第四章 美國資訊服務採購法令及爭議處理案例
第一節 美國資訊服務採購法令
美國聯邦採購規則(Federal Acquisition Regulation,下稱 FAR)對於 資訊採購(Acquisition of Information Technology)有專章規範，分五大 項，重點如下：
(1) In acquiring information technology, agencies shall identify their requirements pursuant to—
(i) OMB Circular A-130, including consideration of security of resources, protection of privacy, national security and emergency preparedness, accommodations for individuals with disabilities, and energy efficiency;
(ii) Electronic Product Environmental Assessment Tool (EPEAT®) standards (see 23.704);
(iii) Policies to enable power management, double-sided printing, and other energy-efficient or environmentally preferable features on all agency electronic products; and
(iv) Best management practices for energy-efficient management of servers and Federal data centers.
(2) When developing an acquisition strategy, contracting officers should consider the rapidly changing nature of information technology through market research (see Part 10) and the application of
technology refreshment techniques.
(b) Agencies must follow OMB Circular A-127, Financial Management Systems, when acquiring financial management systems. Agencies may acquire only core financial management software certified by the Joint Financial Management Improvement Program.
(c) In acquiring information technology, agencies shall include the appropriate information technology security policies and requirements, including use of common security configurations available from the National Institute of Standards and Technology’s website at http://checklists.nist.gov. Agency
contracting officers should consult with the requiring official to ensure the appropriate standards are incorporated.
(d) When acquiring information technology using Internet Protocol, agencies must include the appropriate Internet Protocol compliance requirements in accordance with 11.002(g).
‧
理局(Office of Management and Budget, 簡稱 OMB)A-127 號通知。機構只能獲得由聯合財務管理改進計畫認證的核心財務管理軟體。
293 See NIST website http://checklists.nist.gov.
294 FAR 39.102 -- Management of Risk.
(a) Prior to entering into a contract for information technology, an agency should analyze risks, benefits, and costs. (See Part 7 for additional information regarding requirements definition.) Reasonable risk taking is appropriate as long as risks are controlled and mitigated. Contracting and program office officials are jointly responsible for assessing, monitoring and controlling risk when selecting projects for investment and during program implementation.
(b) Types of risk may include schedule risk, risk of technical obsolescence, cost risk, risk implicit in a particular contract type, technical feasibility, dependencies between a new project and other projects or systems, the number of simultaneous high risk projects to be monitored, funding availability, and program management risk.
(c) Appropriate techniques should be applied to manage and mitigate risk during the acquisition of information technology. Techniques include, but are not limited to: prudent project management;
use of modular contracting; thorough acquisition planning tied to budget planning by the program, finance and contracting offices; continuous collection and evaluation of risk-based assessment data;
prototyping prior to implementation; post implementation reviews to determine actual project cost, benefits and returns; and focusing on risks and returns using quantifiable measures.
‧
295 FAR39.103 -- Modular Contracting.
(a) This section implements 41 U.S.C. 2308. Modular contracting is intended to reduce program risk and to incentivize contractor performance while meeting the Governments need for timely access to rapidly changing technology. Consistent with the agency’s information technology architecture, agencies should, to the maximum extent practicable, use modular contracting to acquire major systems (see 2.101) of information technology. Agencies may also use modular contracting to acquire non-major systems of information technology.
(b) When using modular contracting, an acquisition of a system of information technology may be divided into several smaller acquisition increments that --
(1) Are easier to manage individually than would be possible in one comprehensive acquisition;
(2) Address complex information technology objectives incrementally in order to enhance the likelihood of achieving workable systems or solutions for attainment of those objectives;
(3) Provide for delivery, implementation, and testing of workable systems or solutions in discrete increments, each of which comprises a system or solution that is not dependent on any subsequent increment in order to perform its principal functions;
(4) Provide an opportunity for subsequent increments to take advantage of any evolution in technology or needs that occur during implementation and use of the earlier increments; and (5) Reduce risk of potential adverse consequences on the overall project by isolating and avoiding
custom-designed components of the system.
