisitions exceeding the simplified acquisition threshold.

604.804 Closeout of contract files.

604.804-70 Contract closeout procedures.

(a) This subsection sets forth procedures for closing out contracts awarded using other than simplified acquisition procedures by contracting activities and requirements offices. It is the Department's policy to close out contracts in the time frames prescribed by FAR Part 4.

(b) Contracting activities are responsible for initiating each contract closeout. Contracting activities and requirements offices are jointly responsible for timely compliance with required contract closeout procedures.

(c) The contract closeout process shall begin as soon as possible after the contract is physically completed, which means that the contractor has delivered the required supplies and the Government has inspected and accepted them, or the contractor has performed and the Government has accepted all services required by the contract, and the base period and any option periods exercised have expired.

(d) Specific procedures. The normal steps for closing out a physically completed contract shall be as follows. These steps are summarized in the Contract Closeout Checklist, which shall be completed by the contracting officer and included in the contract file. The contracting officer shall indicate any items that are not applicable (e.g., patent reports, royalty reports, etc.).

(e) Contract files that have been closed out shall be retained in accordance with the schedule in FAR 4.805.

(f) Contract files for contracts using simplified acquisition procedures are considered closed when the contracting officer receives evidence of property/services and final payment. Disposal of such files shall be as prescribed in FAR 4.805.

604.805 Storage, handling, and disposal of contract files.

Heads of contracting activities shall prescribe procedures for handling, storing, and disposing of contract files. Additional guidance on records management may be found in 5 FAM.

Subpart 604.70 - Contract Review

604.7001 Policy.

The contracting officer shall review each proposed contractual document and its supporting file for completeness and accuracy. Each contract file shall contain all pertinent information applicable to the proposed action. Each contract file should be in sufficient detail to permit reconstruction of all significant events by any subsequent reviewer without referral to the individual responsible for the contractual action.

604.7002 Procedures.

(a) Overseas contracting activities. (1) Each fiscal year, A/OPE shall issue a call for acquisition plans (“Master Buy Plan”) to all overseas posts. A/OPE shall ask posts to provide a list of planned solicitations, contracts, and modifications that will exceed the warrant level of the assigned contracting officer. These plans shall be submitted by April 1 of each year for actions covered in the subsequent fiscal year. A/OPE shall select those actions for which review will be required and provide the list to post, granting authority to sign any planned actions that are not selected for review. Posts shall notify A/OPE of any unplanned actions above the contracting officer’s warrant level as they arise, so that A/OPE may decide whether a review is required. Posts failing to respond to the call for acquisition plans may be required to submit all acquisition actions above the contracting officer’s warrant level for A/OPE review and approval. Prior A/OPE approval is not required when exercising priced options, unless specifically requested by A/OPE. See the additional exceptions in subparagraphs (2) and (3) of this section.

(b) Domestic contracting activities and Regional Procurement Support Offices. Domestic contracting activities and RPSOs shall submit all actions over $5,000,000 to A/OPE for review. There is no review threshold when the contracting activity's quality assurance plan has been approved by A/OPE.

(c) Options. When calculating the threshold for application of paragraphs (a) and (b) of this section, include the value of the base year plus all option years.

(d) Documentation. A/OPE shall document the scope and extent of the review and shall submit written recommendations to the contracting officer on each proposed contract action that it reviews. In the event the contracting officer and the reviewer cannot reach agreement on the recommendation(s), the contracting officer shall prepare an appeal file to be transmitted to the Procurement Executive. The appeal shall be approved by an individual one management level above the contracting officer prior to its transmission to the Procurement Executive. A resolution shall be worked out between the contracting activity and the Procurement Executive. For purposes of this section, the officer who may transmit the appeal file to the Procurement Executive shall not be the same individual who will sign the contractual document. For overseas posts, where the contracting officer is the head of the contracting activity, the approval authority shall be the Principal Officer.

(e) Delegation or waiver. The Procurement Executive may delegate or waive the review requirements. In such instances, the Procurement Executive shall provide to each head of the contracting activity, as appropriate, a written delegation or waiver of these requirements.

Subpart 604.71 - Procurement Quality Assurance Program

(a) Purpose. A procurement quality assurance program is essential to the effective operation of each domestic contracting activity, Regional Procurement Support Office (RPSO), and procurements executed by overseas posts. Each domestic contracting activity and RPSO shall develop a quality assurance plan for review and approval of contract actions to ensure that all requirements of law, regulation, Departmental policy, and sound procurement practices are met, the taxpayer's interests are adequately protected, and the Department's mission is well-served. Because of A/OPE's review requirements, the quality assurance plan for overseas posts is effected by A/OPE.

(b) Contracting activity reviews. (1) Covered actions. All contract actions above the simplified acquisition threshold shall be independently reviewed by at least one qualified contracting professional who did not participate in the contract action. This includes solicitations, contracts, contract modifications, and delivery/task orders. This requirement is waived for overseas posts and RPSOs that have only one qualified contracting officer.

(2) Form and scope of review. The review shall focus on both compliance with statutory/regulatory requirements as well as good contracting practices. Reviews shall be in writing and shall be included in the official contract file along with documentation regarding the actions taken in response to the review.

Reviews should be limited in time to prevent unnecessary procurement lead-time, but thorough in scope, considering all documents in the contract file and all relevant contracting issues. Checklists may be used to facilitate a thorough review, as appropriate.

(3) Approval. The solicitation, contract, or contract modification being reviewed shall not be issued until all review comments requiring corrective action are satisfactorily resolved. Waivers shall not be granted except in unusual circumstances, and shall be approved in advance by the head of the contracting activity.

(c) Review by L/BA. L/BA shall review all contract actions (solicitations, contract awards, and modifications) exceeding $1 million.

Subpart 604.72 – Secure Procurement for Controlled Access Areas

Policy. A/LM issues procedures for the acquisition of secure items that are needed by overseas posts. Posts shall contact A/LM/AQM regarding secure procurement matters, and shall consult the periodic guidance issued by A/LM on this subject.

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