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HP LaserJet 5,,,,0(9 Z6Times New Roman Regular XuE3  \3" U64Hyperlink    (P(3T$ а!..           0  (#$  0  1456789:y*3MQUY]aeiBullets List(O$-;(;3$2#  0  .3  0  3#37=CIQYag1.a.i.(1)(a)(i)1)a)2i)(O;$0  2#  a  .3  0` (#(#(b$0  0` (#(#2#   .3  0 ` (#` (#(xir$0  0` (#(#0 ` (#` (#2#(  0  )3  0 (# (#($0  0` (#(#0 ` (#` (#0 (# (#2#(  a  )3  0h(#(#(F$0  0` (#(#0 ` (#` (#0 (# (#0h(#(#2#(   )3  0h(#h(#($0  0` (#(#0 ` (#` (#0 (# (#0h(#(#0h(#h(#2#  0  )3  0(#(#({$0  0` (#(#0 ` (#` (#0 (# (#0h(#(#0h(#h(#0(#(#2#  a  )3  0p(#(#(F$0  0` (#(#0 ` (#` (#0 (# (#0h(#(#0h(#h(#0(#(#0p(#(#2#     )3  0p(#p(# 1456789:xAGaeimquy}Bullet ListBullets List<;TABLE B`NTABLE ATABLE KTABLE Bhttp://www.arnet.gov/farhttp://www.ftahelpline.com/http://www.fta.dot.govhttp://www.fta.dot.gov/library/admin/psrg/cover.htmlPTABLE CTABLE D1*D+D (_25   ," <DL,23  ..," <DL,   (mK Z(Times New Roman (P3$ а!..       $`TABLE L*5+5 (_24  ) <DL)23  ..) <DL)  (TABLE ETABLE F dTABLE G}TABLE M<:Default ParaTABLE A\  `&Times New RomanLTABLE H<:footnote ref(P3$ а!..       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L  *>> (_17  2( 4 <DL223  Ԁ2( 4 <DL2  *DD (_16   ," <DL,23  Ԁ," <DL,   *55 (_15  ) <DL)23  Ԁ) <DL)  ӁLevel 1Level 2Level 3Level 4Level 5*22 (_14 ` &<<DL&23  Ԁ&<<DL& ` *// (_13  #DL#23  Ԁ#DL#  *,, (_12   DL 23  Ԁ DL  *)) (_11 h DDL23  ԀDDL h *&& (_10  L23  ԀL  (## &_9   L23  Ԁ L  (>> &_8  2( 4 <DL223  2( 4 <DL2  (DD &_7   ," <DL,23  ," <DL,   (55 &_6  ) <DL)23  ) <DL)  H(22 &_5 ` &<<DL&23  &<<DL& ` (// &_4  #DL#23  #DL#  (,, &_3   DL 23   DL  lTABLE E()) &_2 h DDL23  DDL h !%    `  1.3.3.9  TransitOrientedJointDevelopmentProjects(7/02) A)$"&    `  1.3.3.100  DispositionofSurplus(10/)'* #'##   0 `  1.3.3.110` #` #OperatingAssistance,PreventiveMaintenance,_CMAQ_ +#(##   0 ` 0 ` #` #0 # #and_JARC_ԀProjects(11/03)+$)##    `  1.3.3.12  ECommerce(6/03) ,%* + X,XX +  .', _ 1.1ASSISTANCE,GUIDANCEANDREQUIREMENTS   ThetopicsaddressedbythisManualaredevelopedaccordingtoastandardizedformat,which  consistsofthreeparts:(1)Requirements,(2)Discussionand(3)BestPractices.   *BYCddd Xdd Xdd X##, dd +   ~ ~  REQUIREMENT    Wherearequirementexistsinthethirdpartyprocurementregulationswhichgranteesmust y \ follow,atableentitledREQUIREMENTwillsetforththepertinentsectionsoftheFTA _B Circulars,theMasterAgreement(MA),theCodeofFederalRegulations(CFR's)oranFTA E(  DearColleagueLetter.Whenthereisamandatoryrequirementitwillbeclearlysetforthas +  such.     DISCUSSION    Followingthestatementoftherequirement,orifthereisnorequirementassuch,therewill   beadiscussionsectiongivingsomedefinitionandguidanceconcerningthemeaningor  purposeofthetopicbeingpresented.  BestPractices qT  InthosesituationswheretheFederalorgranteepracticeshaveproventobeeffective,theManual =  willpresentthesebestpracticesfortheassistanceandguidanceofthegrantee.Theprocedures # andpracticespresentedarenotmandatoryunlesssoidentified.Thesebestpracticesaremeantto   beinformativeandhelpfultothegranteecommunity.Theyareofferedfortheguidanceand  assistanceofthegrantee,butitisalsorecognizedthatagranteemayhaveauniquesituationthat  precludesitfromadoptingtheproceduresofanothergranteeinacertainarea.   1.1.1  FTACircular4220.1E   j ThisCircularsetsforththerequirementsagranteemustadheretointhesolicitation,awardand S"6 administrationofitsthirdpartycontracts.TheCircularcontains54mandatoryprocurement 9# standardsthatgranteesmustmeetintheirprocurementoperations.These54standardsareset $ forthinAppendixB.19MandatoryProcurementStandardsWorksheet.The"Worksheet" %  providescrossreferencestospecificparagraphsintheCircularwherethestandardsmaybe %! found,andacolumnforgranteestocrossreferencethestandardstotheirownpoliciesand &" procedures.Granteesareencouragedtoreviewtheirwrittenprocurementpoliciestoensurethat ' # theycovereachofthe54mandatorystandards. (!$ TherequirementsoftheCirculararebasedonthecommongrantrulesfoundat49CFRPart18 i*L#& (StateandLocalGovernments)and49CFRPart19(InstitutionsofHigherEducation,Hospitals, O+2$' andOtherNonProfitOrganizations),andtheFederalTransitLaws.TheBestPractices 5,%( ProcurementManualwillstatetherequirementsofthisCircularwherevertheypertaintoatopic -%) beingcoveredbytheManual.SincethisCircularisupdatedperiodically,granteesmustensure .&* thattheyconsultthelatesteditionoftheCircular. .'+  /(, _ThisCircularreplaces4220.1Ddated41596andChange1,dated8498.TheCircular  incorporatespolicyupdatescontainedinseveralDearColleaguelettersissuedsince1996.   