97-87
Procurement Notice
September
11, 2003
PROCUREMENT INSTRUMENT NUMBERING SCHEME
BACKGROUND:
This PN revises the NASA FAR
Supplement (NFS) to change the scheme used for
numbering procurement instruments.
Effective October 1, 2003, each agency is required to have
unique document numbers on contracts, BPA calls, and other procurement
instruments. Document numbers must be unique
within the agency and between agencies.
The General Services Administration (GSA) has established a register of
agency numbering schemes, to assure they don’t conflict. On May 21, 2003, the Assistant Administrator
for Procurement approved a new numbering scheme to comply with this
requirement. This PN implements that
scheme.
Also effective October 1, 2003, GSA is requiring that all
procurements, regardless of dollar value, be reported to the Federal
Procurement Data System – Next Generation (FPDS-NG). This lowers the reporting threshold from the previous amount of
$25,000. Bankcard transactions are
exempt. All reportable transactions
must have a unique number assigned in accordance with the guidance in this PN.
The numbering scheme in this PN has been registered with
GSA. This scheme will provide more
“intelligence” in the numbers by indicating the type of action and the fiscal
year it was issued.
Centers will need to use the new numbers on all new actions
with an award date on or after October 1, 2003, regardless of when the
solicitation was issued, when the award becomes effective, or when performance
starts. The changeover to the new
numbering scheme must occur exactly on October 1. IFMP will not accept the new numbers before
October 1, and FPDS-NG will not accept the old numbers on new awards after
September 30.
Existing awards will
not need to be renumbered, but new task orders, delivery orders, or calls
against existing contracts, BOAs, Federal Supply Schedules, or BPAs must use the
new scheme. Definitizations of letter
contracts that are performed by issuance of a modification of the letter
contract do not require a new number.
Hybrid procurements should use the type of action that most clearly
represents the procurement.
This scheme provides for the possibility of a
separate number series for each type of action, which in combination with the
fiscal year designator will provide over 50,000 different numbers for each
type. However, Centers with smaller
annual numbers of actions may elect to use a single series of action numbers
across all types, by assigning numbers without regard to which action-type code
is used. Further, Centers may use a few
separate number series for certain action types that usually have a large
volume of actions such as delivery orders and task orders,
with another series applicable to all other
action types. Centers may also assign
blocks of numbers to various offices if desired.
This change also applies to grants and
cooperative agreements; however, separate implementation instructions will be
issued via a change to the NASA Grants and Cooperative Agreements Handbook.
ACQUISITIONS AFFECTED BY CHANGES: All contracts, Space Act agreements, blanket
purchase agreements, purchase orders, delivery orders, task orders, calls, and
other transactions reportable to FPDS-NG.
ACTION REQUIRED BY CONTRACTING OFFICERS: Assign procurement instrument identifiers in
accordance with the new numbering scheme.
CLAUSE CHANGES: This PN makes no changes to clauses or provisions.
PARTS AFFECTED: Changes are made in Part 1804.
DO NOT FILE UNTIL OCTOBER 1, 2003
REPLACEMENT PAGES: You may use the enclosed pages to replace
4:1, 4:2, and 4:9 through 4:13.
TYPE OF RULE AND
PUBLICATION DATE: The PN was published
as a final rule in the Federal Register (68 FR 53525 - 53526) on September 11,
2003.
HEADQUARTERS CONTACT: William Childs, Code HC, (202) 358-0454,
email: wchilds@nasa.gov.
James A. Balinskas
Director, Contract
Management Division
Enclosures
PART 1804
ADMINISTRATIVE MATTERS
TABLE OF CONTENTS
SUBPART
1804.1 CONTRACT EXECUTION
1804.103 Contract
clause.
1804.170 Contract
effective date.
SUBPART 1804.2
CONTRACT DISTRIBUTION
1804.202 Agency
distribution requirements.
1804.203 Taxpayer
identification information.
SUBPART
1804.4 SAFEGUARDING CLASSIFIED INFORMATION WITHIN INDUSTRY
1804.402 General.
1804.404-70 Contract clause.
1804.470 Security requirements for unclassified
information technology resources.
