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acquisition process within the Depart- tor will either approve or disapprove ment. However, there may be some the request for incorporation into the rare instances where regulations are organization's acquisition regulation. necessary to implement and/or supple- If the request is approved, the organiment the FAR and/or HHSAR at the zation must prepare the proposed reguOperating Division (OPDIV) level or lation in FEDERAL REGISTER format, lower. The Department discourages the obtain all necessary concurrences, inproliferation of OPDIV and lower level cluding Office of General Counselissuances, but will allow lower level

Business and Administrative Law Diviissuances when deemed pertinent.

sion, and send it to the Director, Office [49 FR 13961, Apr. 9, 1984, as amended at 50

of Acquisition and Grants Management FR 23126, May 31, 1985; 50 FR 38004, Sept. 19,

for review and approval. The regulation 1985]

must be prepared for signature by the

Deputy Assistant Secretary for Man301.302 Limitations.

agement and Acquisition. All regulaThe same limitations applicable to

tions will be required to be processed the FAR also apply to the HHSAR.

through the public rulemaking process

in the FEDERAL REGISTER. 301.303 Publication and codification.

(b) Only the organizations listed in (a) The HHSAR shall be codified in paragraph (d) are authorized to estabChapter 3 of Title 48, Code of Federal lished acquisition regulations. As of Regulations. Any OPDIV or lower im- the date of issuance of the HHSAR, no plementation or supplementation of acquisition regulations below the the HHSAR or FAR shall also be codi- HHSAR level exist, and the procedures fied as part of Chapter 3. Implementing detailed in paragraph (a) must be folmaterial is that which expands upon or

lowed to initiate the establishment of indicates the manner of compliance an OPDIV or lower level regulation. with related higher level material. (c) Under no circumstances shall any Supplementing material is that for organization's implementation or supwhich there is no counterpart. Where plementation of the FAR or HHSAR material in the FAR requires no imple- conflict with, supersede, or repeat, parmentation, there will be no correspond- aphrase, or otherwise restate policies ing number in the HHSAR. Thus, there or procedures prescribed by these reguare gaps in the HHSAR sequence of latory issuances. OPDIV or lower level numbers where the FAR, as written, is material shall follow the numbering deemed adequate. Supplementary ma- system, format, and arrangement of terial shall be numbered as specified in the FAR and HHSAR and will be appliFAR 1.303.

cable only within the organization [49 FR 13961, Apr. 9, 1984, as amended at 50

issuing it. One copy of all OPDIV or FR 23126, May 31, 1985; 50 FR 38004, Sept. 19,

lower level material issued in loose1985]

leaf format shall be furnished the Di

rector, Office of Acquisition and Grants 301.304 Agency control and compli- Management at the times of issuance. ance procedures.

(d) Material issued by OPDIV or (a) Whenever an OPDIV or lower lower level organizations to implement level organization determines a need and supplement the HHSAR and FAR for an acquisition regulation not cov- shall be identified by prefixes to the ered by the FAR or HHSAR or wishes digit 3 (indicating Chapter 3-HHSAR) to implement or supplement the cov- as follows, and shall use the same numerage in either, the organization shall bering system as the HHSAR: prepare a memorandum that explains

Organization

Prefix the need, background, justification, and significant aspects of the proposed

Office of the Secretary

OS regulation and send it, together with

Health Care Financing Administration

HCFA an outline, to the Director, Office of Office of Human Development Services

OHDS
Public Health Service

PHS
Acquisition and Grants Management.
The Director will analyze the request

Alcohol, Drug Abuse, and Mental Health ADAMHA

Administration. to determine if it has applicability to

Centers for Disease Control

CDC the HHSAR or FAR; if not, the Direc- Food and Drug Administration

FDA

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Each OPDIV or lower level acquisition regulation will be included in its entirety as a separate appendix to 48 CFR Chapter 3. The Director, Office of ACquisition and Grants Management will assign the appendix designation upon approval of the initial request to establish the OPDIV or lower level acquisition regulation.

quest a deviation verbally, but is required to confirm the request in writing as soon as possible.