AnnotatedCircular󀄀FTAhasalsopublishedanannotatedversionofthisCircularwith   interpretivecomments.Thesecommentsweredevelopedtohelpavoidincorrectinterpretationsof   theCircularthathaveevolvedovertime.ThecommentsexplainwhatFTAbelievesthelawand  ~ regulationsconveyedthroughtheCircularactuallyrequireofitsgrantees.Asapplicablelaws,  d regulationsandcontractingpracticesevolve,FTAwillusetheannotatedCirculartoconveyits g J viewstoFTAgranteesandthetransitindustryasawhole.Aschangesaremadeinthecomments, M0 adatewillbeinsertedwiththechangetonotifythereaderofwhenthechangewasmade.The 3  AnnotatedCircularisavailableonlineat:# XXXOXm#<( 4 <DLX<_XXX Xwww.fta.dot.gov/ftahelpline/fta_c4220_1E.doc.   # XXX_X[$#OXXX X 1.1.2  FTAWaiversandApprovals    GranteesarerequiredtoprocesstheirrequestsforwaiversandapprovalsrequiredbyCircular   4220.1EthroughtheirregionalFTAoffices.TheregionalFTAofficeswillinstructgranteesas z  totherequiredcontentandformatoftheserequests.TheFTAAdministratorhasestablishedthe }` FTAsignatorylevelsforgrantingwaivers,andfortheapprovalofactionswhichrequireFTA cF approvalintheCircular,asfollows: I,   AuthoritytograntwaiversAdministrator    AuthoritytograntapprovalsAssociateAdministratorforAdministration  Waiverspertaintothosethirdpartycontractactionswhichagranteeisnotauthorizedtotake  undertheCircular,butforwhichFTAhasauthoritytomakeexceptions. v Approval/disapprovalcoversthirdpartycontractactionswhichagranteeisauthorizedtotake _B undertheCircularonlyafterreceivingFTAapproval.Anexamplewouldbetheuseofadvance E ( paymentsforanindividualprocurement. +!  1.1.3  MasterAgreement  " TheFTAMasterAgreementcontainsstandardtermsandconditionsgoverningtheadministration $! ofaProjectsupportedwithFederalassistanceawardedbytheFTAthroughaGrantAgreement %" orCooperativeAgreementwiththeRecipient.TheFTAMasterAgreementisupdatedannually &r# atthestartofeachfiscalyear(October1)andpublishedontheFTAwebsite. ,#  1      TheMaster u'X $ AgreementcontainsprocurementrequirementsthatmaybereferencedintheBestPractices [(>!% ProcurementManual. A)$"&    +#( 1.1.4  FederalAcquisitionRegulation(FAR)   ThisManualwillfrequentlycontainreferencestotheFAR.Thesereferencesare,withone  exception,alwaysforinformationpurposesandarenotintendedtosuggestthatgranteesmust   followtheFAR. ,#  2      NeithergranteesnortheircontractorsarerequiredtofollowtheFAR.The   FARcitationsaregiveninordertoinformgranteeshowtheFederalgovernmenttreatsa  ~ particularissuebuttheFederalpracticesarenotbindingongrantees.  d TheFederalAcquisitionRegulationisavailableatthefollowinginternetaddress: M0 4D/O  5  http://www.arnet.gov/far6V0/Oj0   7x 0. 3   1.1.5  FTADearColleagueLetters    TheFTAAdministratorperiodicallyissuesDearColleagueLetterstotheFTAgrantee   community.WhentheselettersaffectgranteeprocurementoperationsbyimposingnewFTA   requirementsorclarifyingearlierFTApolicystatements,theManualwillbeupdatedtoreflect z  thenewDearColleagueLetter.ThoseLettersthataffectgranteeprocurementoperationsare }` containedinAppendixA.2oftheManual. cF  1.1.6  LocatingFTADocuments  h      p      / TheFTAHelpLinewebsite(see1.1.8below)containsalinktoimportantFTAdocuments,such  asCirculars,DearColleagueLetters,etc.YoumayaccessthesedocumentsbyusingtheOnline  Tools&ResourcestabatthefollowingInternetaddress:4rc/O  5  www.fta.dot.gov/ftahelpline/index.htm615/OE5ar.  7rc"s5.4E$#/O  5  65/O6   7$#?6Ԁ  YoumayalsoaccessFTAdocumentsattheFTAwebsiteaddress:4F/O  5  http://www.fta.dot.gov66/O 7   7 97Ԁunder  the granteepagetab. v  1.1.7  FTAProcurementSystemReviews(PSRs)  _B FTAconductsperiodicreviewsofitsgranteesprocurementsystems.Thesereviewsare +! conductedinaccordancewiththeGuideforProcurementSystemReviewswhichFTAhas " developedinordertoevaluatethegranteescompliancewiththerequirementsofFTACircular " 4220.1E.GranteesnowhaveaccesstothisGuideandcaneffectivelyevaluatetheirown #  procurementsystemscompliancewith4220.1EusingtheGuide.SectionIII.2oftheGuide $! containschecklistsforeachtypeofcontracttobereviewedaswellasfortheprocurementsystem %" wideelementsthatFTAalsoevaluates.TheGuideisnowavailableontheInternetatthe &r# followingFTAwebsiteaddress:O'XOXwww.fta.dot.gov/grant_programs/fta_oversight/4022_8480_ENG_HTML.htm4G"/O  5  6;/O<   7"5<. u'X $ #OXXO';#   A)$"& BestPractices   AuditFollow-UpandTrackingSystem-Granteesshouldconsideradoptingatrackingsystemfor  followinguponthefindingsgeneratedbyFTAProcurementSystemReviews(PSRs),FTA   TriennialReviews,andotherpublicauditsorinternalauditsconductedbytheagency'sown   managementstaff.TheLosAngelesCountyMetropolitanTransportationAgency(LACMTA)  ~ hasdevelopedanin-house,MSAccess-baseddatabasetomanageauditfindingsandtrack  d correctiveactionstoensuretheyareimplementedasproposed.Thistrackingsystem-the g J FindingsandRecommendationsManagementSystem(FARMS)-isacentralrepositoryforall M0 audits,findings,recommendations,auditresponses,proposedcorrectiveactions,andaudit 3  follow-upandclose-outinformation.Informationcanbesortedinavarietyofwayssuchasby   executivearea,auditsource,findings,dates,orrecommendationstatus(e.g.,open,closed).   