Chapter 3: Questionnaires and Check Lists

III. QUESTIONNAIRES AND CHECK LISTS

This section includes the following used in conducting the PSR:

The Assessment Phase interview questionnaires include:

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III.1.a

Interview for Chief Executive Officer
Suggested Questions Comments
What is the organizational structure of the agency?



Where does the procurement department fit within the overall organization?


 

What other offices (such as grants management, finance, or legal) are involved in procurement activities?

 

What offices are allowed to award contracts? (i.e. legal services, advertising, accounting, etc.)


 
What is the role of the internal audit department in the procurement process?



Does the internal audit department conduct contract audits of third party contractors?



Have there been internal audits of the procurement function?


 
Who is authorized to make a contract award (Board of Directors, General Manager, Director of Procurement, other senior management)?


 
What periodic management reports do you receive from the procurement office?


 
Do you have access to FTA's Best Practices Procurement Manual on the Internet?



How does staff access?

 
Have there been instances in which you have not supported staff recommendations for award?



If yes, what was the situation?


 
What involvement does the Board of Directors have in the procurement process?


 

Has the Board overturned staff recommendations on the award of contracts?

If yes, when?

 

 
How are potential conflicts of interest (real or apparent) determined?



Have there been any conflict of interest problems? If so, how have they been resolved?


 
Have there been any violations of the rules governing the acceptance of gifts, gratuities, favors, or anything of monetary value from contractors, potential contractors, or parties to subagreements?



If so, were sanctions imposed?


 
Have there been any contract disputes, claims, or official protests in the past two years?



If so, how have these been settled?


 
Have there been any complaints of violation of Federal law or regulations in procurement actions?



If yes, how have these been resolved?


 

Are there any pending investigations of the procurement process or procurement actions?

If yes, what is the nature of these investigations?

 

 

Have there been any high profile awards that received negative press coverage?

If yes, what awards associated with what projects?

 

 
Are there conflicting Federal, state, or local regulations regarding procurement activities?



If yes, how do you deal with conflicting regulations?


 
Were procurement issues raised in the most recent Triennial Review, single audit, or other audit or review?



Have the findings been resolved?


 
Are there any major restructuring or organizational changes planned or underway? 



If so, how will the changes affect the procurement function?


 

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III.1.b

Interview for Attorney
Suggested Questions Comments
What involvement does the legal department have in the procurement process? (contract awards, protests, potential conflicts of interest)



 
Are you involved in hiring outside legal counsel?



What procurement method do you use?



 
How are potential conflicts of interest (real or apparent ) determined?



Have there been any conflict of interest problems? If so, how have they been resolved?



 
Have there been any violations of the rules governing the acceptance of gifts, gratuities, favors, or anything of monetary value from contractors, potential contractors, or parties to subagreements?



If so, were sanctions imposed?



 
Have there been any contract disputes, claims, or official protests in the past two years?



If so, how have these been settled?



 
Have there been any complaints of violation of Federal law or regulation in procurement actions?



If yes, how have these been resolved?



 

Are there any pending investigations of the procurement process or procurement actions?


If so, what are they?

 

 
Are there conflicting Federal, state, or local regulations regarding procurement activities?



If so, how are these conflicting requirements handled?



 

Do you have any legal concerns related to procurement activities?


If yes, what are they?

 

 
How is the legal department involved in the development of standard contract terms and conditions?



How is the legal department involved in determining applicability of specific requirements for various types of contracts?



 
Do you ensure that solicitations and contracts adhere to Federal, state, and local laws and regulations, and Board of Directors (or comparable policy maker) policy?



 
Do you have access to FTA's Best Practices Procurement Manual on the Internet? How?



Does staff have access? How?



 

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III.1.c

Interview for Grants Personnel

Suggested Questions Comments
What involvement, if any, do you have in the procurement process? How do you assure that purchases are appropriately allocated to FTA grants?