(b) A deviation request shall clearly and precisely set forth the:

(1) Nature of the needed deviation;

(2) Identification of the FAR HHSAR from which the deviation is needed;

(3) Circumstances under which the deviation would be used;

(4) Intended effect of the deviation; (5) Time-frame; and

(6) Reasons which will contribute to complete understanding and support of the requested deviation. A copy of pertinent background papers such as a form or contractor's request should accompany the deviation request.

[49 FR 13961, Apr. 9, 1984, as amended at 49 FR 36110, Sept. 14, 1984; 50 FR 23126, May 31, 1985; 50 FR 38004, Sept. 19, 1985; 53 FR 43206, Oct. 26, 1988, 54 FR 24342, June 7, 1989]

Subpart 301.4—Deviations From

the FAR

[49 FR 13961, Apr. 9, 1984, as amended at 50 FR 23126, May 31, 1985; 50 FR 38004, Sept. 19, 1985; 54 FR 24342, June 7, 1989]

Subpart 301.5-Agency and

Public Participation

301.403 Individual deviations,

Requests for individual deviations to either the FAR or HHSAR shall be prepared in accordance with 301.470 and forwarded through administrative channels to the Director, Office of ACquisition and Grants Management for review and approval.

301.501 Solicitation of agency and

public views

(49 FR 13961, Apr. 9, 1984, as amended at 50 FR 23126, May 31, 1985; 50 FR 38004, Sept. 19, 1985)

[49 FR 13961, Apr. 9, 1984, as amended at 50 FR 23126, May 31, 1985; 50 FR 38004, Sept. 19, 1985; 54 FR 24342, June 7, 1989)

301.501–2 Opportunity for public com

ments.

301.404 Class deviations.

Requests for class deviations to either the FAR or HHSAR shall be prepared in accordance with 301.470 and forwarded through administrative channels to the Deputy Assistant Secretary for Management and Acquisition for review and approval.

[49 FR 13961, Apr. 9, 1984, as amended at 50 FR 23126, May 31, 1985; 50 FR 38004, Sept. 19, 1985; 54 FR 24342, June 7, 1989]

(b) Public opportunity for comment on proposed changes or additions to the HHSAR or lower level acquisition regulations will be offered whenever the proposed regulation will have an impact on the public and/or contractors. This will be accomplished by publishing a notice of proposed rulemaking in the FEDERAL REGISTER which will include the proposed language and the background and rationale for the proposed regulation. Comments will not be solicited directly from professional or industry associations or other interested parties; they will be expected to respond based upon the FEDERAL REGISTER notification. Normally, the public will be given 45 days to comment. Proposed changes or additions to the HHSAR or FAR shall be staffed to the

301.470 Procedure.

(a) When a contracting activity or contracting office determines that a deviation is needed, it shall prepare a deviation request in memorandum form and forward it through administrative channels to the official designated as stated in 301.403 or 301.404. In an exigency situation, the contracting activity or contracting office may re

Executive Committee for Acquisition in accordance with 301.270.

[49 FR 13961, Apr. 9, 1984. Redesignated and amended at 50 FR 23126, May 31, 1985; 50 FR 38004, Sept. 19, 1985]

301.501–3 Exceptions.

(e) Comments will not be solicited from the public when the change or addition to the HHSAR or lower level acquisition regulation is deemed procedural in nature and concerns internal administrative directions aimed at departmental personnel

(see FAR 1.301(b)).

[49 FR 13961, Apr. 9, 1984, as amended at 49 FR 36110, Sept. 14, 1984. Redesignated and amended at 50 FR 23126, May 31, 1985; 50 FR 38004, Sept. 19, 1985]

(2) The HCA or his/her designee is the official authorized to ratify an unauthorized commitment (but see (b)(3), below).

(3) Ratification authority may be redelegated by the HCA, but not below the level of the principal official responsible for acquisition (PORA).

(c) Limitations. (5) The concurrence of legal counsel concerning the payment issue is optional.

(7) The ratification shall be in written document form containing verification of each limitation stated in FAR 1.602–3(c)(1)-(6), and shall be processed in accordance with 301.602–3(e) Procedures.

