10-1CHAPTER10SUBCONTRACTMANAGEMENT(RevisedOctober19,2011)WHATARETHEBASICPRINCIPLESANDOBJECTIVESOFSUBCONTRACTMANAGEMENT?1.Toensurecontractorsestablish,document,andmaintainadequatepurchasingsystems.2.Toensurecontractorsflowdowncontractrequirementstosubcontractors.WHYISSUBCONTRACTMANAGEMENTIMPORTANT?InmanyDepartmentprimecontractsasignificantportionoftheobligateddollarsisspentonsubcontractwork.Duetotheabsenceofadirectcontractualrelationshipwiththesubcontractor,theDepartmentmustrelyontheprimecontractortomanagesubcontractwork.Subcontractorsperformsignificantworkeffortsatsitesandareanintegralpartofthesite’ssuccess.Primecontractorsarefullyreimbursed(consistentwithreimbursementrules)forsubcontractedworkandcompensatedthroughprofitorfeetomanagetheirsubcontracteffort.Therefore,theDepartmentofEnergy(DOE)mustensurethattheprimecontractorexercisesadequatecontrolsoversubcontractors.Problemsatthesubcontractlevelcanhaveasignificantimpactontheprimecontractor’sabilitytomeetitscontractualobligations.Thischapterdealswithsubcontractmanagementactivities,roles,andrelationshipsoftheprimecontractorandDOE.WHATISAGENERALDESCRIPTIONOFTHEPROCESSESUNDERSUBCONTRACTMANAGEMENT?Thereareseveralaspectstosubcontract/subcontractormanagementwhichareaddressedinthischapter.Theseareaimedattheprimecontractor’sresponsibilitiesto:•Establish,document,andmaintainapurchasingsystemanddevelopaself-assessmentprogramtoensureadequatecontrols;•Acquirequalityproductsatfairandreasonableprices,usingbestinclasscommercialpurchasingpracticesandproceduresandensurefairandopencompetition;10-2•Flowdowncontractrequirementstosubcontractorsandauditsubcontractsasneeded;•ForDOE,requirementsthatrelatetotheprimecontractinclude:•Reviewandperiodicappraisalofthecontractor’spurchasingsystemanditsself-assessmentreports;•Reviewofindividualpurchasingactionswhichmeetcertaincriteriaand/orexceedcertainlimits;andAdditionally,DOEhascontractadministrationresponsibilitytoensuretheprimecontractorisobtainingsatisfactorytechnicaland/orprojectperformancefromsubcontractors.Thelargerthedollarvalueorcomplexityoftheproject,themoresignificantthisrolebecomes.A.ContractorPurchasingSystem,ContractorSelf-AssessmentProgramandPurchasingSystemReviewsWhatisthepurposeofthecontractor’spurchasingsystem?ContractorsprocureproductsandservicesforDOEthroughtheirpurchasingsystems.Verybriefly,thosesystemsareintendedtoensurethat:•Qualityproductsandservicesareacquiredatfairandreasonableprices,•Capableandreliablesubcontractorsareused,•Acquisitionlead-timesandadministrativecostsareminimized,•Effectivecompetitivetechniquesareused,•Performancerisksareminimized,•Thehighestprofessionalandethicalstandardsaremaintained,and•Appropriatefiledocumentationismaintained.Theprimecontractormustdevelop,implement,andmaintainformalpolicies,practices,andproceduresusedintheawardofsubcontractsconsistentwithDepartmentofEnergyAcquisitionRegulation(DEAR)970.5244-1.Theprimecontractor’ssystemandmethodsmustbedocumentedandconsistentlyapplied,andacceptabletoDOE.TheprimecontractoralsoisrequiredtodevelopandmanageaSelf-AssessmentProgram,andsubmittotheContractingOfficer(CO)copiesoftheirself-assessmentreportsinaccordancewithwrittendirectionandguidanceprovidedbytheCO.10-3Whohasresponsibilityforoversightofthecontractors’purchasingsystems?DEAR970.4401-1statesthattheoverallresponsibilityfortheoversightof...
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