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  • AURA PROCUREMENT POLICIES

    Version 4.1

  • AURA PROCUREMENT POLICIES Page 2 Version 4.1

    AURA PROCUREMENT POLICIES

    I. AURA PROCURMENT POLICIES ..................................................................................... 4 A. POLICY STATEMENT ............................................................................................................... 4 B. GENERAL REQUIREMENTS .................................................................................................... 4 C. PROCUREMENT STANDARDS ...................................................................................... 5

    II . DEFINITIONS OF TERMS USED IN PROCUREMENT POLICIES ...................... 8 A. PURPOSE ............................................................................................................................... 8 B. DEFINITIONS ......................................................................................................................... 8 C. APPLICABILITY .................................................................................................................. 15 D. POLICY .................................................................................................................................. 15

    III . PROCUREMENT PERSONNEL AUTHORITY AND RESPONSIBILITIIES ... 16 A. PURPOSE ............................................................................................................................. 16 B. GENERAL ................................................................................................................................ 16 C. APPLICABILITY .................................................................................................................. 16 D. POLICY .................................................................................................................................. 16 E. AURA CENTERS PROCUREMENT AUTHORITY AND RESPONSIBILITES 16

    IV . GENERAL PROVISIONS FOR PURCHASE REQUISITIONS ........................... 19 A. PURPOSE ............................................................................................................................. 19 B. GENERAL ............................................................................................................................. 19 C. APPLICABILITY .................................................................................................................. 19 D. PURCHASE REQUISITION AND ORDER PROCEDURES ................................. 19

    V . BLANKET PURCHASE ORDERS ................................................................................ 22 A. POLICY .................................................................................................................................. 22 B. GENERAL ............................................................................................................................. 22 C. PROCEDURES FOR PROCESSING BLANKET PURCHASE ORDERS ......... 22 D. APPLICABILITY ................................................................................................................. 23

    VI . SOURCE SELECTION POLICIES AND PROCEDURES .................................... 24 A. PURPOSE ............................................................................................................................. 24 B. GENERAL ............................................................................................................................. 24 C. APPLICABILITY .................................................................................................................. 25 D. POLICY FOR SOURCE SELECTION .......................................................................... 25 E. FORMAL SOURCE SELECTION PROCEDURES ................................................... 39

  • AURA PROCUREMENT POLICIES Page 3 Version 4.1

    VII . DOCUMENTATION OF PROCUREMENT FILES/CHECKLISTS .................... 46 A. PURPOSE ............................................................................................................................. 46 B. GENERAL ............................................................................................................................. 46 C. APPLICABILITY .................................................................................................................. 46 D. POLICY .................................................................................................................................. 46

    VIII . CHANGE ORDERS/AMENDMENTS .......................................................................... 47 A. PURPOSE ............................................................................................................................. 47 B. GENERAL ............................................................................................................................. 47 C. APPLICABILITY .................................................................................................................. 47 D. POLICY .................................................................................................................................. 47 E. PROCEDURE ....................................................................................................................... 48

    IX . SUBCONTRACT/SUB-AWARD ADMINISTRATION/MANAGEMENT ........... 49 A. PURPOSE ............................................................................................................................. 49 B. GENERAL ............................................................................................................................. 49 C. APPLICABILITY .................................................................................................................. 49 D. POLICY .................................................................................................................................. 49 E. PROCEDURE ....................................................................................................................... 49

    X . SUB-RECIPIENT MONITORING .................................................................................. 52 A. PURPOSE ............................................................................................................................. 52 B. GENERAL ................................................................................................................................ 52 C. POLICY ................................................................................................................................... 52

    XI . RETENTION OF RECORDS ......................................................................................... 58 A. PURPOSE ............................................................................................................................. 58 B. GENERAL ............................................................................................................................. 58 C. APPLICABILITY .................................................................................................................. 58 D. POLICY .................................................................................................................................. 59 E. ATTACHMENT A—RECORDS RETENTION POLICY ........................................... 59

    XII . PROFESSIONAL CONDUCT AND BUSINESS ETHICS FOR PROCUREMENTS ...................................................................................................................... 61

    A. PURPOSE ............................................................................................................................. 61 B. GENERAL ............................................................................................................................. 61 C. APPLICABILITY .................................................................................................................. 61 D. PROCEDURE ...................................................................................................................... 61

  • AURA PROCUREMENT POLICIES Page 4 Version 4.1

    I. AURA PROCURMENT POLICIES

    A. POLICY STATEMENT These AURA Procurement Policies apply to all AURA procurement activities. Procurement activities for the AURA Centers funded by the NSF are performed by the procurement department of AURA Central Administrative Services (CAS). The procurement activities for the Space Telescope Science Institute (STScI) are performed by the procurement department of STScI. AURA’s policy shall be to follow policies and procedures for the procurement of goods and services as required by the applicable Code of Federal Regulations (CFR), Federal Acquisition Regulations (FAR), the Uniform Commercial Code (UCC), and other federal agency terms and conditions including, but not limited to, the NSF Grant Conditions (GC-1), NSF Cooperative Agreement Financial & Administrative Terms and Conditions (CA-FATCs) and other applicable cooperative agreement requirements, NASA Federal Acquisition Regulations (NFARS), applicable foreign law when necessary due to project location, and standard acceptable business practices in the issuance of purchase orders sub-awards and contracts. The purpose of these procurement procedures is to promote the goals of the AURA Centers by: (1) maximizing value received in procurements; (2) ensuring compliance with government conditions; and (3) promoting efficiency in procurements by standardizing processes as much as practicable. Accordingly, the following policies and procedures set forth in the AURA Procurement Polici

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