Ticklerreportsareroutinelyroutedtoinformappropriatepartiesofapproachingormissed   deadlinesandquarterlyreportsofimplementedactionsareroutedtomanagement.Thissystem   enablestheagencytotrackwhoproposedtodowhatbywhen.Thesystemisespeciallyvaluable   whenagencymanagementchanges(usuallywithvotingcycles)andincomingmanagersneedto z  bemadeawareofcommitmentsmadebytheirpredecessors.LACMTAhasseenanumberof }` benefitsfromtheirtrackingsystem: cF "13"  r'rXXX'13C2A3  0    Minimizeslikelihoodofrecurringfindingsthatcanleadtofines,scheduledelays,fraud, / waste,orabuse.13C?D݌## Ќ   <1456789:;(Axy<1456789:;"13"  13E2A3  0    AssuresManagementcorrectiveactionhasbeentaken.13EE݌## Ќ  "13"  13F2A3  0    Maximizesauditvaluebytrackingeachfindingandrecommendationthroughresolution.  13FF݌ ## Ќ  "13"  13G2A3  0    AutomaticallycompilesLessonsLearnedandBestPracticesandgreatlyenhances y\ reportingoptions.13GG݌_B## Ќ   <1456789:;(Axx<1456789:;HEr D+ XrXXD+LACMTAhasagreedtomaketheirsystemavailabletoanyagencythatwishestoimplementan +! auditfollow-upandtrackingsystemcapability.  ,#  3       "  1.1.8  FTAHelpline  #  FTAhasinitiatedaThirdPartyProcurementHelpLinetoprovideameansforFTAcustomersto %" getanswerstotheirprocurementquestions.Thegoalistoanswerquestionswithin48hoursof &r# receivingthem.ThewebsitealsocontainsatopicalindextoFrequentlyAskedQuestionsand u'X $ helpfullinkstoimportantFTAdocuments,theFAR,theBPPM,etc.TheInternetaddressis: [(>!% 4st/O  5  www.fta.dot.gov/ftahelpline/index.htm.6L/OL  7stM A)$"&     +#( 1.1.9  ProcurementSystemSelfAssessmentGuide   FTAhasdevelopedaProcurementSystemSelfAssessmentGuideforgrantees.ThisGuideis  providedforassessingthoseparticularareasofprocurementthathavehistoricallybeenthemost   problematic,asdeterminedbyoversightreviewsoftransitagencyprocurementsystems(the   ProcurementSystemReviewsconductedbyFTA).TheGuidediscussesthetoptenareasof  ~ deficiencyconsistentlyfoundduringtheProcurementSystemReviews.ThisGuidemaybe  d accessedonlineat:4 /O  5  www.fta.dot.gov/ftahelpline/Cover_SelfAssessment_Guide.htm6P/OPf  7 P. g J   1.2IDENTIFYINGACONTRACT  3  AsdefinedbytheFederalAcquisitionRegulation,a"contract"meansamutuallybindinglegal   relationshipobligatingthesellertofurnishthesuppliesorservices(includingconstruction)and   thebuyertopayforthem.Contractswouldincludebilateralinstruments,awardsandnoticesof   awards;jobordersortaskassignmentlettersissuedunderbasicorderingagreements;letter   contracts;orders,suchaspurchaseorders,underwhichthecontractbecomeseffectivebywritten z  acceptanceorperformance;andbilateralcontractmodifications.Contractsdonotincludegrants }` andcooperativeagreements. ,#  4       cF Thepartiestoacontractmustpossessthelegalcapacitytoenterintothecontract,andtheymust / assenttothetermsofthecontract.Thetermsoftheagreementmustnotrequiretheperformance  ofanillegalactbytheparties.Contractsmaybeeitheroralorwritteninform.Thesubject  matterofacontractdetermineswhichprimarylawapplies.Generally,CommonLawrulesapply  forcontracts.However,theUniformCommercialCode(UCC)Article2applieswhenthe  contractisforthesaleofgoods.   1.2.1Offer,Acceptance,Consideration  y\ Offer,acceptanceandconsiderationarethreeessentialelementsofacontract. E ( Offer󀄀Theoffertoenterintoacontractcanbemadebyeitherpartytothecontract.Inthird " partycontracting,theofferisnormallymadebythecontractor.Thegranteeissuessolicitations " forofferseitherbyanInvitationforBid(IFB)oraRequestforProposal(RFP).Theofferis #  madewhenthecontractorsubmitsasignedbidorproposalinresponsetothegrantee's $! solicitation.Insmallpurchases,however,therolesarereversed.Thegranteeissuesapurchase %" order,whichisanoffer,tobuysuppliesorservicesataspecifiedprice(usuallyobtainedbya &r# RequestforQuotationthatthegranteehasissuedearlier). u'X $ Thepartytowhomtheofferismade,theofferee,mayaccepttheofferuntilitisterminatedby A)$"& theofferor.Terminationofanoffercanoccurinoneofmanydifferentways: '* #' *,XX XX*   +#( "13"  94 X,XX X913p\2A3  0 4   Expiration.Theofferisnotacceptedwithinthespecifiedtimeperiodorwithina  reasonabletime,ifnotimeperiodisstated.Theoffereemayagreetoextenditsoffer  beyondthespecifiedtimeperiodwithoutanychangesorqualifyingtermstoitsoffer.13p\\݌4#4# Ќ  "13"  13^2A3  0 4   Revocation.Theofferormaywithdrawtheoffer.Thewithdrawaliseffectivewhen   receivedbytheofferee.Generally,therevocationmayoccuratanytimepriorto  ~ acceptancebytheofferee.13^^݌ d4#4# Ќ   <1456789:;(Ayx<1456789:;"13"  13`2A3  0 4   Rejection.Theoffereemayrejecttheoffer,andtherejectioniseffectivewhen M0 receivedbytheofferor.13``݌3 4#4# Ќ   <1456789:;(Axy<1456789:;G` <1456789:;(Ayx<1456789:;"13"  13c2A3  0 4   Counteroffer.Theoffereeproposesnewterms,notaninquiryregardingthe   possibilityofnewterms.Theofferee'scounteroffertotheofferoriseffectivewhen   