(e) Procedures. (1) The individual who made the unauthorized contractual commitment shall furnish the reviewing contracting officer all records and documents concerning the commitment and a complete written statement of facts, including, but not limited to: a statement as to why the contracting office was not used, a statement as to why the proposed contractor was selected, a list of other sources considered, a description of work to be performed or products to be furnished, the estimated or agreed contract price, a citation of the appropriation available, and a statement of whether the contractor has commenced perform

301.503 Public meetings.

Public meetings will not normally be used to solicit comments or views on HHSAR or lower level acquisition regulations. However, when the topic is so controversial that the Department or OPDIV believes a public meeting would be beneficial, public meetings will be convened.

[49 FR 13961, Apr. 9, 1984. Redesignated at 50 FR 23127, May 31, 1985; 50 FR 38004, Sept. 19, 1985]

ance.

Subpart 301.6 Contracting Authority and Responsibility

SOURCE: 53 FR 15562, May 2, 1988, unless otherwise noted.

301.602-3 Ratification of unauthorized

commitments,

(b) Policy. (1) The Government is not bound by agreements or contractual commitments made to prospective contractors by persons to whom contracting authority has not been delegated. However, execution of otherwise proper contracts made by individuals without contracting authority, or by contracting officers in excess of the limits of their delegated authority, may be later ratified. The ratification must be in the form of a written document clearly stating that ratification of a previously unauthorized act is intended and must be signed by the head of the contracting activity (HCA).

(2) The contracting officer will review the submitted material, and prepare the ratification document if hel she determines that the commitment may be ratifiable. The contracting officer shall forward the ratification document and the submitted material to the HCA or designee with any comments or information which should be considered in evaluation of the request for ratification. If legal review is desirable, the HCA or designee will coordinate the request for ratification with the Office of General Counsel, Business and Administrative Law Division.

(3) If ratification is authorized by the HCA or designee, the file will be returned, along with the ratification document, to the contracting officer for issuance of a purchase order or contract, as appropriate.

(4) HCA's or their designees will report the number and dollar value of requests for ratifications received and ratifications authorized each calendar quarter. Reports shall be submitted in an original and one copy to the Deputy Assistant Secretary for Management and Acquisition to arrive no later than 30 calendar days after the close of each calendar quarter.

(b) The PORA shall review the submitted material to determine the candidate's ability to perform the contracting functions required to meet the organizational need. If the PORA requires additional information to make the decision, it shall be provided expeditiously by the nominating official.

(53 FR 43206, Oct. 26, 1988]

301.603–3 Appointment.

301.603 Selection, appointment, and

termination of appointment.

301.603-1 General.

(a) The appointment and termination of appointment of contracting officers shall be made by the principal official responsible for acquisition (PORA). This authority is not delegable. The head of the contracting activity shall ensure that only the PORA is redelegated, and exercises, this authority.

(b) Only GS-1105 and 1106 and GS/GM1101 and 1102 personnel shall be appointed as contracting officers (see 301.603–3(b)).

(c) The appointment of contracting officers shall be made at one of the four levels specified under the HHS Acquisition Certification Program (see 301.603 3(b)).

(d) An individual shall be appointed only in instances where a valid organizational need for a contracting officer can be demonstrated or a replacement position is to be filled. Factors to be considered in assessing the need for a contracting officer appointment include volume of actions, complexity of work, and structure of the organization.

(a) Contracting officer appointments shall become effective when the PORA signs the Standard Form 1402, Certificate of Appointment. SF 1402's shall be prepared and maintained in accordance with FAR 1.603_3.

(b) Appointments shall be made at one of the four levels established by the HHS Acquisition Certification Program. Therefore, the contracting officer candidate must meet the minimum eligibility requirements of certification for one of the four stated levels. The level will be determined by the organizational need or position being refilled (replacement). The four levels are as follows:

(1) Level 1Purchasing Agent. Mandatory for all personnel who have signature authority for small purchases (GS-1102, 1105, and 1106), including orders from GSA sources.

(2) Level II-Acquisition Official. Mandatory for those in the GS-1102 series. Sufficient for delegation of contracting officer authority to a maximum of $100,000.

(3) Level III-Senior Acquisition Official. Mandatory for those in the GS1102 series for delegation of contracting officer authority above $100,000.

