| Subpart 1403.1 | SAFEGUARDS |
| 1403.101 | Standards of conduct |
| 1403.101-3 | Agency regulations |
| 1403.101-70 | Notice |
| 1403.104 | Procurement integrity |
| 1403.104-2 | Applicability |
| 1403.104-4 | Definitions |
| 1403.104-5 | Disclosure, protection, and marking of proprietary and source selection information |
| 1403.104-7 | Postemployment restrictions applicable to Government officers and employees serving as procurement officials and certifications required from procurement officials leaving Government service |
| 1403.104-8 | Knowing violations, duty to inquire, and ethics advisory opinions |
| 1403.104-9 | Certification requirements |
| 1403.104-11 | Processing violations or possible violations |
| 1403.104-12 | Ethics program training requirements |
| 1403.104-70 | Ethics program - Personnel requirements |
| Subpart 1403.2 | CONTRACTOR GRATUITIES TO GOVERNMENT PERSONNEL |
| 1403.203 | Reporting suspected violations of the Gratuities clause |
| 1403.204 | Treatment of violations |
| Subpart 1403.3 | REPORTS OF SUSPECTED ANTITRUST VIOLATIONS |
| 1403.303 | Reporting suspected antitrust violations |
| Subpart 1403.4 | CONTINGENT FEES |
| 1403.408 | Evaluation of the SF 119 |
| 1403.408-1 | Responsibilities |
| 1403.409 | Misrepresentations or violations of the Covenant Against Contingent Fees |
| Subpart 1403.5 | OTHER IMPROPER BUSINESS PRACTICES |
| 1403.570 | Restrictions on Contractor Advertising |
| 1403.570-1 | Policy |
| 1403.570-2 | Procedures |
| 1403.570-3 | Contract clauses |
| Subpart 1403.6 | CONTRACTS WITH GOVERNMENT EMPLOYEES OR ORGANIZATIONS OWNED OR CONTROLLED BY THEM |
| 1403.602 | Exceptions |
| 1403.603 | Responsibilities of the contracting officer |
| Subpart 1403.7 | VOIDING AND RESCINDING CONTRACTS |
| 1403.704 | Policy |
| 1403.705 | Procedures |
| Subpart 1403.8 | LIMITATION ON THE PAYMENT OF FUNDS TO INFLUENCE FEDERAL TRANSACTIONS |
| 1403.804 | Policy |
| 1403.806 | Processing suspected violations |
SUBPART 1404.4 -- SAFEGUARDING CLASSIFIED INFORMATION WITHININDUSTRY
(a) The DOI has entered into an agreement with the DOD to be covered by the National Industrial Security Program (NISP). The agreement is contained in 443 DM 1, Appendix 1.
(b) Classified acquisitions or contracts (see FAR 4.401) shall be subject to the instructions contained in the DOD publications listed in FAR 4.402(b).
SUBPART 1403.1 -- SAFEGUARDS
(a) Policy. The DOI regulations governing the conduct and responsibilities of regular and special employees are contained in 43 CFR Part 20. Additional guidance is contained in the DOI publication of "Ethics, An Employee Guide". Copies of the Guide can be obtained from the Bureau/Office Ethics Office. With regard to the provisions of 43 CFR Part 20, procurement officials, as defined in FAR 3.104 and Section 1403.104, may not solicit or accept any gift, gratuity, favor, entertainment, loan or anything of monetary value from a competing contractor during the conduct of a procurement except as authorized by FAR3.104-4 (f).
(b)(1) Procurement officials may not accept or solicit from any competing contractor any services which involve the development of specifications, statements of work, evaluation criteria, or formal cost estimates to be used in a procurement unless such services are formally contracted for in accordance with the FAR, DIAR, and FIRMR; and until the organizational conflict of interest provisions in FAR Subpart 9.5 have been fully addressed. This does not preclude the issuance of formal Requests for Comment(RFC) by contracting officers.
