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the mails or other selected means of communication after transmittal of a demand, notice, or supplemental agreement or that a demand, notice, or supplemental agreement is not in fact received by the contractor, and that the nonreceipt is not the result of any act or omission on the part of the contractor. In such cases, the due date of the debt and the starting time for accrual of interest thereon will be extended to such time as is fair and reasonable under the particular circumstances. For example, if there is substantial delay between the date of a demand or notice, and the actual date of its dispatch or transmittal, the actual date of dispatch or transmittal would apply instead of the date stated on the demand or notice. Such delay should not be allowed to happen. Also, for example, if there is unusual delay in the mails or other selected form of communication, after dispatch or transmittal of a demand, notice, or supplemental agreement, the date of receipt by the contractor would apply instead of the earlier date otherwise applicable, and if the demand, notice, or supplemental agreement, as the case may be, is not received by the contractor, the date of transmittal of a second demand, notice, or supplemental agreement would apply instead of the earlier date otherwise applicable.

[28 F.R. 6353, June 20, 1963]

§ 163.123 Compromise.

The Federal Claims Collections Act of 1966 (P.L. 89-508, 80 Stat. 308), July 19, 1966, authorizes the compromise of certain claims that do not exceed $20,000. This statute also authorizes termination or suspension of collection action on such claims. Actions under this statute must conform to standards prescribed must by the Attorney General of the United States and the Comptroller General of the United States. These controlling standards have been established by joint regulations published in the FEDERAL REGISTER Of October 15, 1966, pages 13381-13385, Title 4, Chapter 11, entitled, "Joint Regulations Prescribing Standards for Administrative Collection, Compromise, Termination of Agency Collection Action, and Referral to General Accounting Office, and to Department of Justice for Litigation, of Civil Claims by Government for Money or Property." [82 F.R. 11956, Aug. 18, 1967]

§ 163.123-1 Delegation.

Department of Defense Authority under the above statute and joint regulations (§ 163.123) has been delegated to the Departments (§ 163.3). Within each Department, for those debts covered by this subpart (§163.98) authority to act in conformity to the cited statute and joint regulations has been delegated to the contract financing office (§ 163.26). [32 F.R. 11956, Aug. 18, 1967]

§ 163.124 Bankruptcy reporting.

For those debts covered by this subpart (§ 163.98), claims in bankruptcy or insolvency, or in proceedings for reorganization or rearrangement will be furnished to the Department of Justice. These claims are (a) those which have been transferred to a contract financing office (§ 163.109), (b) those on their way to a contract financing office at inception of bankruptcy or insolvency proceedings, (c) those pending and not forwarded to a contract financing office at inception of bankruptcy or insolvency proceedings, and (d) those which are the consequence of bankruptcy or insolvency proceedings. Proof of claim, with pertinent supporting data and documentation shall be furnished to the Department of Justice by the contract financing office (§ 163.26) or by such other office or offices as may be designated within a Department. Information will be supplied to the contract financing office by the office of origin of a debt as soon as possible after the beginning of proceedings for bankruptcy, insolvency, reorganization or rearrangement. Information, reports, and proof of claim under this section are not expected on debts of less than $250.

[33 F.R. 10453, July 23, 1968]

PART 164 CONTRACT COST PERFORM. ANCE AND FUNDS STATUS REPORT

Sec.

164.1 Purpose.
164.2 Applicability.
164.3 Scope.

164.4 Responsibilities.

AUTHORITY: 5 U.S.C. section 301 and Armed Services Procurement Regulation section 7-104.50.

SOURCE: 38 FR 8509, Apr. 3, 1973, unlass otherwise noted.

§ 164.1 Purpose.

(a) This part assigns responsibilities and provides uniform guidance for implementation of the Cost Performance Report (CPR) and the Contract Funds Status Report (CFSR).

(b) The CPR and CFSR provide means to collect summary level cost and schedule performance data and funding data from contractors for program management purposes pursuant to DOD DIrective 7000.1, "Resources Management Systems of the Department of Defense," August 22, 1966,1 and Part 213 of Subchapter M of this title and for responding to requests for program status information on major defense systems, primarily by means of the Selected Acquisitions Report, DOD Instruction 7000.3, "Selected Acquisition Reports" (SAR), September 13, 1971.1 Specifically:

(1) The CPR is intended to provide early identification of problems having significant cost impact, effects of management actions taken to resolve existing problems, and program status information for use in making and validating management decisions.