 

 
Are you involved in the development of bid specifications? If so, how?

 

 
Are you involved in ensuring that Federal requirements are included in procurements using Federal funds? If so, how?

 

 
Are you involved in ensuring that Federally required clauses are included in procurements using Federal funds? If so, how?

 

 
Do you have access to FTA's Best Practices Procurement Manual on the Internet? How?

 

 
What is the status of all active and inactive FTA grants? (Number, Amount Awarded, Balance)


 
What is the process for closing out grants?

 

 

Have you had to notify FTA of protests or disputes?

 

How and when did you notify FTA?

 

 
How are you made aware of purchases that are made outside the procurement system? Petty cash purchases? Legal procurements?

 

 

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III.1.d

Interview for Finance Personnel

Suggested Questions Comments
What involvement do you have in the procurement process?

 

 
How are you made aware of purchases that are made outside the procurement system? Petty cash purchases? Legal procurements?

 

 
Do you work with the procurement department in determining the most efficient and economic purchase of goods and services? If so, how?

 

 

How are you involved in determining the responsibility of contractors?

 

If so, what are the factors considered?

Is financial capability a criterion? If so, how do you assess?

Do you assess the contractor’s financial capability?

How is this done?

 

When is the determination of responsibility made?

 

 

Are you involved in performing cost or price analysis for procurement? If not, who is?

  

What types of procurements?

 

 

Do you make advance payments to contractors prior to the incurrence of costs by the contractors?

 

 If so, did you receive prior written concurrence from FTA?

 

 

 

Do you use progress payments?

 

If so, how do you ensure that the progress payments are only made to the contractor for costs incurred in the performance of the contract?

 

How do you obtain title to the property for which progress payments were made?

 

 

Are you involved in determining the amount of liquidated damages to be included in contracts?

 

If so, how?

 

 

Are you involved in the development of requests for proposals for professional service contracts? (i.e., audit services, information system services, etc.)

 

If so, how?

 

Are you involved in the selection of a contractor for award?

 

If so, how?

 

 
How are duties and functions segregated within the organization to assure that adequate checks and balances exist?

 

 

Do you make emergency purchases?

  

If so, approximately how many procurements over the past two years were classified as emergency purchases?

 

 
What was the source of funds for the past fiscal year? State %, Local %, FTA %, Other %

 

 

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III.1.e

Interview for Head of Procurement

Suggested Questions Comments
Where does the procurement department fit within the overall organization? To whom do you report?

 

 
What is the organizational structure and staffing levels of the procurement department?

 

 
Are staff resources adequate to perform the functions of the department?

Why or why not?

 
Are there currently staff vacancies? If so, how long have positions been vacant?

 

 
What is the typical staff turnover within the department?

 

 
What are the experience levels of staff?

 

 
How are staffing needs determined? How do you evaluate potential new employees?

 

 
What type of training is provided?


Does staff attend the FTA procurement training courses, or other industry courses? If so, what are the details?


What other types of training would be useful?

 

 
What authority do you have to award contracts?

 

 
What types of management reports are generated within the procurement department?

 

 
How are procurement policies and procedures documented? How do you assure that the documentation reflects current practice? That policies and procedures are followed? Who established procurement policies and procedures?

 

 
How are staff within the department made aware of procurement policies and procedures?


Does staff have knowledge of the requirements of FTA Circular 4220.1F?  How do you assure?

 

 
How do you monitor staff activities?

 

 
Is there a written code of standards of conduct? If so, where is it published?


If so, has the code been approved and signed by the proper authority?


How are staff made aware of the code of standards of conduct?

 

 
How are potential conflicts of interest (real or apparent) determined?


What is the process for department personnel to disclose potential conflicts of interest?


Have there been any conflict of interest problems?

 

 

What is the policy regarding acceptance of gifts, gratuities, favors or anything of monetary value from contractors, potential contractors, or parties to subagreements?


Is there a limit established?