receivedbytheofferor.13c0c݌ 4#4# Ќ   <1456789:;(Axy<1456789:;b <1456789:;(Ayx<1456789:;"13"  13e2A3  0 4   Death.Theofferisterminatedwheneithertheofferororoffereedies.However,the z  offerpassestothepersonalrepresentativeoftheofferee'sestateinanoptioncontract.13ee݌}`4#4# Ќ   <1456789:;(Axy<1456789:;$e <1456789:;(Ayx<1456789:;"13"  13'h2A3  0 4   Illegality.Theofferisvoidifthesubjectmatterisillegal.13'hTh݌I,4#4# Ќ   <1456789:;(Axy<1456789:;g <1456789:;(Ayx<1456789:;"13"  13$j2A3  0 4   Destruction.Theofferisterminatedifthesubjectmatterisdestroyed.13$jQj݌4#4# Ќ   <1456789:;(Axy<1456789:;iAcceptance󀄀Theoffermustbeacceptedunequivocally.Theoffereemustaccepttheoffer  withoutchangingorqualifyingthetermsoftheoffer.Ifthetermsarechanged,theofferis  rejectedandacounterofferismade.Thisterminatestheoriginaloffer.  Theoffermaybeacceptedbyanyreasonablemeansofcommunication(i.e.,fax,telephone,etc.) y\ unlesstheofferorindicatesaspecificmethodofacceptance.Asageneralrule,theacceptanceis _B effectivewhenmailedbytheofferee,exceptwheretheofferorspecifiestheacceptancemustbe E ( receivedbyaspecificdateandtime. +! Granteeprocurementsinvolvetwoprocessesforacceptanceofoffers.Whenthegranteehas " issuedanIFBorRFP,acceptanceoccurswhenthegranteeassentstothetermsmadebythe #  bidderorofferorinitsbidorproposal.Thegranteeacceptstheofferbysigningthecontractand $! issuingtheofferoranoticeofaward.Forsmallpurchasesthecontractoracceptstheoffermade %" bythegranteeinitspurchaseorderbyeithersigningtheorder(contract),ifsorequiredbythe &r# purchaseorder,orbyactuallyperforminginaccordancewiththetermsofthepurchaseorder. u'X $ Consideration󀄀Eachpartymustgiveconsiderationforanagreementtobeacontract. A)$"& Considerationexistswhensomethingofvalueisgivenupinabargainedforexchange.The '* #' followingmustexist:  +#(  <1456789:;(Ayx<1456789:;"13"  13r2A3  0 4   Legalbenefit.Someonereceivessomethingtheyhadnopriorlegalrighttoreceive.13rs݌,%*4#4# Ќ   <1456789:;(Axy<1456789:;[r  -&+  <1456789:;(Ayx<1456789:;"13"  13u2A3  0 4   Legaldetriment.Someonegivesupsomethingtheydidnothavetorelinquish.This  detrimentdoesnothavetoinvolveatangibledetriment,onlyalegaldetriment.13u!% Subrecipient󀄀AnyentitythatreceivesFederalassistanceawardedbyanFTArecipientrather  thanfromFTAdirectly.Theterm"subrecipient"alsoincludestheterm"subgrantee,"butdoes  notinclude"thirdpartycontractor"or"thirdpartysubcontractor." ,#  7         DISCUSSION   Itisimportanttodeterminewhetheryouragencyisarecipientorsubrecipientsoasto  d determinewhatthirdpartycontractingrulesundertheCircularand49CFRParts18and g J 19(the"commongrant"rules)areapplicabletoyourprocurements. M0 WhatThirdPartyContractingRequirementsUnder49CFRParts18and19andFTA   Circular4220.1EareApplicabletoRecipientsandSubrecipients?   Section15oftheMasterAgreementcontainstherequirementstocomplywithapplicable   procurementstandardsof49CFRPart18.36(state,local,andtribalgovernments)or49   CFRPart19.40through19.48andAppendixA(hospitals,nonprofits,andinstitutionsof z  higherlearning).Forpurposesofthisdiscussion,itisimportanttorecallthat"recipient" }` includes"grantee,"and"subrecipient"includes"subgrantee"otherthanthirdparty cF contractorsandsubcontractors. I, Paragraph4oftheFTACircular4220.1Eoutlinesfourdistinctrulesrelatingtothe  applicabilityoftheprocurementrequirementstorecipients/granteesorsubrecipients/  subgrantees:  9,X, X4 X9  0   1.  IfatransitauthorityisbothadirectrecipientofFederalfundsandasubrecipientof  aState,theStatemaypermitthetransitauthoritytofollowtherequirementsofthe v CircularinsteadofStateprocurementrequirements,althoughitisnotobligatedtodo y\ so.Ifyourtransitauthorityisinthissituation,makesurethattheprocurement _B requirementsyouareobligatedtofollowforFederallyassistedprocurementsare E ( clearlystated,preferablybyboththeStateandFTA.+!## 0  0##  2.  Whena"State"O ,#  8      procurespropertyorservicesunderagrantorcooperative " agreementwithFTA,itwillfollowthesameprocurementpoliciesandproceduresit #  usesforprocurementsusingnonFederalfunds.Statesmust,however,complywith $! therequirementsofparagraphs8.a(FullandOpenCompetition)andb(Prohibition %"## 0  0##AgainstGeographicPreferences),and9.d(ProcurementofArchitecturaland  EngineeringServices(A&E))oftheCircularandmustincludeinallpurchaseorders  andcontractsexecutedbyit,orasubgranteeusingFederalfunds,allclauses  requiredbyFederalstatutes,executiveordersandtheirimplementingregulations.   Subgranteesofa"State"(exceptasindicatedinsubparagraph(4)below)shallfollow   Statelawandprocedureswhenawardingandadministeringcontracts. ~## 0  0##  3.  ForthepurposesofthisCircular,regionaltransitauthoritiesarenotStateagencies g J orinstrumentalities.M0## 0  0##  4.  