(2) FIP resources shall not be accepted, installed, or utilized by the Department on a no cost, free of charge basis (this includes donated equipment but not public domain software), except as permitted by law. Departmental regulations governing the use of FIP resources on a trial basis are set forth in Part 376 DM 4.
Bureaus shall include a notice similar to the following in all correspondence notifying employees of appointments to serve on Technical Evaluation Panels/Source Evaluation Boards:
"Except as provided in FAR 3.104-4(f), you shall not solicit or accept any gift, gratuity, favor, entertainment, loan, or anything of monetary value from a competing contractor involved in any action for which you are a procurement official under this delegation of authority. You are also reminded of other conduct prohibitions in FAR 3.104-3, including negotiating with competing contractors for future employment, disclosure of proprietary or source selection information, and post-Government employment restrictions. Before serving on the evaluation panel, you shall (1) have submitted a signed Optional Form 333 (OF 333), Procurement Integrity Certification for Procurement Officials, to your servicing personnel office for inclusion in your Official Personnel Folder; and (2) submit a signed form DI-1960, Conflict of Interest Certificate, to the CO."
Such notice shall include an "acknowledgement of receipt" signed and returned by the employee.
1403.104 Procurement integrity
Construction contracts (or subcontracts in such cases where the tribal contractor has subcontracted the activity) awarded under the authority of the Indian Self-Determination and Education Assistance Act, Public Law 93-638, as amended, are subject to the provisions promulgated under that Act.
(h) The term "procurement official" does not include employees making acquisitions using imprest funds, third party drafts, and Standard Form 44, Purchase Order-Invoice-Voucher. It also does not include employees using Government-wide commercial purchase cards when their contracting authority is limited to the micropurchase threshold and their HCA has determined that their expenditures are not expected to exceed $20,000 in a 12-month period.
1403.104-5 Disclosure, protection, and marking of proprietary and source selection information
(b) The CO or any other individual who prepares, makes, or controls proprietary and source selection information shall--
(d)(1) The following classes of persons are authorized access to proprietary and source selection information to the extent necessary to accomplish their requisite duties and responsibilities with respect to a particular procurement:
(2) The HCA shall establish procedures to maintain in the contract file the list of individuals authorized access to proprietary or source selection information.
1403.104-7 Post employment restrictions applicable to government officers and employees serving as procurement officials and certifications required from procurement officials leaving government service
(a) The HCA shall issue a statement reminding employees that:
(1) They are presumed to know if they are procurement officials;
(2) Upon departure, they are subject to certain post-employment laws and restrictions on disclosure of proprietary and source selection information; and
(3)(a) If they leave the Government during the conduct of a procurement expected to result in a contract or modification in excess of $100,000, they understand the continuing obligation,during the conduct of a procurement, not to disclose proprietary or source selection information related to the procurement.
(b) Procurement officials who are departing employees shall submit the certification form at 1453.203-71, DI-1957B, Procurement Integrity Certification of Departing DOI Procurement Officials, to the CO. Employees shall list the following for all contracts/modifications for which the employee was a procurement official:
1403.104-8 Knowing violations, duty to inquire, and ethics advisory opinions
(e) For purposes of this subpart, the term agency ethics official includes the Bureau/Office Ethics Counselor.
1403.104-9 Certification requirements
(d)(2) The HCA, without power of redelegation, is the official authorized to request, in writing, additional certifications in accordance with FAR3.104-9(d) using form DI-1957A, Additional Certification by a Procurement Official or Competing Contractor prescribed in 1453.203-70.
(f)(2) The AS/PMB is authorized to waive the certification requirement as prescribed in FAR3.104-9(f)(2). The request for the waiver with supporting rationale shall be prepared by the CO and submitted through the HCA to the Director, PAM for further action.
1403.104-11 Processing violations or possible violations
(a)(1) The CO's determination to proceed with contract award shall receive concurrence from an individual one level above the CO.