(2) The CFSR is intended to supply funding data that, with other performance measurement inputs, provides DOD management with information in: (1) Updating and forecasting contract fund requirements, (ii) planning and decisionmaking on funding changes, (ii) developing fund requirements and budget estimates in support of approved programs, and (iv) determining funds in excess of contract needs and available for deobligation. § 164.2

Applicability.

The provisions of this part apply to all all DOD Components (Military Departments, Defense Agencies, Unified and Specified Commands) responsible for (a) managing major defense systems falling within the scope of § 164.3(a); and (b) determining fund requirements for contracts and managing the flow of such funds.

8 164.3 Scope.

The Cost Performance Report (CPR) will be applied to selected contracts

1 Filed as part of original. Copies available from U.S. Naval Publications and Forms Center, 5801 Tabor Avenue, Philadelphia, Pa., 19120, Code 300.

within programs designated as major defense systems in accordance with Part 213 of Subchapter M of this title. The Contract Funds Status Report is normally applicable to all contracts of over $500,000 in value.

(a) Cost Performance Report. (1) CPR will not be required on firm fixed-price contracts unless those contracts represent the development or production of a major defense system, a major component thereof, or programs of special interest to the DOD or the Congress.

(2) The CPR is applicable to on-going contracts only in those cases where the procuring agencies consider it necessary to support program management needs and DOD requirements for information. Some of the factors which may affect applications to on-going contracts are anticipated time to contract completion, anticipated program deferrals, and the relative importance of subcontracts.

(b) Contract Funds Status Report. (1) CFSR may be implemented at a reduced level of reporting for: (1) Those contracts with a dollar value between $100,000 and $500,000, (ii) time and material contracts, and (ii) contractual effort for which the entire CFSR report is not required by the procuring activity, but limited funding requirements information is needed.

(2) CFSR will not be required on: (1) Firm fixed-priced contracts as defined in section 3-404.2 of the Armed Services Procurement Regulation (32 CFR 1-39), except for unpriced portions of such contracts (e.g., spares, support equipment, publications, engineering change orders, etc.) that individually or collectively are estimated by the Government to be in excess of twenty (20) percent of the initial contract value, (ii) contracts with a total value of less than $100,000, (iii) contracts expected to be completed within 6 months, and (iv) facilities contracts. With respect to paragraph (b) (2) (1), of this section, the contract will delineate the specific CFSR requirements, if any, to be imposed on the contractor to fit the circumstances of each particular case.

(c) CPR and CFSR. (1) In concert with the policies established in Part 213 of Subchapter M of this title, utilization of the CPR and CFSR shall be exercised

by program managers to achieve essential management control.

(1) Contractors are encouraged to substitute internal reports for CPR and CFSR provided that data elements and definitions used in the reports are synonymous with CPR and CFSR requirements and that the reports are in a form suitable for management use.

(ii) As applicable, provisions of DOD Instruction 7000.6, "Acquisition Management Systems Control," March 15, 1971,1 concerning the tailoring of a management system may be employed by program managers in the implementation of CPR and CFSR.

(2) Instructions regarding the level of detail and the frequency of reporting for the CPR and CFSR are contained in Data Item Descriptions (DD Form 1664) DI-F-6000A, Cost Performance Report (CPR) and DI-F-6004A, Contract Funds Status Report (CFSR).a Local reproduction of formats is authorized. § 164.4 Responsibilities.

(a) DOD Components will assure that:

(1) Contractor reports are timely and submitted in accordance with the instructions contained in Data Item Descriptions (DD Form 1664) DI-F6000A, Cost Performance Report (CPR) and DI-F-6004A, Contract Funds Status Report (CFSR).'

(2) Submitted data are checked for discrepancies and necessary corrections are furnished by contractors.

(3) Application of the CPR to on-going programs or firm fixed-price contracts is held to the minimum essential to support program management needs and DOD requirements for information.