What sanctions may be imposed?


Have there been violations? If yes, how have they been dealt with?

 

 
Does the agency have procedures for settling contract issues and disputes?

 

 
Does the agency have written protest procedures?


Have there been any formal protests in the award of contracts in the last two years?

Have written protest procedures been followed?

How have the protests been settled?




Has FTA been notified of protests?

 

 
Have there been any complaints of violation of Federal law or regulation?


If yes, how have they been resolved?

 

 
What procedures are in place to ensure most efficient and economic purchase of goods and services?


Who is responsible for reviewing procurements to avoid purchase of unnecessary or duplicative items?

 

 
What are the procurement department’s requirements for maintaining records detailing the history of a procurement?

 

 
Does the agency maintain a list of prequalified firms, persons, and products?


Is the list (s) current?


What is the process for updating the list?


Are there an adequate number of firms to ensure maximum full and open competition?

 

 
How do you ensure an equitable distribution of awards among qualified bidders when making micro-purchases?

 

 
Have standard contract clauses been reviewed for conformance with the Master Agreement?


Is there a process for reviewing standard clauses annually to ensure conformance with the Master Agreement?


How are standard clauses reviewed for applicability to specific types of contracts?

 

 
What is the contract administration system? Who administers the system? Is contractor performance evaluated? If so, how is it documented?

 

 
How does the agency determine responsibility of contractors? What criteria are used? When is the determination of responsibility made?

 

 
How does the procurement department work with the customer departments in the development of specifications?

 

 
How many procurement actions are processed per year?


How many above $100,000?

 

 
Do you maintain a contract listing? (Get copy)

 

 
What criteria and procedures do you follow to assure that the contract file is properly documented?

 

 
How are professional services procured?


Have there been any retainer contracts?

 

 
Have there been sole source procurements?


How many in the past two years?


Why was it necessary to award sole source?

 

 

Have there been brand name procurements?


Were the salient physical and functional characteristics identified?


Was "an equal" product allowed?

 

 
Have you entered into intergovernmental agreements for the procurement of goods and services? 


If yes, how have you ensured that Federal regulations are complied with in these procurements?

 

 
Does the agency use value engineering in construction contracts?

 

 
Has the agency used Federal excess and surplus property in lieu of purchasing new equipment or property?

 

 
Do you have problems complying with Federal, state or local regulations?

 

 
Are there conflicting regulations? If yes, how do you deal with conflicting regulations?

 

 
Were there procurement issues raised in the most recent Triennial Review, single audit, internal audit, or other review or audit?


If so how have the findings been resolved?

 

 
Do you have access to FTA's Best Practices Procurement Manual on the Internet?


Does staff have access?

 

 
Who is responsible for contract administration?


If other than the procurement organization, ask why?

 

 

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III.1.f

Interview for Procurement Staff
Suggested Questions Comments
What are your responsibilities?


What authority do you have to award contracts?

 

 
Are staff resources adequate to perform the functions within the department?

Why or why not?

 

 
What is your educational background and experience?

 

 
Are you involved in determining staffing needs? If so, how?

 

 
How do you report to management?

 

 
What type of training is provided?


Have you attended FTA procurement training courses? If so, which courses?

What other types of training would be useful?

 

 
How do you interact with other departments (e.g., with customer departments to develop specifications)?

 

 
Do you have a copy of the written procurement policies and procedures? How did you receive and how do you know they are current?


How do you know that your current practices are consistent with the written policies and procedures?

 

 
Are you aware of the requirements of Circular 4220.1F? IF so, how?


How do you know that you comply with these requirements?

 

 
Do you communicate with the FTA regional office to clarify issues related to the procurement regulations?

If so, how?

 

 
Do you have access to FTA's Best Practices Procurement Manual on the Internet?


Have you incorporated any of the best practices in your procedures? If so, which ones?

 

 
How are you made aware of your agency’s code of standards of conduct?

