FY2013 Procurement System Review Workshop Workbook

I.

Procurement System Review Overview and Approach

I.1.

PSR Objectives

I.2.

Procurement Assessment Phase

I.2.a.

Regional Office Review

I.2.b.

Grantee Document Review

I.2.c.

Initial Site Visit

I.2.d.

Systemwide Requirements Review

I.3.

Contract Review Phase

I.3.a.

Selection of Sample

I.3.b.

Second Site Visit

I.4.

Reporting

I.4.a.

Draft Report

I.4.b.

Grantee Comments and Preliminary Response

I.4.c.

Final Report

I.4.d.

Complete File

I.4.e.

Entering Procurement System Review Data Into The Oversight Tracking System (OTrak)

I.5.

Sample Selection Matrix

I.6.

Contract File Summary Sheet

II.

Required Procurement Elements and Suggested Best Practices

II.1.

Systemwide Elements

II.1.1)

Written Standards of Conduct

II.1.2)

Contract Administration System

II.1.3)

Written Protest Procedures

II.1.4)

Prequalification System

II.1.5)

Procedures for Ensuring Most Efficient and Economic Purchase

II.1.6)

Procurement Policies and Procedures

II.2.

Individual Procurement Elements 

II.2.7)

Independent Cost Estimate

II.2.8)

A&E Geographic Preference

II.2.9)

Unreasonable Qualification Requirements 

II.2.10)

Unnecessary Experience and Excessive Bonding

II.2.11)

Organizational Conflict of Interest

II.2.12)

Arbitrary Action

II.2.13)

Brand Name Restrictions

II.2.14)

Geographic Preferences

II.2.15) 

Contract Term Limitation

II.2.16)

Written Procurement Selection Procedures

II.2.17)

Solicitation Prequalification Criteria

II.2.18)

Award to Responsible Contractors

II.2.19)

 Sound and Complete Agreement

II.2.20)

No Splitting [Micro-purchase]

II.2.21) 

Fair and Reasonable Price Determination [Micro-purchase]

II.2.22)

Micro-Purchase Davis Bacon

II.2.23)

Price Quotations [Small Purchase]

II.2.24)

Clear, Accurate, and Complete Specification

II.2.25)

Adequate Competition - Two or More Competitors

II.2.26)

Firm Fixed Price [Sealed Bid]

II.2.27)

Selection on Price [Sealed Bid]

II.2.28)

Discussions Unnecessary [Sealed Bid]

II.2.29)

Advertised/Publicized [Sealed Bid] [RFP]

II.2.30)

Adequate Number of Sources Solicited [Sealed Bid] [RFP]

II.2.31)

Sufficient Bid Time [Sealed Bid]

II.2.32)

Bid Opening [Sealed Bid]

II.2.33)

Responsiveness [Sealed Bid]

II.2.34)

Lowest Price [Sealed Bid]

II.2.35)

Rejecting Bids [Sealed Bid]

II.2.36)

Evaluation [RFP]

II.2.37)

Price and Other Factors [RFP]

II.2.38)

Sole Source if Other Award is Infeasible

II.2.39)

Cost Analysis Required [Sole Source]

II.2.40)

Evaluation of Options

II.2.41)

Cost or Price Analysis

II.2.42)

Written Record of Procurement History

II.2.43)

Exercise of Options

II.2.44)

Out of Scope Changes

II.2.45)

Advance Payments

II.2.46)

Progress Payments

II.2.47)

Time and Materials Contracts

II.2.48)

Cost Plus Percentage of Cost

II.2.49)

Liquidated Damages Provisions

II.2.50)

Piggybacking

II.2.51)

Qualifications Exclude Price [A&E]

II.2.52)

Serial Price Negotiations [A&E]

II.2.53)

Bid Security [Construction Over $100,000]

II.2.54)

Performance Security [Construction Over $100,000]

II.2.55)

Payment Security [Construction Over $100,000]

II.2.56)

Clauses

III.

Questionnaires and Check Lists

III.1.

Assessment Phase Interview Questionnaires

III.1.a.

Interview for Chief Executive Officer

III.1.b. 

Interview for Attorney

III.1.c.

Interview for Grants Personnel

III.1.d.

Interview for Finance Personnel

III.1.e. 

Interview for Head of Procurement

III.1.f. 

Interview for Procurement Staff

III.1.g. 

Interview for Program Manager

III.1.h. 

Interview for Disadvantaged Business Enterprise (DBE) Representative

III.1.i. 

Interview for Internal Auditor

III.2. 

Review Findings Check Lists

III.2.a. 

Systemwide Elements Check List

III.2.b. 

Micro-Purchases

III.2.c. 

Small Purchases

III.2.d. 

Sealed Bids

III.2.e. 

Competitive Proposals (RFP)

III.2.f. 

Non-Competitive Proposals (Sole Source)

III.2.g. 

Supplement: Architect & Engineering Services

III.2.h. 

Supplement: Construction Procurements

III.2.i.

Supplement: Pre-Award and Post-Delivery Review
Requirements and Check List (Rail)

III.2.j.

Supplement: Pre-Award and Post-Delivery Review
Requirements and Check List (Bus)

III.3.a. 

Sample Report Format

III.3.b.

Report Summary Table

IV.

Authorities

IV.1.

Common Grant Rule (Part 49 CFR 18)

IV.2.

Circular 4220.1F "Third Party Contracting Requirements"
and Change 1

IV.3.

Circular 5010.1C "Grant Management Guidelines"

IV.4.

Master Agreement