(c) The characteristics of an increment may vary depending upon the type of information technology being acquired and the nature of the system being developed. The following factors may be considered:
(1) To promote compatibility, the information technology acquired through modular contracting for each increment should comply with common or commercially acceptable information
technology standards when available and appropriate, and shall conform to the agency’s master information technology architecture.
(2) The performance requirements of each increment should be consistent with the performance requirements of the completed, overall system within which the information technology will function and should address interface requirements with succeeding increments.
(d) For each increment, contracting officers shall choose an appropriate contracting technique that facilitates the acquisition of subsequent increments. Pursuant to Parts 16 and 17 of the Federal Acquisition Regulations, contracting officers shall select the contract type and method appropriate to the circumstances (e.g., indefinite delivery, indefinite quantity contracts, single contract with
‧
information technology 規範296，個別模組的分包合約是降低專案風 險，並激勵承包商履行，同時滿足政府及時獲得快速變化的技術的options, successive contracts, multiple awards, task order contracts). Contract(s) shall be structured to ensure that the Government is not required to procure additional increments.
(e) To avoid obsolescence, a modular contract for information technology should, to the maximum extent practicable, be awarded within 180 days after the date on which the solicitation is issued. If award cannot be made within 180 days, agencies should consider cancellation of the solicitation in accordance with 14.209 or 15.206(e). To the maximum extent practicable, deliveries under the contract should be scheduled to occur within 18 months after issuance of the solicitation.
296 個別模組的分包合約敘述如下：
在個別模組的分包合約之下，行政機關對於一個系統的需求可被接續性、交互操作性擴充的採 購方式來滿足。每次在一般性擴充或是商業性的擴充採購都要與其他資訊技術方面可以相容。
(b)Modular Contracting Described.—
Under modular contracting, an executive agency’s need for a system is satisfied in successive acquisitions of interoperable increments. Each increment complies with common or commercially accepted standards applicable to information technology so that the increments are compatible with other increments of information technology comprising the system.
‧
如數位服務手冊(The Digital Service Playbook.)以及科技服務採購手冊 (The TechFAR Handbook)，其中並不斷根據最新科技技術發展增修內 容，以敏捷式專案管理之方式及實務作業程序，配合採購法令，提供 案例問答，以利政府各部門作為採購之重要參考。
其中在RFP 部分，在 FAR 之 15.203299中，定義如下：
297 FAR39.104 – Information Technology Services.
When acquiring information technology services, solicitations must not describe any minimum experience or educational requirement for proposed contractor personnel unless the contracting officer determines that the needs of the agency—
(a) Cannot be met without that requirement; or
(b) Require the use of other than a performance-based acquisition (see Subpart 37.6).
298 FAR39.105 -- Privacy.
The contracting officer shall insert a clause substantially the same as the clause at 52.239-1, Privacy or Security Safeguards, in solicitations and contracts for information technology which require security of information technology, and/or are for the design, development, or operation of a system of records using commercial information technology services or support services.
299 FAR15.203 Requests for proposals.
(a) Requests for proposals (RFPs) are used in negotiated acquisitions to communicate Government requirements to prospective contractors and to solicit proposals. RFPs for competitive acquisitions shall, at a minimum, describe the—
(1) Government’s requirement;
(2) Anticipated terms and conditions that will apply to the contract. The solicitation may authorize offerors to propose alternative terms and conditions. If the solicitation permits offerors to submit
‧
Types of Contracts)，詳細規範了各種契約型態，讓契約官(the contract officer)能夠視採購標的運用各種契約，包括成效式契約固 定 價 格 契 約(Fixed-Price Contract)300、 成 本 補 償 契 約 (Cost-Reimbursement Contract)301、激勵契約(Incentive Contract)302、不定期交 付契約(Indefinite-Delivery Contract)303、工時 材料(Time-and Materials
one or more additional proposals with alternative line items (see 52.204-22 or 52.212-1(e)), the evaluation approach should consider the potential impact of the alternative line items on other terms and conditions or the requirement (e.g., place of performance or payment and funding requirements) (see 15.206);
(3) Information required to be in the offeror’s proposal; and
(4) Factors and significant subfactors that will be used to evaluate the proposal and their relative importance.