SubgranteesofStateswhichareinstitutionsofhighereducation,hospitalsorother   nonprofitorganizationsandallotherFTArecipients/granteeswilladminister   contractsinaccordancewiththerequirementsoftheCircular.Granteesand   subgranteesthatfallwithinthiscategoryshallusetheirownprocurementprocedures   thatreflectapplicableStateandlocallawsandregulationsprovidedthatthe   procurementsconformtoapplicableFederallaw. ,#  9      z ## 1.3.2FederalContractualSphere cF  *lIYJdddd BYC##l,xdd +  //  REQUIREMENT  v "...theRecipientagreestoincludeappropriateclausesineachthirdpartycontractstatingthe   thirdpartycontractor'sresponsibilityunderFederallaw,regulation,ordirective,includingany  necessaryprovisionsrequiringthethirdpartycontractortoextendapplicablerequirementsto  itssubcontractorstothelowesttiernecessary."    MasterAgreement,2.e.(2)(a). n ۬"ThisCircularappliestoallFTAgranteesandsubgranteesthatcontractwithoutsidesources W : underFTAassistanceprograms.FTAgrantrecipientswhoutilizeFTAformulafundsfor =!  operatingassistancearerequiredtofollowtherequirementsofthisCircularforalloperating #" contracts.Theserequirementsdonotapplytoprocurementsundertakeninsupportofcapital  # projectscompletelyaccomplishedwithoutFTAfundsortothoseoperatingandplanning #  contractsawardedbygranteesthatdonotreceiveFTAoperatingandplanningassistance." $!   FTACircular4220.1E,Paragraph4. &# ̯"Projectmeansactivityoractivities(taskortasks),listedintheProjectDescription,the m(P!% ApprovedProjectBudget,andanymodificationsstatedintheConditionstotheGrant S)6"& AgreementorCooperativeAgreementapplicabletotheproject." 9*#'   MasterAgreement,1.l.",$)   "P -%) Thereareseveralaspectsofyourgrantagreementwhichtogetherestablishthesphereof  procurementstowhichFederalrequirementsmayapply.Ingeneralyoumayundertakecapital  projectswhollywithoutFederalfunds,andbeconfidentthatyourgrantagreementswillnot  affectthoseprocurements.However,Federalgrantrequirementsapplytomanycontractsin   additiontothecontractsbetweenyouandyoursuppliersforwhichyouintendtodrawdown   Federalpayments.Generally,theconceptisthatsolelybecauseofthereceiptofFederalfunds  ~ byagrantee,certainclausesandfederalrequirementsarerequiredtobeincludedincontracts  d withinthecontractualsphere.Therearefourprocurementcontextstowhichtheconceptis g J important: M0 6,XX4` X,X, X6  1. 4 Thegeneral"flowdown"ofFederalrequirementsincontracts;     2.0 4 TheinclusionofallFederalrequirementsifthetransitpropertyreceivesoperating   assistance; 4#4#   3. 4 TheinclusionofallFederalrequirementsinallelementsandactivitiesiftheoverall z  0  04##   4 capitalproject(asdefinedinafullfundinggrantagreement)includesFederalfunds; }` and,   cF4#4#   4. 4 Theconceptofa"minimaloperablesegment." / Theseconceptsarehighlightedbelowsoyoucanbeawareoftheminyourcapitalproject  planningandprocurementplanningprocesses.EachFederalrequirementhasapplicability  criteriaderivingfromstatute,regulation,orpolicy.Thesphereofcontractstowhichthe  requirementsapply,iftheyareotherwiseapplicable,isaffectedbythesefourconcepts:  6,XX4 X,XX4` X6  1.0 4 FlowDown󀄀Perhapstheeasiestdeterminantofthespheretovisualizeistheconcept y\ of"flowdown."Federallyrequiredclausesandrequirements,asageneralrule,are _B requiredtobeincludedineachthirdpartycontractateverytierandineach E ( subrecipientagreementateverytier. ,#  10      Whenclausesarerequiredtoflowdown,the +! clausesandrequirementsflowdowntoalllevelsoftheFederalfundingchain " beginningwiththegrantee."4#4#   2.0 4 InclusionofFederalRequirementswhenReceivingOperatingAssistance󀄀Thesecond $! exampleofthesphereinvolvesgranteesreceivingoperatingassistance.Inthis %" instance,allgranteeprocurementsexceptforcapitalprojectsundertakenwithout &r# Federalfunds,mustincludealloftheFederalrequirementsthatwouldbeincludedif u'X $ theoperatingbudgetwerefullyFederallyfundedandmustcomplywiththeCircular.5 ,#  11       [(>!% FTAmaintainsthatonedollarofFederaloperatingassistanceconvertstheoperating A)$"&4#4#   0 4 fundsofthetransitpropertysothatallsuchfundsofthepropertythereforebecome  subjecttoFederalrequirements.Therulesonthisdimensionofthesphereareclear  ifyoureceiveoperatingassistance,therequirementsoftheCircularapply,evenifyou  donotintendtousethatassistanceinsupportofanyprocurementaction(e.g.,you   intendtoapplyalltheoperatingassistancetopaysalariesofyourdirecthirebus   operators). ~4#4#   3.0 4 InclusionofFederalRequirementsinFederallyFundedCapitalProjects󀄀FTAhas g J recentlytakenthepositionthat,whenacapitalprojectrequiresafullfundinggrant M0 agreement,3 4#4# 9,X,A X,XX4 X9    0 4 0A 4#4#...theFederal'undertaking'inaFullyFundedGrantAgreement(FFGA)will   nolongerbesegmentedintoProjectandLocalActivities.Allactivitiesrelated   toaFederalundertakingwillbeidentifiedastheFederalProject.TheFederal   fundswillbedistributedamongalltheactivitiesintheprojectatalevelfunding   ratioequaltothepercentageofFederalfinancialparticipationintheentire z  project.Thus,alltheelementsandactivitiesoftheproject,asdescribedinthe }` FFGAwillbefunded,inpart,withFederalfunds;and,therequirements cF attachedtotheuseofFederalfundswillapplytoeachsuchtask,unless I, otherwiseexemptedasprovidedintheapplicablelaws,regulationsand / policies. ,#  12      A #A #   0  04##RegardlessofhowlargeorsmallthepercentageofFederalfundingis,whereafull (# 0@(#13  fundinggrantagreementwiththeFTAisexecuted,allelementsoftheproject  identifiedintheagreementarewithinthesphereandmustbeprocuredincompliance  withFederalrequirements.v4#4# 9,XX4` X,X,A X90  04##  4. 