 

 
How do you determine if you have a potential conflict of interest (real or apparent)

To whom do you disclose potential conflicts of interest?


Have you had a conflict of interest?


If so, how was the conflict of interest resolved?

 

 
How are you made aware of the policy regarding acceptance of gifts, gratuities, favors or anything of monetary value from contractors, potential contractors, or parties to subagreements?

 

 
What is your role in settling contract issues and disputes?

 

 
Who do you notify when there is a contract issue or dispute?

 

 
Have there been any formal protests in the award of contracts in which you were involved in the last two years?


Were written procedures followed?


Have the protests been settled?


Has FTA been notified of protests?

 

 
Have there been any complaints of violation of Federal law or regulation in procurements in which you were involved?


If yes, how have they been resolved?

 

 
How do you ensure the most efficient and economic purchase of goods and services?


How do you review procurements to avoid purchase of unnecessary or duplicative items?


What are your responsibilities for maintaining records detailing history of a procurement?

 

 
Do you use lists of prequalified firms, persons, and products?


Is the list (s) current?


How is the list updated?


How does the agency assure there are an adequate number of firms to ensure maximum full and open competition?

 

 
How do you ensure an equitable distribution of awards among qualified bidders when making micro-purchases?

 

 
How do you determine responsibility of contractors? What criteria are used? When is the determination of responsibility made?

 

 
Have you been involved in sole source procurements?


Why was it necessary to award sole source?

 

 
Have your been involved in brand name procurements?


If so, how were the salient physical and functional characteristics identified?


If so, how was “an equal” product allowed?

 

 
Have you entered into intergovernmental agreements for the procurement of goods and services?


If yes, how have you ensured that Federal regulations are complied with in these procurements?

 

 
Have you been involved in the resolution of findings from Triennial Reviews, single audits, internal audits, or other reviews or audits?

If so, which findings and corrective actions?

 

 

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III.1.g

Interview for Program Manager
Suggested Questions Comments
What is your role in the acquisition process?

 

 

Do you recommend potential offerors or bidders?

 

If so, what is the procedure?

 

 
Do you maintain a list of prequalified bidders or offerors? If so, how is the list kept current?

 

 
What is your role regarding DBE goals?

 

 

Are you asked to determine the technical responsibility of potential contractors?

 

If so, what data do you provide?

 

 

Have you been involved in a protest in the past two years?

If so, describe your involvement.

 

 

How do you ensure that you have a copy of the current Procurement Procedures Manual?

 

What changes would you make to these procedures?

 

 
How would you characterize the performance of the Procurement Department?

 

 
What issues do you have regarding procurement?

 

 
What can your Department do to improve procurement?

 

 
How are conflicts with the contractor resolved?

 

 
What contract files are maintained in your Department?

 

 
What is your role in contract close out?

 

 
What happens to your contract files after the contract is completed?

 

 
When writing specifications, do you use brand name descriptions? If so, do you include the required salient physical and functional characteristics?

 

 
Do you use a value engineering clause in your contracts?

If so, please describe.

 

 

How are you made aware of the code of standards of conduct?

How is your staff made aware of the code?

What are the potential conflicts of interest regarding procurement?

Have there been any conflict of interest problems?

Please describe.

 

 
How are you made aware of the policy regarding acceptance of gifts, gratuities, favors or anything of monetary value from contractors or potential contractors?

 

 

Do you have authority to award a contract? Small Purchases? Micro Purchases? Credit Card? If so, what record keeping is required?

 

 
How are you made aware of the requirements of FTA Circular 4220.1F?

 

 
Have you had any procurement training? Would it be useful? If so, what topics?

 

 

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III.1.h

Interview for Disadvantaged Business Enterprise (DBE) Representative

Suggested Questions Comments
What is the role of your department in the procurement process?

 

 
Do you have a DBE goal? If so, how is it determined? 


How is compliance assessed?