1804.470-1 Scope.
1804.470-2 Policy.
1804.470-3 Security
plan for unclassified Federal Information Technology systems.
1804.470-4 Contract
clauses.
SUBPART
1804.5 ELECTRONIC
COMMERCE IN CONTRACTING
1804.570 NASA Acquisition
Internet Service (NAIS).
1804.570-1 General.
1804.570-2 Electronic Posting
System.
SUBPART
1804.6 CONTRACT REPORTING
1804.601 Record
requirements.
1804.602 Federal
Procurement Data System.
1804.670 Individual Procurement Action Report (NASA Form 507 series).
1804.671 Committee
on Academic Science and Engineering (C.A.S.E.)
Report.
SUBPART
1804.8
GOVERNMENT CONTRACT FILES
1804.802-70 Handling of classified
material.
1804.803 Contents
of contract files.
1804.803-70
Checklist.
1804.804 Closeout
of contract files.
1804.804-2 Closeout of the
contracting office files if another office administers the contract.
1804.804-5 Procedures
for closing out contract files.
1804.805 Storage,
handling, and disposal of contract files.
1804.805-70
Review, separation, and
retirement of contract files.
SUBPART 1804.9
TAXPAYER IDENTIFICATION NUMBER
1804.904 Reporting
payment information to the IRS.
SUBPART
1804.70
TRANSFER OF CONTRACTING
OFFICE RESPONSIBILITY
1804.7000 Scope of
subpart.
1804.7001 Definition.
1804.7002 Approval
of Transfer Requests.
1804.7003 Responsibilities of
the contracting officer of the transferring installation.
1804.7003-1 Coordinations.
1804.7003-2 File
inventory.
1804.7003-3 Notifications.
1804.7003-4
Transfer.
1804.7003-5 Retention
documentation.
1804.7004 Responsibilities
of the contracting officer of the receiving installation.
1804.7004-1 Pre-transfer
file review.
1804.7004-2 Post-transfer
actions.
SUBPART
1804.71
UNIFORM ACQUISITION INSTRUMENT
IDENTIFICATION
1804.7100 Scope of
subpart.
1804.7101 Policy.
1804.7102 Numbering
scheme.
1804.7103 Modifications
of contracts or agreements.
SUBPART
1804.72
REVIEW AND APPROVAL OF CONTRACTUAL INSTRUMENTS
1804.7200 Contract
review by Headquarters.
SUBPART
1804.73 PROCUREMENT REQUESTS
1804.7301
General.
SUBPART
1804.74 CENTRAL CONTRACTOR
REGISTRATION
1804.7400 Scope.
1804.7401 Definitions.
1804.7402 Policy
1804.7403 Procedures.
1804.7404 Solicitation
provisions and contract clauses.
estimated
reimbursement due the administration agency for the services yet to be
performed for each requested function. Copies of this inventory shall be provided
to the contracting officer of the receiving installation.
1804.7003-3 Notifications.
The contracting officer of the transferring
installation shall provide written notification of the planned transfer to the
contractor and all agencies performing or requested to perform administration
services.
1804.7003-4 Transfer.
(a)
Upon completion of the actions described in 1804.7003-1 through
1804.7003-3, the contracting officer of the transferring installation shall
issue a letter to the contractor, agencies performing contract administration
functions, contracting officer representatives, and the contracting officer of
the receiving installation. This letter
shall provide notification of the transfer date, termination of appointment of
the contracting officer's representatives, and the name, mailing address, and
telephone number of the contracting officer of the receiving installation.
(b)
After issuing the letters described in 1804.7003-4(a), the contracting
officer of the transferring installation shall send the contract file to the
contracting officer of the receiving installation with a letter transferring
contract responsibility. This letter
shall contain a provision for acceptance of the responsibility for the contract
and its related files by the contracting officer of the receiving installation.
1804.7003-5 Retention documentation.
The contracting officer of the transferring
installation shall retain for permanent file a copy of the approvals and
concurrences required by 1804.7002, the transfer acceptance letter of the
contracting officer of the receiving installation, and any additional documents
necessary for a complete summary of the transfer action.