(4) Controls are established to insure, upon contractual application of the CPR and CFSR, that "program-peculiar" reports used to collect similar cost and schedule performance and funding information are superseded by the CPR and CFSR.

(5) Requirements for data to be collected from contractors will at all times be held to the minimum essential to support necessary and specific management requirements.

Filed as part of the original document.

(b) The appropriate Defense Contract Audit Agency (DCAA) office will:

(1) At the request of a DOD Component, provide advice as to whether the contractor's procedures are adequate and reliable for CPR and CFSR purposes at the time of evaluation of the contractor's accounting system on the preaward survey. DCAA will also make reviews of selected CPR and CFSR reports when they consider it necessary to assure the continuing adequency and reliability of procedures and the validity of reported data.

(2) Review selected individual CPR and CFSR reports when requested by the Procuring Contracting Officer (PCO) or Administrative Contracting Officer (ACO) and submit a report thereon.

[blocks in formation]

This part establishes policy concerning suspension and debarment of contractors, vendors, suppliers, business firms, individuals, and representatives thereof (hereinafter referred to as contractors) doing business with nonappropriated fund activities throughout the Department of Defense.

[36 F.R. 24802, Dec. 23, 1971]

§ 165.2 Applicability and scope.

The provisions of this part apply to the Military Departments, Defense Agencies and Unified and Specified Commands, and cover nonappropriated fund activities described in III. A., B., and C., of DOD Instruction 7600.6.1 [36 F.R. 24802, Dec. 23, 1971]

§ 165.3 Policy and procedures.

Active and potential contractors doing business with nonappropriated fund

1 Filed as part of original. Copies available from the U.S. Publications and Forms Center, 5801 Tabor Avenue, Philadelphia, PA 19120, Code: 300.

activities (cited in § 165.2), whose actions make it necessary, will be suspended and debarred under the same policies and procedures as appropriated fund contractors:

(a) Policies and procedures governing debarment of appropriated fund contractors are contained in Armed Services Procurement Regulation § 1.600 of this title and are hereby made applicable to nonappropriated fund purchasing throughout the Department of Defense.

(b) This policy includes the publication of "Joint Consolidated List of Debarred, Ineligible, and Suspended Contractors," as well as the "theater lists" maintained by Unified Commands overseas in accordance with § 1.609 of this title. Nonappropriated fund contractors will be listed together with appropriated fund contractors and will not be separately identified.

(1) Lists will be exchanged among various headquarters as provided by §§ 1.1601-3 and 1.609-5 of this title.

(2) The Joint Consolidated List, as well as the overseas lists, will be provided in sufficient copies for nonappropriated fund purchasing activities.

(c) Recommendations for suspension or debarment will be initiated by the responsible command or activity doing the purchasing for nonappropriated fund activities, and require the approval of the authorized representative identified in § 1.600 (b) of this title.

(1) In the case of the Army and Air Force Exchange Service, listings will be approved by the authorized representative of the Secretary of the Military Department of the officer currently serving as the Chairman of the Board of Directors.

(2) The Chief of the Army and Air Force Exchange Service may suspend contractors from doing business with the Exchange Service only, pending the decision for DOD-wide listing on the Joint Consolidated List.

(d) All Department of Defense acvities will establish procedures, controls, and necessary surveillance to assure that active and potential contractors are properly identified and recommended for suspension or debarment when the circumstances and events dictate such course of action. [36 F.R. 24802, Dec. 23, 1971]

PART 166—REPORTING PROCEDURES ON DEFENSE RELATED EMPLOYMENT

Sec. 166.1

166.2

166.3

166.4

166.5

166.6

166.7

166.8 166.9

Purpose and scope.

Applicability.

Terms and general guidance.

Reporting procedures.

Actions required.

Other reporting requirements.

Review of and disposition of the
forms submitted by former and
present personnel.

Instructions for completing § 166.9.
Report of DOD and defense related
employment as required by Public
Law 91-121.

166.10 Listing of present or former employees of defense contractors for FY prepared pursuant to sec.

410, Public Law 91-121.

166.11 DOD contractors receiving negotiated contract awards of $10 million or more.

AUTHORITY: The provisions of this Part 166 issued under sec. 410, 83 Stat. 210; 50 U.S.C. 1436.