Please describe your DBE program. (Get a copy)

 

 
Do you review all procurements over a set dollar threshold to recommend DBE participation?

If so, what is the threshold?


Do you maintain listings of DBE firms? Where is it maintained?

 

 
What issues or problems do you have with the procurement process?

 

 
Do you have any recommended improvements for procurement?

If so, can you explain?

 

 
Do you prepare any regular periodic report to management relative to DBE in procurement?

If so, can we get copies?

 

 
How are you made aware of the requirements of FTA Circular 4220.1F?

 

 

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III.1.i

Interview for Internal Auditor

Suggested Questions Comments
What is the role of your department in the procurement process?

 

 
What issues or problems have you found in the procurement process?

 

 
What recommendations do you have (or have made) to improve procurement?


Has management failed to implement any of your recommendations? (Any open recommendations?)

 

 
Have there been any violations of internal regulations; state or Federal law?

If so, what were the violations?

 

 
Are any audits in process now?

If so, can you explain?

 

 
How are you made aware of the requirements of FTA Circular 4220.1F?

 

 
When was the procurement function last audited? [Request copies of all procurement audit reports for the past two years]

 

 

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The Review Findings Check Lists include checklists for systemwide elements and check lists for specific methods of procurement.

A Systemwide Elements Checklist has been developed for these elements:

The reviewer will determine, based on interviews and document review, if the grantee is "not deficient,” or is “deficient” for the systemwide elements.

Review Findings Checklists, developed for each specific method of procurement, include requirements specific to the method of procurement as well as requirements applicable to all types of procurements.

The reviewer will determine compliance for each individual procurement element by entering either “Not Deficient”, “Deficient”, or “NA” in the unshaded space on the check list.  The reviewer will enter the method or basis of determination in the comments section.

Review Findings Checklists have been developed for:

Supplemental Review Findings Checklists (which must be used in addition to the applicable procurement method Review Findings Checklists) have been developed for:

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Systemwide elements checklist has been developed for these elements:

III.2.a

SYSTEM WIDE ELEMENTS

Check list ND D Evaluation/Comments
(Include work paper 
references)

1) Written Standards of Conduct [FTA C 4220.1F, III, 1.a.b.c.]
The grantee has a written code of standards of conduct which provides that no employee, officer, agent, immediate family member, or Board member of the grantee shall participate in the selection, award, or administration of a contract supported by FTA funds if a conflict of interest, real or apparent, would be involved.  The grantee defines such a conflict to be when any of the following has a financial or other interest in the firm selected for award:

     (a.)  The employee, officer, agent, or Board member,
     (b.)  Any member of his/her immediate family,
     (c.)  His or her partner, or
     (d.)  An organization that employs, or is about to employ, any of the above.

The grantee’s code of conduct also provides that its officers, employees, agents, or Board members will neither solicit nor accept gifts, gratuities, favors, or anything of monetary value from contractors, potential contractors, or parties to subagreements and contains penalties, sanctions, or other disciplinary action for violation of such standards by the grantee’s officers, employees, or agents, or by contractors or their agents.

     
2) Contract Administration System [FTA C 4220.1F, III, 3.]
The grantee has a contract administration system that ensures that it and its third party contractors perform in accordance with the terms, conditions, and specifications of their contracts or purchase orders.
     

3) Written Protest Procedures [FTA C 4220.1F, VII, 1. a. b.]
The grantee has written protest procedures to handle and resolve disputes relating to their procurements.  These procedures require the following:

     (a.)  In all instances involving FTA funds the grantee must disclose information regarding the protest to FTA, and keep FTA informed about the status of the protest,
     (b.)  All protest decisions must be in writing, and
     (c.)  A protester must exhaust all administrative remedies with the grantee before pursuing a protest with FTA.