(b)(3) The HCA shall provide a copy of the reported violation and recommended action to the OIG in accordance with Part 111DM 3.
(f) The CO, in consultation with the SOL and the OIG, will justify the compelling circumstances for immediate award and obtain approval to proceed from the BPC without the power of redelegation. Copies of the determination to proceed with the award will be sent to the Director, PAM for submission to the AS/PMB.
1403.104-12 Ethics program training requirements
(a) The agency ethics official and bureau deputy ethics counselors shall provide an annual procurement ethics training program for all procurement officials, employee assistance on conduct prohibitions in FAR 3.104-3, and ethics advisory opinions in accordance with FAR3.104-8(e).
(3) The CO is responsible for obtaining the OF 333 from another agency's employee for placement in the contract file, if the employee does not have one, or an agency equivalent, on file with their respective agency. The CO will also obtain the OF 333 for the contract file from non- Government personnel involved in a Departmental procurement, but not otherwise covered by a contract which requires the certification.
1403.104-70 Ethics program - Personnel requirements
(a) The certification required by FAR 3.104-12 prior to serving as a procurement official shall be obtained by the servicing personnel office (SPO) during the appointment process from appointees to positions with identified procurement official duties and placed on the right side of the employee's Official Personnel Folder(OPF) using OF 333, Procurement Integrity Certification For Procurement officials, prescribed in FAR 53.203.
(b) The SPO shall develop and maintain a master list of employees who have signed certificates and provide a copy of the list and its updates to the cognizant CCO. The SPO will provide verification on request to interested parties that current certifications of particular employees are on file.
(c) Supervisors who subsequently assign procurement official duties to an employee after the appointment process shall ensure that a signed OF 333 is forwarded to the SPO for addition to the master list of certified employees and placement of the certification in the OPF.
(d)(1) If a procurement official refuses to sign a procurement integrity certification form as required by 1403.104-7,1403.104-9(b), and 1403-104-70(a), the supervisor shall ensure that the employee no longer serves as a procurement official or, in the case of an employee leaving the Government, final clearance during the exit clearance process shall be delayed until the matter is resolved.
(2) Failure to certify, upon request, may be cause for appropriate corrective, remedial, or disciplinary action. Employee appeals of their designation as procurement officials for purposes of the law may be considered under existing mechanisms for dispute resolution if such matters are otherwise eligible for processing.
SUBPART 1403.2 -- CONTRACTOR GRATUITIES TO GOVERNMENT PERSONNEL
1403.203 Reporting suspected violations of the Gratuities clause
1403.203 Reporting suspected violations of the Gratuities Clause
When suspected violations of the clause at FAR 52.203-3, Gratuities, become known to a Federal Government employee, the matter shall be reported, in writing, to the cognizant CO or the CO's supervisor, as appropriate. The report shall clearly state the alleged circumstances surrounding the incident or incidents that the contractor offered or gave a gratuity to a Federal Government employee and intended by the gratuity to obtain a contract or favorable treatment under a contract. The date(s), location(s) and name(s) of all parties involved in the incident shall be included in the report.
1403.204 Treatment of violations
(b) The CO will provide the contractor with a formal notice which summarizes the events involving the suspected violation and affords the contractor the opportunity to take the action(s) listed under FAR3.204(b). The notice shall contain a time limit for reply and shall be sent by certified mail return receipt requested. The CO will submit the report, additional documentary evidence,and other pertinent information, to the HCA for disposition with a recommended course of action. In consultation with the SOL and the OIG, and based on the results of any further discussion with the contractor, its counsel or witnesses, the HCA may recommendaction to the Director, PAM pursuant to FAR3.204(c) and shall provide formal notice to the contractor of such recommendation.
(c) If the decision involves termination of a contract (see FAR3.204(c)(1)) the CO will be responsible for implementing the decision.