1804.7004
Responsibilities of the contracting officer of the receiving
installation.
1804.7004-1 Pre-transfer file review.
The contracting officer of the receiving
installation shall review the contract, letters of request, actions in process,
and other related files and to request corrective action, if necessary, before
the official transfer of the contract.
This review may be waived by written notification to the contracting
officer of the transferring installation.
1804.7004-2 Post-transfer actions.
The contracting officer of the receiving
installation shall --
(a)
Provide the contracting officer of the transferring installation written
acceptance of contract responsibility and receipt of the contract files;
(b)
Inform all offices affected within the installation of the receipt of
the contract;
(c) Appoint
new contracting officer's technical representatives, as necessary;
(d)
Issue a contract modification to provide for the administrative changes
resulting from the transfer action (e.g., identifying offices responsible for
performing contract administration and making payment and the office to which
vouchers, reports, and data are to be submitted);
(e)
Provide copies of the contract documents to affected installation
offices; and
(f)
If appropriate, supplement the letter of request to the Government
agency providing contract administration services to reflect the changes
resulting from the transfer action. The
supplement may terminate or amend an existing contract administration support
arrangement or may request support in additional areas.
Subpart 1804.71--Uniform Acquisition
Instrument Identification
1804.7100 Scope of subpart.
This
subpart contains the procedures for uniform numbering of NASA solicitations,
contracts (including letter contracts), purchase orders (including requests to
other Government agencies), basic ordering agreements, other agreements between
the parties involving the payment of appropriated funds or collection of funds
for credit to the Treasury of the United States, and modifications or
supplements to these instruments.
1804.7101
Policy.
(a)
Contractual documents shall be numbered with approved prefixes,
suffixes, and serial numbers as prescribed in this subpart. If other identification is required for
center purposes, it shall be placed on the document in such a location as to
clearly separate it from the identification number.
(b)
The identification number shall consist of exactly 10 alpha-numeric
characters positioned as prescribed in this subpart and shall be retained
unchanged for the life of the particular instrument.
(c)
Identification numbers shall be serially assigned to the extent
feasible. Installations may designate
blocks of numbers to offices for future use.
(d)
Solicitations shall be numbered in accordance with installation
procedures, except that in all cases the identifying number shall begin with
the three characters specified in 1804.7102(a)(1) and (2).
1804.7102 Numbering scheme.
(a) General.
(1) The first two characters shall be NN.
(2) The third character shall be the same letter
as used in the Integrated Financial Management Program (IFMP), i.e., the first
letter of the Center acronym, except for GRC which uses "C".
(3) The fourth and fifth characters shall be 2
numeric characters for the FY in which the award is expected to be signed by
the Government.
(4) The sixth through ninth characters shall be
4 digits for action number; 2 alphas, 2 numbers (AA01, AA02 ... AA99, AB01,
AB02, … AZ99, BA01, BA02, etc. through ZZ99)
(5) The tenth character shall be 1 alpha character
for type of action.
(b) Codes for type of
action.
A - Cooperative
agreement.
B - BOA, GWAC, or other
indefinite delivery type contract.
C - Contract (except
Facilities or indefinite delivery type).
D - Delivery order or
call against a supply contract (BOA, FSS, or other indefinite delivery contract
or BPA).
F - Facilities
contract.
G - Grant (other than
training).
H - Training grant.
I - Intragovernmental
transaction, i.e., request to another Government agency to furnish supplies or
services. It does not include an award
by NASA to fulfill a request from another agency.
P - Purchase order.
(This does not include a call or task or delivery order, regardless of whether
it is issued on a purchase order form.
It also does not include other types of actions listed in this
paragraph, notwithstanding that they are referred to as purchase orders in
IFMP.)
S - Space Act agreement.
T - Task order against a
service (including R&D) contract (BOA, FSS, or other indefinite delivery
contract or BPA).
Z - BPA.
(c) Sample.