4 MinimalOperableSegment󀄀Inthecaseofamultitaskcapitalundertaking,thesphere _B includesasegregableportionoftheundertaking,oraprojectportionthathas E ( independentfunctionalutility.Underthisconcept,FTAandyouragencyidentifya +! segmentoftheoverallundertakingthatrepresentstheminimalsegmentthatcanbe " feasiblyoperatedindependently.ImagineyouareabletoovermatchFederalfundsto " constructabadlyneedednewfuelingstationwith85%stateandlocalmoney.FTA's #  policiesmaynotapplytoeveryrelatedexpenditureofthesestateandlocalfunds,e.g., $! landscapingoranearbytirestoragestructure;however,neitherwillFTAapplyits %" policiestothemathematicallyminimumportionoftheprojectwithnoindependent &r# utility(e.g.,applyingFTApoliciestotheroof,alone);ratheryoumustdefinea u'X $ segregableprojectwithFTAtowhichtheFederalrequirementsapply,andyoumay [(>!% thenhaveadditionallatitudeintheremainingportionsundertakenwithoutFederal A)$"& funds.Thefullfundinggrantagreementwillcoverallofthenecessaryelementsto '* #' buildandoperatethesegmentastationateachendofthesegment,landtobuildthe  +#( stationson,railcarstorunonthesegment,systemstosupporttherailcars,railon +$)4#4#   0 4 whichthecarswillrun,etc.FederalrequirementsoftheCircularapplytoallofthe  individualcontractsrelatingtotheseelementsbecausetheyarepartoftheminimal  operablesegmentandwithintheFederalcontractualsphere. ,#  13      4#4#  1.3.3  TypesofContractActions    DetailsandBestPracticesformeetingtherequirementsforvarioustypesofcontractactionsthat  d aredescribedbelowcanbefoundinothersectionsofthemanual. g J  1.3.3.1Supplies,Services,EquipmentandConstruction  3  *lKYLdddd xIYJ##l,xdd +      REQUIREMENT  cF  FTACircular4220.1Edefinestherequirementsagranteemustadheretointhesolicitation,   awardandadministrationofitsthirdpartycontracts.Suchcontractswouldincludethe   procurementofsupplies,services,equipmentandconstruction.   O,,XOX r  OXX,O, 1.3.3.2  LegalandAssociatedServices   *lUYVdddd xKYL##l,xdd +    REQUIREMENT  H+ TherequirementsofFTACircular4220.1Eapplytotheprocurementoflegalandassociated  services,suchasparalegals,investigators,expertwitnesses,etc.ifFederalfundsarebeing  usedtofundthesecontracts(i.e.,ifreceivingoperatingfundsorifthelegalservicesarefunded q byacapitalgrant). tW O,,XOX Z=  OXX,O,O,,XOX #OXX,O,#DISCUSSION  Asnotedabove,therequirementsofFTACircular4220.1Eapplytotheprocurementof ! legalandassociatedservices,suchasparalegals,investigators,expertwitnesses,etc.if "x Federalfundsarebeingusedtofundthecontractsforlegalservices.FTACircular {#^ 4220.1Ewouldnotapplyifthelegalservicesarefundedentirelywithlocalfunds.The a$D  Circularrequiressuchservicestobeprocuredcompetitively,aswithothertypesof G%*! services.However,theremaybecaseswherethegranteehaspendinglitigationwhich -&" mightbejeopardizedthroughapublicdisclosurewhichwouldresultfromadvertisingthe '# procurementbeforehand.Insuchcasesthegranteemayhavevalidgroundsforlimiting ' $   (!% thecompetitiontothedegreeofnotpubliclyadvertisingtheprocurement.Insuchcasesa  waiverrequestshouldbesubmittedtotheFTA.  1.3.3.3EmploymentContracts    Thesearecontractswithindividualsthatresultinthoseindividualsbecoming employeesofthe  ~ agency.Thesearenot"thirdpartycontracts"withinthemeaningofFTACircular4220.1E,and  d thustherequirementsofthatCirculardonotapplytoemploymentcontracts.Theterm g J  employmentcontractdoesnotrefertoacontractthatretainsaconsultanttoperformtemporary M0 servicesfortheagency.Theindividualretainedontheseconsultantservicescontractsremains 3  anindependentcontractoranddoesnotbecomeanemployeeoftheagency;thusthesecontracts   arenot employmentcontracts,andtheyaresubjecttotherequirementsofFTACircular   4220.1E.    1.3.3.4RealEstateContracts    *lWYXdddd xUYV##l,xd +  }`}`  REQUIREMENT   Requirementsrelatedtotheacquisition,useanddisposalofrealpropertymaybefoundinthe [> followingregulations: A$ 6Fr,N X,XX4` X6 r   9@, XFr,N X9(a)FTACircular5010.1C,GrantManagementGuidelines,ChapterII2RealProperty.    r   ThisCirculardefinestherequirementsoftheFederalTransitLawswhicharecodified   r   at49U.S.C.Chapter53.  =Fr,N X@, X= r   (b)49CFR18.31RealProperty,and49CFRPart24,SubpartBRealProperty f!    r   Acquisition. n  r   (c)MasterAgreementMA(12),Section19. W :  =!    