SUBPART 1403.3 -- REPORTS OF SUSPECTED ANTITRUST VIOLATIONS
1403.303 Reporting suspected antitrust violations
(f)(1) Reports on suspected violations of antitrust laws as required by FAR3.303 shall be prepared by the CO, reviewed by the SOL, and submitted by the HCA directly to the Attorney General, U.S. Department of Justice.
(2) Depending on the nature of the suspected violation or the disposition of the matter, the HCA may recommend debarment or suspension action in accordance with FAR9.406-2(a)(2) or 9.407-2(a)(2) and Subpart 1409.4.
SUBPART 1403.4 -- CONTINGENT FEES
(b) The required documentation shall be reviewed by the CCO, or higher level official if prescribed by bureau procedures.
1403.409 Misrepresentation or violations of the Covenant Against Contingent Fees
(b)(3) The HCA may recommend debarment and suspension action in accordance with Subpart 1409.4.
(4) The CCO shall consult with the SOL prior to forwarding a report of suspected fraudulent or criminal violations to the OIG for action.
SUBPART 1403.5 -- OTHER IMPROPER BUSINESS PRACTICES
1403.570 Restrictions on Contractor Advertising
Award of a contract does not signify endorsement of the supplies or services purchased, nor does it signify agreement with any views espoused by officials of the awardee. It is vital to the integrity of the procurement system to avoid even the appearance of an improper preference toward a particular vendor. Therefore, contractors shall not be permitted to publicize, or otherwise circulate, promotional materials which state or imply Governmental endorsement of a product, service or position which the contractor represents.
If a contractor requests a determination as to the propriety of such promotional material, the response shall be coordinated with the cognizant Public Affairs Office and Ethics Officer.
CO's shall include the clause at 1452.203-70,Restriction on Endorsements, in all solicitations, contracts and agreements which are not executed in accordance with SAT procedures.
SUBPART 1403.6 -- CONTRACTS WITH GOVERNMENT EMPLOYEES ORORGANIZATIONS OWNED OR CONTROLLED BY THEM
The HCA, without the power of redelegation, is authorized to except a contract from the policy in FAR3.601. However, no exceptions shall be granted where the proposed contractor is owned or controlled by a Government employee or one or more members of the employee's immediate family and the employee or any subordinate is serving as a procurement official on the proposed contract.
1403.603 Responsibilities of the CO
(a) The CO, when requesting authorization allowing an award of a contract to a Government employee or business concern or other organization owned or substantially owned or controlled by one or more Government employees, shall prepare a written determination and findings for the signature of the HCA.
SUBPART 1403.7 -- VOIDING AND RESCINDING CONTRACTS
(a) The HCA is authorized to declare void and rescind contracts in accordance with the procedures in FAR3.705.
(a) Reporting. The facts concerning any final conviction for any violation of 18 U.S.C. 201-224 involving or relating to any contract awarded by a bureau or office shall be set forth in a report and submitted by the HCA to the Civil Division of the Departmentof the Justice. The report shall also contain a recommendation to initiate debarment action. If debarment is recommended, the procedures in 1409.406-3(a) shall be followed. Copies of the report shall be provided to Director, PAM for information purposes.
(d) Notice of Proposed Action. Based upon review of the report in (a) above and after consultation with the SOL and the OIG, as appropriate, the HCA shall give notice of the proposed action to the contractor in accordance with the requirements of FAR3.704(a).
(e) Final Agency Decision. The HCA shall make the final decision on voiding and rescinding contracts in accordance with the requirements of FAR3.705(e).
SUBPART 1403.8 - LIMITATION ON THE PAYMENT OF FUNDS TO INFLUENCE FEDERAL TRANSACTIONS
(b) The BPC shall receive copies of contractor disclosures and forward them to the Director, PAM for the submission to Congress.
1403.806 Processing suspected violations
Suspected violations shall be referred to the HCA. The HCA in consultation with the SOL shall act in accordance with FAR3.807.
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