     
4) Prequalification System [FTA C 4220.1F, VI, 1.c.]
The grantee has a system of prequalification which ensures that all lists of prequalified persons, firms, or products that are used in acquiring goods and services are current and include enough qualified sources to ensure maximum full and open competition.  The system also provides that potential bidders may not be precluded from qualifying during the solicitation period, which is from issuance of the solicitation to its closing date.  If the grantee does not prequalify bidders and offerors, so state in the comments column and mark NA in the Not Deficient column. 
     
5) System for Ensuring Most Efficient and Economic Purchase [FTA C 4220.1F, IV, 1. b. c. e.]
The grantee has a system for review of proposed procurements to avoid purchase of unnecessary or duplicative items.  It provides for analysis of lease versus purchase alternatives and for considering consolidating or breaking out procurements to obtain a more economical
purchase.
     
6) Procurement Policies and Procedures [FTA C 4220.1F, III, 3.a..]
The grantee’s procurement policies and procedures contain the following FTA C 4220.1F, requirements:
(After checking YES or NO for regulatory coverage of the following,  mark Not Deficient or Deficient)
     

FTA C 4220.1F
(a.) VI, 8. b.
  --  Make awards only to responsible contractors possessing the ability to perform successfully under the terms and conditions of a proposed procurement.  Consideration shall be given to contractor integrity, compliance with public policy, record of past performance, and financial and technical resources.

YES ______  NO ______

(b.) III, 3. d. (1)  --  Maintain records detailing the history of a procurement.  At a minimum, these records shall include:

     (1)  The rationale for the method of procurement,
     (2)  Selection of contract type,
     (3)  Reasons for contractor selection or rejection, and
     (4)  The basis for the contract price.

YES ______  NO ______

(c.) VI, VI, 2.(2)(b)
  --  Requirement that “Time and Materials Type Contracts” may only be used:

     (1)  After a determination that no other type of contract
            is suitable, and
     (2)  If the contract specifies a ceiling price that the contractor shall not exceed except at its own risk.

YES _____  NO  ______

(d.) IV, 2.e.(10) – Contract term limitation for rolling stock and replacement parts shall not exceed the recipient’s needs for rolling stock and replacement parts within five (5) years inclusive of options without prior written FTA approval when FTA funds are involved. For all other types of contracts, the contract file contains evidence that the contract term is based upon sound business judgment.

YES _____  NO  ______

(e.) V, 7.b.(2). – Tag-ons.  The use of tag-ons is prohibited and applies to the original buyer as well as to others.  Tag-on is defined as the addition of work (supplies, equipment or services) that is beyond the scope of the original contract that amounts to a cardinal change and is subject to non-competitive procurement procedures.

YES _____  NO  ______

(f.) VI, 1. a. – All procurement transactions will be conducted in a manner providing full and open competition.

YES ______  NO _______

(g.) VI, 2. a. (4) (b) (e) --  Prohibits unreasonable requirements from being placed on firms in order for them to qualify to do business (e.g. unnecessary experience and excessive bonding requirements).

YES _______  NO _______

(h.) VI, 2. a. (4) (h) -- Coverage that defines Organizational Conflicts of Interest and provides means for eliminating or mitigating such conflicts.  For instance, a “Hardware Exclusion Clause” may be recommended for inclusion in hardware design or R&D contracts.

YES _______  NO _______

(i.) VI, 2. a. (4) (j)
-- Prohibit any arbitrary action in the procurement process (e.g. in the competitive selection of contractors).

YES _______  NO _______
 
(j.) VI, 2. a. (4) (g)
– Except when procuring A&E services, prohibits the use of statutorily or administratively imposed in-State or local geographical preferences in the evaluation of bids or proposals unless Federal statutes expressly mandate or encourage geographic preference.

YES _______  NO _______

(k.) III, 3. a. – Contains contractor selection procedures.

YES_______  NO________

(l.) VI, 2. e.; VI, 3. c. (1) (a) -- Require clear and accurate contract specifications (or statements of work) that do not unduly restrict competition and identify all requirements that offerors must fulfill and all factors to be used in evaluating bids or proposals.