SOURCE: The provisions of this Part 616 appear at 35 F.R. 18040, Nov. 25, 1970, unless otherwise noted.

§ 166.1 Purpose and scope.

This part:

(a) Establishes criteria and prescribes the procedures to be followed by certain (1) former and retired military officers and former civilian officers and employees of DOD presently employed by defense contractors, and (2) former civilian officers and employees of defense contractors presently employed by the DOD in submitting employment reports in compliance with Public Law 91-121, sec. 410 (Nov. 19, 1969). Failure to file required reports is punishable by a maximum of 6 months imprisonment, or a fine of not more than $1,000 or both.

(b) Assigns responsibilities for monitoring the program within the Department of Defense.

§ 165.2 Applicability.

The provisions of this part apply to all elements of the Department of Defense, including the Office of the Secretary of Defense, the Military Departments, and the Defense Agencies, and to certain present and former military and civilian personnel of the Department of Defense,

including employees of non-appropriated fund activities.

§ 166.3 Terms and general guidance.

(a) "Employed" or "employment," is used in a broad sense to include services performed as a consultant or otherwise either for a defense contractor or the DOD.

(b) Retired military officers, former military officers and former civilian officers and employees of the DOD are included:

(1) If they are "employed" by a defense contractor as a consultant or otherwise,

(2) If they represented a defense contractor at a hearing, trial, appeal, or other action in which the United States was a party and which involved services and materials provided or to be provided to the DOD by such contractor, or

(3) If they represented a defense contractor in any transaction with DOD involving services or materials provided or to be provided by such contractor to DOD.

(c) "Defense contractor" means any Individual, firm, corporation, partnership, association, or other legal entity that enters into a contract directly with the DOD to furnish services or materials to DOD. It thus excludes subcontractors. Also, a subsidiary of a large corporation may be a separate legal entity and contract directly with the DOD in its own name. In such a case the "defense contractor" would be the subsidiary, not the parent corporation. Thus, only the dollar amount of contracts awarded by the DOD to a subsidiary contracting with DOD in its own name during a fiscal year would be considered in determining whether a person employed or formerly employed by it is required to report.

(d) No person is required to file a report for any fiscal year during which the defense contractor by whom he is or was employed received less than $10 million in contracts awarded by DOD. For the purpose of this Directive "contracts awarded" means contracts awarded by negotiation only, including the net amount of modifications to or options exercised under such contracts. All transactions under $10,000 each are excluded. Thus, if a person was employed by a defense contractor during a fiscal year

in which the contractor received from the DOD $8 million in negotiated contract awards and $2 million in contracts awarded by formal advertising, the person would not have to report his employment for that year.

(e) "Services and materials" means either services or materials, or services and materials, and includes construction. Therefore a company that performs construction under contracts with DOD is a "defense contractor" under this section. (f) "Fiscal year" means a year beginning on July 1, and ending on June 30 of the next succeeding year; it is designated by the year in which it ends. For example, fiscal year 1971 begins on July 1, 1970 and ends on June 30, 1971.

(g) For the purposes of these reporting requirements, a "retired military officer" is any officer entitled to receive military retired pay, even though such pay may be waived. A "former military officer" includes Reserve officers not on active duty.

(h) For the purposes of these reporting requirements, "former DOD civilian officer or employee paid at a rate equal to or greater than the minimum rate (at such time) for a grade GS-13" includes former wage board employees, former employees in the lower General Schedule grades, Public Law 313 categories, consultants, and persons in the executive levels, whose rates of pay equaled or exceeded:

$16,760 in 1970. $15,812 in 1969. $14,409 in 1968. $13,507 in 1967.

§ 166.4

Reporting procedures.

A report prepared and forwarded as prescribed in § 166.9 shall be submitted not later than November 15 following the close of each fiscal year, by the following categories of individuals.

(a) Any former or retired military commissioned officer who:

(1) At the time of release from active duty or retirement was serving on active duty as a major or lieutenant commander, or above; and

(2) Had served on extended active duty for 10 or more years; and

(3) During any part of any fiscal year beginning with fiscal year 1971:

(i) Is employed by or performed services for a defense prime contractor, who,

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