DISCUSSION 9# Theacquisitionofrealproperty,eitherbypurchaseorlease,isnotsubjecttothe %  requirementsofFTACircular4220.1E.Realpropertyisdefinedin49CFR18.3as land, %! includinglandimprovements,structuresandappurtenancesthereto,excludingmovable &" machineryandequipment.Theacquisitionofeasementsandrightsofwayareconsidered ' # realestateacquisitionsandtherequirementsdiscussedhereinpertaintothesetypesof (!$ acquisitions. )f"% Realpropertyacquisition,useanddisposalisalsocoveredbyFTACircular5010.1C, O+2$' ChapterII2;49CFRPart18.31;49CFRPart24SubpartB;andbytheFTAMaster 5,%( Agreement,Section19. ,#  14      Itisimportantthatthegranteebefamiliarwiththerequirements  -%) establishedbyFTAinCircular5010.1C,ChapterII2.Thiscircularestablishes  procedurestobefollowedbygranteesinthefollowingareas:  "13"  132A3  0 4   TheconductofHazardousWasteSiteAssessmentsbeforeacquiringreal   property.13݌ 4#4# Ќ  "13"  132A3  0 4   Theconductofanindependentappraisalbyacertifiedappraiser. x 13݌ d4#4# Ќ  "13"  132A3  0 4   Therequirementforareviewappraisaloftheinitialappraisal.13݌M04#4# Ќ  "13"  132A3  0 4   FTAreviewandconcurrencerequirementsrelatedtothegrantee'soffertobuy   theproperty.13݌ 4#4# Ќ  "13"  132A3  0 4   Incidentaluseofacquiredrealpropertyasameanstosupplementtransit   revenues.13 ݌ 4#4# Ќ  "13"  132A3  0 4   Dispositionofexcessrealpropertybysale,transfertootherprograms,etc.13(݌}`4#4# Ќ  "13 "  132A3  0 4   Therequirementtoprepareanexcesspropertyutilizationplanforallreal I, propertynolongerusedforitsoriginalpurpose.  13,݌/4#4# Ќ  1.3.3.5  InterGovernmentalAgreements,JointProcurements,Piggybacking/Assignments   *l.YAddd xWYX##l,dd +    REQUIREMENT  + FTACircular4220.1E,paragraph7.e.encouragesintergovernmentalprocurements:  6 XFr,N X6  e.0  IntergovernmentalProcurementAgreements.qT<#<# 0  0<#<#(1)0 <#<#Granteesareencouragedtoutilizeavailablestateandlocalintergovernmental =!  agreementsforprocurementoruseofcommongoodsandservices.When #" obtaininggoodsorservicesinthismanner,granteesmustensureallfederal  # requirements,requiredclauses,andcertifications(includingBuyAmerica)are #  properlyfollowedandincluded,whetherinthemasterintergovernmental $! contractorinthegrantee'spurchasedocument. ,#  15      %" <# <#  'j $   0  _(!$## *lYdddd .YA##l,dd +    0  0<#<#(2)0 <#<#Granteesarealsoencouragedtojointlyprocuregoodsandserviceswithother d grantees.Whenobtaininggoodsorservicesinthismanner,granteesmust gJ ensureallfederalrequirements,requiredclauses,andcertificationsare M 0 properlyfollowedandincludedintheresultingjointsolicitationandcontract 3  documents._ ,#  16      _   <# <#  0  0<#<#(3)0 <#<#Granteesmayassigncontractualrightstopurchasegoodsandservicestoother   granteesiftheoriginalcontractcontainsappropriate_assignability_Ԁprovisions.   Granteeswhoobtainthesecontractualrights(commonlyknownas   'piggybacking')mayexercisethemafterfirstdeterminingthecontractprice z  remainsfairandreasonable.  r ,#  17      #}`  <# <# #DISCUSSION y\  Piggybacking󀄀YourAgencymaybeabletotakeadvantageofexistingcontractsawarded E(  byothergovernmentalentitiesforgoodsandserviceswhichyoucurrentlyneed.This + practicehasbecomeknownas piggybacking.PiggybackingisdefinedbyFTACircular  4220.1E,paragraph6.e,asfollows:  0  X   0f## Piggybackingisanassignmentofexistingcontractrightstopurchasesupplies,  equipmentorservices.  ,#  18      f#f#   Theuseofpiggybacking,whichinvolvesassignmentofcontractsorportionsofcontracts uX fromtheoriginalpurchasingagencytoanotheragency,isdiscussedinthe_BPPM_,Section [> 6.3.3Joint_Procurements_ԀofRollingStockand Piggybacking.AppendixB.16ofthe A$ _BPPM_ԀcontainsaPiggybackingWorksheetthatwillassistagranteewishingtopiggyback '  anotheragencyscontracttoworkthroughtheFTArequirementsthatmustbemetin   orderforpiggybackingtobepermissible.  AddingFederalClausestoExistingContracts󀄀FTAspolicyregardingtheadditionof ! FederalclausestoexistingcontractsdistinguishesbetweenStateGSAtypecontractsand  " contractsawardedbyothergrantees.Forexample,intherecentlyissuedCircular4220.1E,  paragraph7.e.(1),FTAallowsgranteestomodifyStateGSAtypecontractsandaddFederally  requiredclausesandcertificationswhenthegranteeissuesthefirstpurchaseorderagainstthe  contract.However,FTAhastakenthepositionthatgranteesmaynotaddFederalclausesand   certificationstotheirowncontractsorthoseofothergranteesinordertopurchaseagainst   thesecontractswithFederalfunds.Therationaleisthat,inaStateGSAtypecontract,the  ~ purchaseorderisthetransitcommunitysinitialworkonthecontract!muchasanybuyoff  d theFederalGSAITschedulewillbewhenagranteechoosestousethisFederalcontract.In g J othercases(liketransitagencyAbuyingofftransitBscontract),thetransituniquerules M0 areinplaceandknownfromthebeginning,thereisnoexpressedintentinthecommon 3  grantrule(aswithStateschedules)tobalancetherulesagainsteachother,anditwould   inferthatatransitagencycouldessentiallyavoidmostFederalrulesbyplacingorders   throughanothertransitagency.Inshort,theintegrityofthesystemwouldbethreatenedby   extendingtheafterthefactoptionbeyondschedulepurchases.   