402.3 - Requisition for Procurement of Goods and Services
1/24/97
OPR: Office of Acquisition and Federal Assistance
1. Purpose. This chapter establishes policies and procedures for
preparing written requests for the purchase of goods or services using a Form
DI-1, Requisition. This chapter does not cover Property Transfer Requests
(SM 402.1), requests for excess property (SM 408.4), FEDSTRIPS (SM 403.3),
requests for space (SM 429.1), or requirements to be filled through the
Imprest Fund (SM 335.2). See SM 404.10 for supplemental guidance on
requisitions which will result in formal contracts, grants, or cooperative
agreements.
2. Policy. Form DI-1, Requisition, is used to (1) request acquisition
of goods or services to fill USGS procurement needs, (2) to authorize
expenditure of funds for that purpose, and (3) to certify that funds are
available and reserved for the resultant procurement as a safeguard against
violation of the Anti-Deficiency Act.
3. Responsibilities.
A. Division Chiefs are responsible for the sound management of
procurements initiated by their programs, including appropriate levels
for internal review and approval of proposed acquisitions.
B. Fiscal Authority. The individual who signs as fiscal authority
for a requisition is responsible for:
(1) Determining that sufficient funds, in the indicated
account(s), are available to cover the total amount stated on the
requisition and that such funds are committed or otherwise
reserved for this purpose; or
(2) Providing a statement on the requisition to indicate that a
requisition is submitted pending availability of funds, if such
is the case.
(3) Promptly notifying the procuring office at the beginning of
each fiscal year (or upon passage of a Continuing Resolution (CR)
if new FY funds cited on requisitions submitted prior to October
1 are not available. Unless so notified, the Contracting Officer
(CO) will presume cited funds are available and may be obligated
for the purpose described on the requisition. When funds are
provided under CR, the CO may presume cited funds are available
(a) in the full amount (for requisitions of $10,000 or less) or
(b) for a period of performance corresponding to the CR period
(for severable services/leases greater than $10,000), unless
otherwise notified by a funds certifying official or Division
Administrative Officer.
C. Requisitioning Office.
(1) The employee responsible for the creation of the
requisition must:
(a) Screen USGS inventories, excess property from other
agencies, and GSA Supply Catalog (FEDSTRIP) before
initiating a request for procurement action;
(NOTE: Until on-line access to the excess property data
base is available, screening against excess shall be
accomplished by the Headquarters Property Management Branch
or the appropriate regional Supply Management office, prior
to being forwarded to a Headquarters or Regional CO.)
(b) Use Federal Government sources of supply when
possible in lieu of sources outside the Federal Government;
(c) Consider filling small requirements using the Imprest
Fund, BankCards, Third Party Drafts, or Blanket Purchase
Agreement (BPA) calls before initiating and sending a
formal DI-1 requisition to the purchasing office;
(d) Provide any necessary purchase description,
specification or statement of work in accordance with
policies of SM 402.5, including use of energy efficient
and environmentally friendly product alternatives, products
with recycled material content, and/or metric measurements
whenever possible. Specifications/statements of work must
contain sufficient information for the purchasing office to
solicit and obtain quotations on a common basis from
interested vendors.
(e) Obtain required approvals, if any, in accordance with
procedures established by each requisitioning organization,
prior to submitting the requisition to the purchasing
office; and
(f) Provide completed requisitions to the purchasing
office in time to allow appropriate actions to be taken by
the CO.
(2) The requisition approving official may never be the same individual as either the awarding CO or the individual designated to certify receipt of goods and services. The requisition approving official may be the same person as the funds certifying official. The person approving the requisition will:
(a) Verify the need to procure specific item(s) and propriety of using appropriated funds for the requested item(s);
(b) Review item description(s) for clarity, accuracy and
adequacy;
(c) Assure effective and economical procurement, by
combining requirements whenever possible to allow the
ordering of economical production quantities and to reduce
the number of separate purchasing actions; and
(d) Furnish any additional information which will aid in
completing the purchase.
(e) In the case of requisitions for services, review the
statement of work against the criteria in FAR 7.503 and
provide a certification that the service does not involve
performance of inherently governmental functions as shown
in 402.3.7.A below.
4. Authorized Signature List. Each requisitioning activity will establish and maintain a list of USGS personnel who are authorized to certify the availability of funds for procurement actions. This listing must be updated at least annually, and provided to the servicing procurement office(s).
5. Contents of Requisitions. An original request for purchase from
commercial sources will be prepared on a Form DI-1 and submitted with three
copies to the appropriate procuring activity for action. Detailed guidance
on completion of the DI-1 form can be found on the Office of Program Support
intranet pages as Office of Acquisition and Federal Assistance On-line
Instruction No. 3.
6. Submitting Requisitions. After the requisition is prepared and
approved within the initiating division, it is submitted to the servicing
procurement office or field small purchase unit. Certain requisitions must
be submitted through additional reviewing offices, as follows:
A. Property Review. Until on-line access to the excess property
database is available, requisitions are required to be routed through
the Office of Facilities and Management Services, Branch of Property
Management (in Reston) or the appropriate regional supply management
office as provided in USGS Handbook 408-2-H, Property Management
Handbook, pages 2-1 and 2-2. Services not involving Controlled
Property and other selected items are exempt from this requirement, per
paragraph 2.1.C of the Handbook.
B. Information Technology (IT) Review and Approval. Requisitions
for acquisition of IT resources (formerly referred to as Federal
Information Processing (FIP), automatic data processing (ADP), and/or
telecommunications requirements) must be submitted through the Office
of Information Systems, or other employee delegated authority to sign
IT approval, as required by SM 600.4.6. This procedure does not apply
to acquisition of IT-related supplies.