NNG04AA01C would be a GSFC action issued in FY04. It would be the first one issued at the
Center (or the first of its type), and the action type would be a contract:
NASA GSFC
FY04 Serial No. 1 Contract
1804.7103 Modifications of contracts or agreements.
(a)
Modifications of definitive or letter contracts or agreements shall (1)
bear the same identification as the contract or agreement being modified and
(2) be numbered consecutively for each contract or agreement, beginning with
Modification Number 1, regardless of whether the modification is accomplished
by unilateral or bilateral action. Except for termination notices,
modifications shall be effected by the use of Standard Form 30, Amendment of
Solicitation/Modification of Contract.
(b)
Definitive contracts superseding letter contracts shall retain the same
contract number as that originally assigned to the letter contract. Actions definitizing letter contracts are
considered modifications and shall be assigned modification numbers in
accordance with paragraph (a) of this subsection.
Subpart 1804.72--Review and Approval of Contractual
Instruments
1804.7200 Contract review by Headquarters.
(a)
Requests for approval of contracts and supplemental agreements by the
Assistant Administrator for Procurement shall be submitted to the Headquarters
Office of Procurement (Code HS) in sufficient time to allow a minimum of 15
days for review.
(b)
Each request for approval shall be accompanied by (1) five copies of the
contractual document, one of which has been executed by the contractor and
contracting officer, and (2) the official contract file containing the
appropriate documentation as set forth in FAR 4.803(a). However, for the items specified in FAR
4.803(a)10, (11), and (12), the contracting officer shall provide documentation
pertaining only to the successful offeror; and, in lieu of the items specified
in FAR 4.803(a)(26)(ii) and (iii), the contracting officer shall provide an
index briefly describing the content of all previous modifications.
(c)
The approval required under this section shall be made by signature of
the Assistant Administrator for Procurement on the contract/supplemental
agreement.
Subpart
1804.73--Procurement Requests
1804.7301
General.
(a)
Except in unusual circumstances, the contracting office shall not issue
solicitations until an approved procurement request (PR), containing a
certification that funds are available, has been received. However, the
contracting office may take all necessary actions up to the point of contract
obligation before receipt of the PR certifying that funds are available when -
(1)
Such action is necessary to meet critical program schedules;
(2)
Program authority has been issued and funds to cover the acquisition
will be available prior to the date set for contract award or contract
modification;
(3)
The procurement officer authorizes such action in writing before
solicitation issuance; and
(4)
The solicitation includes the clause at FAR 52.232-18,
Availability of Funds. The clause shall be deleted from the resultant contract.
(b)
The contracting office shall not issue either a draft or final
solicitation until a PR, either planning or final, has been received that
contains an NPG 7120.5 certification. That certification must be made by the project or program office
that initiated the PR, or the PR approval authority when there is no project or
program office. The certification must
state that either -
(1)
The requested action is not in support of programs and projects subject
to the requirements of NPG 7120.5, or
(2)
The requested action is in support of programs and projects subject to
the requirements of NPG 7120.5, and -
(i) All NPG 7120.5 required documentation is current and has been
approved; or
(ii) Authority to proceed without the required documentation has been
granted by the Chair of the Governing Program Management Council or designee.
Subpart 1804.74--Central
Contractor Registration
1804.7400
Scope.
This subpart prescribes policies and
procedures for requiring contractor registration in the DoD Central Contractor
Registration (CCR) database.
1804.7401
Definitions.
“Central
Contractor Registration (CCR) database,” “Data Universal Numbering System
(DUNS) number,” “Data Universal Numbering System+4 (DUNS+4) number,”
“Commercial and Government Entity (CAGE) Code,” and “Registered
in the CCR database” are defined in the
clause at 1852.204-74, Central Contractor
Registration.
1804.7402
Policy.
Prospective contractors must be registered in
the CCR database, prior to any award of a contract, purchase order, basic
agreement, basic ordering agreement, or blanket purchase agreement. This policy
applies to all types of awards except the
following:
(a)
Purchases made with a Government-wide commercial purchase card.
(b)
Awards made to foreign vendors for work performed outside of the United
States.
(c)
Purchases under FAR 6.302-2, Unusual and Compelling Urgency.
1804.7403
Procedures.
(a) (1)
The contracting officer shall verify that the prospective awardee is
registered in the CCR database using either the Cage Code, DUNS number or, if
applicable, the DUNS+4