(4) Level IV--Acquisition Manager. Mandatory for preaward review and approval authority as specified in HHSAR Subpart 304.71.

(c) Changes to contracting officer appointments, either increasing or decreasing the warrant limitations, shall be made by the PORA. Changes must be made from one of the four certification levels to another, or within one of the certification levels, and must be implemented by the PORA's issuance of a new SF 1402 to replace the existing SF 1402.

(d) Personnel shall not ordinarily be appointed as contracting officers if they do not meet the qualifications

301.603–2 Selection.

(a) When an organizational need for a contracting officer is determined or a replacement is required, an official (usually the prospective contracting officer's immediate supervisor) will nominate a contracting officer candidate. The nomination shall be accompanied by the

the candidate's current Standard Form (SF) 171, Personal Qualifications Statement, that contains all relevant information, to include that stated in FAR 1.603-2, a copy of the nominee's most recent performance appraisal, and a copy of the certificate issued under the HHS Acquisition Certification Program indicating the current level of certification.

(b) Non-acquisition personnel who are delegated acquisition responsibilities shall be required to have the training, experience, and education requirements necessary for the responsibilities assigned. If, for example, responsibility is to be delegated for making small purchases, the training, education, and experience for Level IPurchasing Agent, or its equivalent as determined by the PORA, shall be required.

301.670 Head of the contracting activ

ity.

prescribed for one of the four certification levels. However, if it is essential to appoint a contracting officer who does not fully meet the certification qualifications, an interim appointment may be granted by the PORA. The PORA shall require as a condition of the interim appointment that all training or experience requirements be met within a six month time period. Usually, interim appointments shall not exceed six months. Failure to successfully complete the necessary training requirements or gain the experience within this time frame will result in termination of the appointment, unless the PORA determines that unusual circumstances prevented the attainment of either. In this instance, one additional six month interim appointment may be issued, but no more shall be allowed. The PORA shall fully document all interim appointment actions.

(e) The original SF 1402 shall be provided to the contracting officer, and a copy shall be retained by the PORA. Another copy of the SF 1402 along with the SF 171 material shall be forwarded to the servicing personnel office for inclusion in the individual's personnel file folder. Files on individuals should not be established by the PORA.

301.670-1 Responsibility.

The head of the contracting activity (HCA) is responsible for conducting an effective and efficient acquisition program. Adequate controls shall be established to assure compliance with applicable laws, regulations, procedures, and the dictates of good management practices. Periodic reviews shall be conducted by qualified personnel, preferably assigned to positions other than in the contracting office being reviewed, to determine the extent of adherence to prescribed policies and regulations, and to detect a need for guidance and/or training.

301.603–4 Termination.

Termination of contracting officer appointments shall be executed by the PORA in accordance with FAR 1.603 4.

301.670–2 Designation.

Each OPDIV head and PHS agency head has been designated as HCA along with the following officials:

(a) Deputy Assistant Secretary for Management and Acquisition; and

(b) Each Regional Director.

[53 FR 15562, May 2, 1988, as amended at 54 FR 24342, June 7, 1989]

301.603-70 Delegation of contracting

officer responsibilities. (a) Non-GS/GM–1101 or 1102 or GS1105 or 1106 personnel shall only be delegated contracting officer responsibilities when determined necessary by a warranted contracting officer (holder of a valid SF 1402), and in accordance with this subsection. Personnel, such as a contracting officer's representative or an ordering officer, shall be delegated only the needed responsibilities by the warranted contracting officer in a written memorandum of delegation which clearly states any limitations on the delegation. Personnel who are not in the GS/GM-1101 or 1102 or GS-1105 or 1106 job series shall not be issued a SF 1402, Certificate of Appointment.

301.670_3 Redelegation.

(a) The heads of contracting activities may redelegate their HCA authorities to the extent that redelegation is not prohibited by the terms of their respective delegations of authority, by law, by the Federal Acquisition Regulation, by the HHS Acquisition Regulation, or by other regulations. However, HCA and other contracting approvals and authorities shall not be redelegated below the levels specified in the HHS Acquisition Regulation or, in the

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