Unauthorized Contractual and Purchase Commitments

PROCEDURES NO. 1: For all unauthorized commitments other than training

The individual who makes an unauthorized contractual commitment will submit through channels to the Center/Institute/Office Director all records and documents concerning the commitment. The file will include, but not be limited to, a written statement by that individual committing the unauthorized procurement as to:

• Explanation of the events leading up to the unauthorized commitment.
• Why the procurement office was not utilized.
• Why the proposed contractor was selected.
• Whether the contractor has commenced performance.
• A list of other sources considered.
• A description of the work to be performed or products to be furnished.
• An estimated or agreed contract price.
• A citation of the funding appropriation.

The Center/Institute/Office Director will:

• Prepare a statement of corrective action taken to prevent other unauthorized commitments from occurring in the organization.
• Send this statement, together with the complete file on the unauthorized contractual commitment, to the Director, Procurement and Grants Office.

After reviewing the documentation, the Director, Procurement and Grants Office, will complete the following actions and then forward it through the Associate Director for Management and Operations to the Director, CDC:

• Determine the adequacy of the records and obtain further documentation if necessary.
• Prepare a statement of facts to include an analysis of the prices involved to support a findings of whether or not the prices are considered fair and reasonable.

If the unauthorized procurement is approved by the Director, CDC, the file will be returned to the appropriate procurement office. A purchase order, contract, or contract modification will be issued.

If the unauthorized procurement is disapproved by the Director, CDC, the file will be returned to the Center/Institute/Office Director. The individual responsible for the unauthorized procurement will be responsible to the supplier for correction of the situation.

UNAUTHORIZED CONTRACTUAL AND PURCHASE COMMITMENTS

PROCEDURES NO. 2: For all unauthorized training commitments

The individual or group who makes an unauthorized training commitment will submit through channels to the Center/Institute/

Office Director a paper HHS-350, Training Nomination and Authorization form, records, and other documents concerning the commitment. The file will include, but not be limited to, a written statement as to:

• Explanation of the events leading up to the unauthorized commitment.
• Why the training office was not utilized in a timely manner.
• Whether the training has been completed.
• Name of the vendor, title of course, and dates.
• A total amount of tuition and/or book fees.
• The completed paper HHS-350 with signatures.

The Center/Institute/Office Director will:

• Prepare a statement of corrective action taken to prevent other unauthorized training commitments from occurring in the organization.
• Send this statement, together with the complete file on the unauthorized contractual training commitment, to the Director, Human Resources Management Office.

The Director, Human Resources Management Office, will review the file and forward it through the Associate Director for Management and Operations to the Director, CDC.

If the unauthorized training procurement is approved by the Director, CDC, the file will be returned to the appropriate office. A training order will be issued.

If the unauthorized training request is disapproved by the Director, CDC, the file will be returned to the Center/Institute/Office Director. The individual responsible for the unauthorized training order will be responsible to the vendor for correction of the situation.