YES ______  NO ______

(m.) VI, 2. a. (3) – Requirements for using “Brand Name or Equal” purchase descriptions:

     (1) Only when an adequate specification cannot be provided without performing an inspection and analysis in time for the acquisition under consideration, and
     (2) Minimum needs are carefully identified and those salient physical and functional characteristics of the brand name product are clearly set forth in the solicitation.

YES _______  NO _______

(n.) VI, 3. a. --  Requirements applicable to micro-purchases ($3,000 or less) :

     (1) Competition not required,
     (2) Must document determination that price is fair and reasonable and how the determination was derived,
     (3)  Prohibit splitting of procurements to avoid competition, and
     (4)  When competition is not obtained, require equitable distribution among qualified suppliers.

YES ______  NO ______

(o.) VI, 3. b. -- Requirements applicable to the grantee’s simplified small purchase threshold (for FTA funded purchases the threshold may range from $3,000 to $100,000) :
    
     (1)  Must obtain price or rate quotations from an adequate number of qualified sources, and
     (2)  Document file that price is fair and reasonable.

YES ______  NO ______

(p.) VI, 3. c. -- Requirements applicable to sealed bid method of procurement:

     (1)  Defines conditions for sealed bid,
     (2)  Requires public advertising,
     (3)  Must allow sufficient time to prepare bids prior to bid opening,
     (4)  Award must be made to the lowest responsive and responsible bidder, and
     (5)  Must document sound business reason if any or all bids are rejected.

YES ______  NO ______

(q.) VI, 3. d. -- Requirements applicable to competitive proposal (RFP) method of procurement:

     (1) Requests for proposals will be publicized.  All evaluation factors will be identified along with their relative importance;
     (2) Proposals will be solicited from an adequate number of qualified sources;
     (3) Grantees will have a method in place for conducting technical evaluations of the proposals received and for selecting awardees;
     (4) Awards will be made to the responsible firm whose proposal is most advantageous to the grantee’s program with price and other factors considered; and
     (5) In determining which proposal is most advantageous, grantees may award (if consistent with State law) to the proposer whose proposals offer the greatest business value to the Agency based upon an analysis of a tradeoff of qualitative technical factors and price/cost to derive which proposal represents the “best value” to the Procuring Agency as defined in 4220.1F, I, 5. b., Definitions.  If the grantee elects to use the best value selection method as the basis for award, however, the solicitation must contain language that establishes that an award will be made on a “best value” basis.
YES ______  NO ______

(r.) VI,3.f.3. -- Unless State law provides procedures for procurement of A&E services the Brooks Act procedures apply and may only be used when procuring A&E services:

     (1)  Evaluate qualifications excluding price as a factor,
     (2)  Negotiate only with the most qualified offeror, and
     (3)  Failing agreement on price, negotiate with the next most qualified offeror until agreement is reached on a price that is determined to be fair and reasonable.
YES ______  NO ______

(s) VI, 3.g. --Procurement of Design-Bid-Build.  Grantees may procure design-bid-build services through means of sealed bidding or competitive negotiations.  These services must be procured in a manner that conforms to applicable state and local law, the requirements of this Circular relative to the method of procurement used and all other applicable federal requirements.

YES ______  NO ______

(t.) VI, 3.h..-- Procurement of Design-Build.  Grantee must procure design-build services through means of qualifications-based competitive proposal procedures based on the Brooks Act as set forth in 4220.1F, VI, 3. h.  when the preponderance of the work to be performed is considered to be for architectural and engineering (A&E) services as defined in 4220.1F, VI, 3. f.  Qualifications-based competitive proposal procedures should not be used to procure design-build services when the preponderance of the work to be performed is not of an A&E nature as defined in 4220.1F, VI, 3. f, unless required by State law adopted before August 10, 2005.