Joint_Procurements_󀄀Youmayalsowishtoplan_procurements_Ԁinadvancewithother z  agenciesorgovernmentalusers,andcompetitivelyawardcontractsthatseveral }` governmentalentitiescandrawupontomeettheirneeds.Suchanapproachwouldcreate cF economiesofscale,reduceprocurementleadtimesinthecaseofbeingabletouseexisting I, contracts,andreduceadministrativeeffortandexpense.Anythirdpartycontracts / resultingfromorutilizedbygranteesunderintergovernmentalagreementsaresubjectto  therequirementsofFTACircular4220.1E.Intergovernmentalagreementsnotinvolving  thirdpartycontractswouldnotbesubjecttoFTACircular4220.1E.Thetopicofjoint  _procurements_Ԁthatmakesuseofadvanceplanningbyseveralagenciesisdiscussedinthe  _BPPM_,Section6.3.3Joint_Procurements_ԀofRollingStockand Piggybacking.  BestPractices y\  Piggybacking󀄀Ifitappearsthattheremaybeanexistinggovernmentalcontractwhichmaybe E ( usedforaspecificneed,youwillfirstwanttoobtainacopyoftheentirecontractandreviewit +! carefullytodetermineifitcontainstheprovisionsrequiredbyFTACircular4220.1E.Thisisan " importantfirststep,becausetherequirementsoftheCircularapplyto_procurements_Ԁmade " throughintergovernmentalcontractsandassignments.Ifthecontractlacksrequiredprovisions, #  youmaybeabletohaveitmodifiedbytheawardingAgencytoincludethenecessaryFederal $! clauses.Amongthestepsyoumaywanttotakearethefollowing: %" 6,X, X X60  1.04##DeterminethatthecontractisstillineffectorcanbemodifiedbytheawardingAgency u'X $ topermitsufficientleadtimetomaketherequireddeliveriestoyourAgency.[(>!%4#4# 0  2.04##Determinethatthespecificationsintheexistingcontractwillmeetyourneeds.'* #'4#4# 0  3.04##Reviewthetermsandconditionscarefullytodeterminethattheyareacceptabletoyou; +$) e.g.,warrantyprovisions,insurancerequirements,etc.,%*4#4#   -&+ 0  4.04##DeterminethattherequirementsneededbyyourAgencywillnotbebeyondthescope  oftheexistingcontract,creatingasolesource(noncompetitive)addontothecontract  whichwillhavetobejustifiedinaccordancewithFTACircular4220.1EParagraph  9.f.Generally,ifyouareworkingwithanindefinitequantitycontractyoushould   havetheneededflexibilitytoorderadditionalquantitieswithouthavinga"new   procurement"actionrequiringasolesourcejustification. ~4#4# 0  5.04##Determinethatthecontractwasawardedcompetitively,eitherthroughsealedbidsor g J competitiveproposals.Ifthecontractwasasolesourceaward,youwillhavetojustify M0 asolesourceawardinaccordancewithFTACircularParagraph9.f.andyourAgency's 3  procurementprocedures. 4#4# 0  6.04##Youarenotrequiredtodoasecondpriceanalysisifonewasoriginallyperformed.   However,youmustdeterminethatthecontractpricesoriginallyestablishedarestill   fairandreasonable.Circumstancesshoulddictatethestepstobetaken.Forexample,   iftheoriginalawardwasmadesometimeago,youmaywanttodoamarketsurvey z  and/orperformpriceanalysistoensurethatthepricesarestillfairandreasonable }` (eveniftheoriginalawardwascompetitiveandapriceanalysiswasperformed cF initially).See_BPPM_ԀSection5.2CostandPriceAnalysisforadiscussionofprice I, analysistechniques./4#4#   7.0 4 Determinethatthecontractorhassubmittedallfederallyrequiredcertificationstothe  awardingAgency;e.g.,BuyAmerica,debarment,restrictionsonlobbying,etc.See  paragraphabove,AddingFederalClausestoExistingContractsand_BPPM_ԀSection  4.3.3.2FederallyRequiredSubmissionswithOffers.4#4#   8.0 4 WorkthroughtheitemsinthePiggybackingWorksheetinAppendixB.16(andy\4#4#   0 4 explainedinSection6.3.3Joint_Procurements_ԀofRollingStockandPiggybackingof _B the_BPPM_).NotethatsomeoftheitemsonthisWorksheetmayoverlapwithitems E ( alreadymentionedabove.+!4#4#   9.0 4 YoushouldprepareaMemorandumfortheRecorddocumentingyouranalysisofthe " variousitemsmentionedabove.ThiswillconstitutetheWrittenRecordof #  ProcurementHistoryrequiredbyParagraph7._i._ԀofFTACircular4220.1E.$!4#4# Joint_Procurements_󀄀Whenitappearsthatyouragencyhasacommonrequirementwithanother &r# governmentaluser,andthatajointprocurementisfeasible,youwillwanttocarefullyconsider u'X $ whetherajointprocurementwillresultinobtainingthebestpriceforallofthepartiestothe [(>!% procurement.Itisquitepossiblethatsubstantialdifferencesintherequirements(delivery A)$"& schedule,quantities,location,etc.)ofonepartytothejointprocurementwillresultinincreased '* #' coststotheotherpartiesandtherebynegateotherbenefitsofajointprocurementsuchaslower  +#( solicitationcosts.Youmustalsodeterminewhetherthedifferentfundingsourceshavedifferent +$) procurementregulations,especiallywhereth