300 FAR16.201 General.
(a) Fixed-price types of contracts provide for a firm price or, in appropriate cases, an adjustable price.
Fixed-price contracts providing for an adjustable price may include a ceiling price, a target price (including target cost), or both. Unless otherwise specified in the contract, the ceiling price or target price is subject to adjustment only by operation of contract clauses providing for equitable
adjustment or other revision of the contract price under stated circumstances. The contracting officer shall use firm-fixed-price or fixed-price with economic price adjustment contracts when acquiring commercial items, except as provided in 12.207(b).
(b) Time-and-materials contracts and labor-hour contracts are not fixed-price contracts.
301 FAR16.301 General.
16.301-1 Description.
Cost-reimbursement types of contracts provide for payment of allowable incurred costs, to the extent prescribed in the contract. These contracts establish an estimate of total cost for the purpose of obligating funds and establishing a ceiling that the contractor may not exceed (except at its own risk) without the approval of the contracting officer.
302 FAR16.401 General.
(a) Incentive contracts as described in this subpart are appropriate when a firm-fixed-price contract is not appropriate and the required supplies or services can be acquired at lower costs and, in certain instances, with improved delivery or technical performance, by relating the amount of profit or fee payable under the contract to the contractor’s performance. Incentive contracts are designed to obtain specific acquisition objectives by—
(1) Establishing reasonable and attainable targets that are clearly communicated to the contractor;
and
(2) Including appropriate incentive arrangements designed to—
(i) motivate contractor efforts that might not otherwise be emphasized; and (ii) discourage contractor inefficiency and waste.
303 FAR16.501-2 General.
(a) There are three types of indefinite-delivery contracts: definite-quantity contracts, requirements contracts, and indefinite-quantity contracts. The appropriate type of indefinite-delivery contract may be used to acquire supplies and/or services when the exact times and/or exact quantities of future deliveries are not known at the time of contract award. Pursuant to 10 U.S.C. 2304d and 41 U.S.C.
4101, requirements contracts and indefinite-quantity contracts are also known as delivery-order contracts or task-order contracts.
‧ 國
立 政 治 大 學
‧
N a tio na
l C h engchi U ni ve rs it y
131
Contract)304，勞力 時數(Labor-Hour)305以及條款完備的書面契約 (Letter Contract)306。契約官必須以聯邦採購規則第 15 章規定之統一 格式來訂定契約307，如表4-1 所示。其彈性多樣化的契約型態，有利 於與民間企業進行各種合作。
304 FAR16.601 Time-and-materials contracts.
(b) Description. A time-and-materials contract provides for acquiring supplies or services on the basis of—
(1) Direct labor hours at specified fixed hourly rates that include wages, overhead, general and administrative expenses, and profit; and
(2) Actual cost for materials (except as provided for in 31.205-26(e) and (f)).
305 FAR16.602 Labor-hour contracts.
Description. A labor-hour contract is a variation of the time-and-materials contract, differing only in that materials are not supplied by the contractor. See 12.207(b), 16.601(c), and 16.601(d) for
application and limitations, for time-and-materials contracts that also apply to labor-hour contracts. See 12.207(b) for the use of labor-hour contracts for certain commercial services.
306 FAR 16.603 Letter contracts.
16.603-1 Description.
A letter contract is a written preliminary contractual instrument that authorizes the contractor to begin immediately manufacturing supplies or performing services.
307 FAR 15.204 Uniform contract format.
(a) Contracting officers shall prepare solicitations and resulting contracts using the uniform contract format outlined in Table 15-1 of this subsection.