7. Distinctive Items. There are numerous commodities and services for
which special certifications, approvals, or restrictions apply. Applicable
approvals or documentation must be obtained by the requiring office and
provided to the purchasing office with the requisition. These requirements
are described in SM chapters on those specific commodities, in higher level
directives, or below. Distinctive items and related references are listed in
Figure 1. For some items on this list, procurement is not permitted at all,
and for others special requisitioning procedures apply for procurement
through other agencies. Omission from this list does not negate the need for
any other certifications, approvals, or delegations that may be required
elsewhere. The following special restrictions or procedures apply as
indicated.
A. If the requisition involves services, the requisition must
provide a statement as follows:
"I hereby determine that the attached statement of work does not
provide for contractor performance of functions considered
inherently governmental as that term is explained in OFPP Policy
Letter 92-1."
B. Awards for USGS Volunteers which recognize various levels of
service for participants in the Volunteer for Science program, may be
requisitioned only by the Bureau Volunteer Program Coordinator.
C. Light refreshments for awards ceremonies/receptions may be
procured when the division manager certifies on the SF 1165 or Form DI-1 that the refreshments are a "necessary expense" in connection with an
employee awards ceremony, per 5 U.S. Code 4505 and DOI Human Resources
Management Handbook, Awards and Recognition Program (March 1996).
D. Patent application preparation services may be procured only
after submission of forms described in SM 453.1 and review by the
Office of the Solicitor. The requisition must include the case number
assigned by the solicitor.
E. Brief or intermittent services of temporary help firms may be
procured under the criteria in Office of Personnel Management
regulation 5 CFR 300, Subpart E. Such services may not be used to
circumvent restrictions on hiring (freezes, ceilings). Requiring
offices must consult with their servicing personnel office regarding
the circumstances surrounding a temporary service need and provide the
following statement on the requisition.
"Use of private sector temporary employee(s) as described in this
requisition does not conflict with the provisions of 5 CFR 300 E,
Use of Private Sector Temporaries. (Name of servicing personnel
staffing specialist) of (servicing personnel office) certified on
(date) by (telephone/e-mail/in person) that there are no
qualified candidates in the applicant supply file or on the
reemployment priority list, and no qualified disabled veterans or
displaced or surplus employees who are eligible for appointment
are available for this assignment."
(Signed)
(Name of responsible official in the organization where the
temporary need exists)
8. Amending the DI-1. When the information on the original DI-1 needs
to be changed, the changes should be made in the simplest, most efficient
manner possible. Changes may be hand written and initialed in pen and ink
directly on the original DI-1, or may be made using a memorandum signed by an
authorized official. The procuring office should use the same requisition
number originally assigned unless the changes affect the scope or fiscal year
of the original request. When a change is major and involves new work, or
when a change is requested after award is complete, it must be submitted on a
new DI-1 with a new requisition number. Authorized funding levels may be
changed only by individuals on the Authorized Signature List.
Figure 1
Part 402, Chapter 3
Item Reference
Advertising SM 405.6
Aircraft 353 DM 6
Aircraft services 353 DM 1
Alcohol SM 402.12
Audio-visual media & productions SM 500.7.6
(Note: Requisitions for audiovisual productions must include either a completed Form DI-551 granting
approval, or a memo from the Public Affairs Office indicating which of the allowable exceptions applies.)
Awards, non-monetary
for employees DOI Human Resources Management Handbook,
Awards and Recognition Program, pages 1-11
and 1-12
for volunteers SM 402.3.7.B
Business cards Not permitted (20 Comp. Gen. 248, 68 Comp.
Gen. 467 & others)
Conference facilities, rental of SM 429.1.7.B(1)
Decorations
Art, plants, flowers, etc. FPMR 101-26.103.2
Seasonal IM OFM 88-002
Duplicating and copying equipment SM 314.3
Furniture and furnishings for the office SM 402.15, FPMR 101-25.104
(including office furnishings, draperies (FPMR 101-25.302-7), furniture (FPMR 101-25.404, FPMR 101-26.505), filing cabinets (FPMR 101-26.308))
(Note: FPMR replacement standards for typewriters & electronic office machines (FPMR 101-25.302-6 &
-7 were removed by FPMR Amendment E-277 dated 4/4/96.)
Information technology (IT) equipment, services,
software (previously called ADP or FIP) SM 600.4
Letterhead 314 DM 7 (See also USGS Administrative
Digest 95-04, 11/23/94.)
Item Reference
Materials handling equipment, repair or replacement FPMR 101-25.405
Motor vehicles (Purchasing and Leasing) SM 409.1, FPMR 101-26.5
Office machines, maintenance services FPMR 101-25.106
Patent application preparation SM 402.3.7.D, SM 453.1
Prescription eyewear
Safety goggles and glasses SM 403.26 (To be relocated at SM 402.13)
Video display terminal glasses Not permitted (Comp. Gen. B-213415)
Printing and Binding SM 314.1
Radio communications equipment SM 313.13 (frequency assignment)
Refreshments for Awards Ceremonies SM 402.3.7.C
Security equipment FPMR 101-26.507
Services SM 402.3.7.A
Space Rental (includes garage space) SM 429.1.7
Space, Renovation or alteration of SM 429.1.9
Telephonic Recording and Listening-in Devices SM 313.10
Temporaries, Private Sector SM 402.3.7.E, 5 CFR 300.5
Tires and Tubes (Automotive) SM 403.12