(b) Solicitations using the uniform contract format shall include Parts I, II, III, and IV (see 15.204-2 through 15.204-5). Upon award, contracting officers shall not physically include Part IV in the resulting contract, but shall retain it in the contract file. (See 4.1201(c).) The representations and certifications are incorporated by reference in the contract by using 52.204-19 (see 4.1202(b)) or for acquisitions of commercial items see 52.212-4(v).
‧ 國
立 政 治 大 學
‧
N a tio na
l C h engchi U ni ve rs it y
132
表 4-1 Uniform Contract Format 資料來源：FAR 15.204
第三項 爭議處理
美國聯邦採購制度關於爭議處理機制，可分為異議申訴及替代性 紛爭解決機制（Alternative Dispute Resolution, ADR，以下簡稱 ADR）。 簡述如下：
一、異議申訴
異議係指任何利害關係人對於招標機關採購招標文件、招、決標 或撤銷等事項，認為招標機關處理過程不符法令規定，並以書面方式 提出者，利害關係人可向招標機關或美國審計總署（Government
‧ 國
立 政 治 大 學
‧
N a tio na
l C h engchi U ni ve rs it y
133
Accountability Office, GAO，以下簡稱 GAO）提出異議。招標機關於 招標公告時應告知投標廠商，於符合機關程序，異議者可請求其異議 案件，由高於採購官一層級人員獨立審查。機關的程序和/或招標文件 應告知投標廠商，此獨立審查機制係對採購案之異議即可採用，或是 對採購官異議案所做之裁定，而提出申訴方屬有效。招標機關需指定 相關官員進行獨立審查，但此官員必須非採購官體系的人員，且進行 申訴審查，不會延長 GAO 處理異議案之時限。異議者後續向 GAO 提 出異議，應於知道機關提出對其不利之意見後 10 日提出。招標機關 應盡最大努力，於異議案成立後 35 日內解決異議案件，如經法律及 法規允許可延長處理時限，針對異議案件處理決定，應具充分理由，
詳敘招標機關立場308。
異議者向GAO 提出異議，異議者未能於 1 日之內提供異議資料 者，GAO 可不接受其異議。經 GAO 立案後，應於 1 日內提供一份完 整的異議資料予招標文件所規定之機關與地點，如招標文件未規定，
則提供予採購官。招標機關於接獲GAO 電話通知異議案已立案後，
採購官應立即準備相關資料，並於 30 日內提交一份完整報告予審計 總署(若 GAO 表示將採用快速方案進行審查，招標機關應於 20 日內 提交一份完整報告)。如招標機關仍決定決標，或繼續履行合約，採購 官應將書面調查結果或其他相關文件，列入本案文件中，且應將其決 定以書面通知異議者和其他利害關係人。GAO 可依招標機關、異議 者及或其他利害關係人之請求舉行聽證會，聽證會通常會錄音或翻譯 記錄，當事人獲得相關的副本資料，並可於聽證會後5 日內提出相關 意見。GAO 於接獲異議案立案後 100 日內應提出建議方案(如採速件 方式處理則於 65 日內提出)。招標機關於接獲 GAO 建議意見 60 日
308 許俊澤，美國聯邦政府採購制度之研究，審計部出國報告，頁 44-46，2013 年 12 月。
‧ 國
立 政 治 大 學
‧
N a tio na
l C h engchi U ni ve rs it y
134
內，對於招標文件內容或決標等事項無法依GAO 建議修正，首長應 於 60 日屆滿後 5 天內向 GAO 提出報告，該報告應說明不遵循建議 意見之理由，但不包括費用。經 GAO 確認招標文件內容、決標或建 議決標方式不符合法律或規定，GAO 可建議招標機關支付異議者適 當的費用，包括合理的律師、顧問和專家證人費用及備標之相關費用，
但不包括利潤。招標機關應使用採購案可用之資金用支付相關費用309。 二、替代性紛爭解決機制(Alternative Dispute Resolution, ADR，以下
但不包括利潤。招標機關應使用採購案可用之資金用支付相關費用309。 二、替代性紛爭解決機制(Alternative Dispute Resolution, ADR，以下