YES ______  NO ______

(u.) VI, 3.i. -- Sole source documentation requirements:

     (1)  Infeasible to use small purchase, sealed bid, or competitive procedures, and
     (a)  Item is available only from one source,
     (b)  The public exigency or emergency for the requirement will not permit a delay resulting from competitive solicitation,
     (c)  FTA authorizes noncompetitive negotiations,
     (d)  After solicitation of a number of sources, competition is determined inadequate, or
      (2)  Cost and profit analysis are required.

YES  ______  NO  _______

(v.) V, 7. a.; VI, 7. b. --  Requirements for use of options:

     (1)  Option quantities must be evaluated to determine contract award, and
     (2)  When exercising options, ensure it is in accordance with the contract and that the price is better than prices available in the market or is more advantageous at the time the option is exercised.

YES  _______  NO  _______

(w.) VI, 6. --  Must perform cost or price analysis in connection with every procurement action, including contract modifications.

YES  ______  NO ______

(x.) VI, 6. --  Must make independent cost or price estimates before receiving bids or proposals.

YES ______  NO ______

(y.) VI, 6. a.  -- Must perform cost and profit analysis when adequate price competition is lacking.

YES ______  NO______

(z.)  VI, 4.  --  Grantee’s cost principles for evaluation of proposed costs are consistent with Federal cost principles.

YES______  NO______

(a.a.) VI, 2.c.(2)(a) -- Cost plus percentage of cost type contract is prohibited.

YES ______ NO ______

(b.b.) IV, 2.b.h.(1)  --  Bonding requirements for construction contracts above $100,000 meet the following minimums:

     (1)  5% bid guarantee,
     (2)  100% performance bond, and
     (3)  Payment bonds as follows:
           - 50% on contracts under $1 million
           - 40% on contracts between $1 million and $5 million, or
           - $2.5 million on contracts over $5 million.

If grantee bonding policy and requirements do not comply with this criteria, FTA approval must be obtaining.

YES ______  NO ______

(c.c.) IV, 2.b.(5)(b)-- Advance payments utilizing FTA funds are prohibited unless prior written concurrence is obtained from FTA.

YES ______  NO ______

(d.d.) IV, 2.b. (5) (c)--  Progress payments may only be made on the basis of costs incurred (or, in the case of construction contracts only, on the basis of percent of completion)and the grantee must obtain adequate security for which progress payments are made.  Adequate security may include taking title, letters of credit or equivalent means to protect the grantee’s interest.

YES  ______  NO ______

(e.e.) IV, 2.(b).(6)(b)1 --  Liquidated damages assessment must be at a specific rate per day for each day of overrun and must be specified in the contract.  Any damages recovered must be credited to the project involved unless the FTA permits otherwise.

YES ______  NO ______

(f.f.) – III, 3. e. – Each State must include provisions in all its RFPs, solicitations, press releases or other publications involving FTA assistance, stating that FTA is or will be providing Federal assistance for the project, the amount of the assistance FTA has provided or expects to provide, and the Catalogue of Federal Domestic Assistance (CFDA) Number of the program that authorizes Federal assistance.
Note: This notification requirement applies only to States and their subrecipients, lessees, and third party contractors. It does not apply to grantees that are not States (e.g., Transit Agencies).  The current Master Agreement will define the notification requirements that are currently in effect, as they may change from year to year.

YES ______  NO ______

(g.g.) IV, 2.(c)(6)(b) 2 --  Contracts above the small purchase threshold must contain remedies for breach of contract.

YES ______  NO ______

(h.h.) IV, 2.(c)(6)(b) 4 --  Contracts in excess of $10,000 must have termination for cause and termination for convenience provisions.

YES ______  NO ______

(i.i.) II, 3 --  Addresses Federal statutory and regulatory requirements for contracts funded under Federal grants.

YES______   NO______


(j.j) II, 2.b.(4)-- Revenue contracts are those third party contracts whose primary purpose is to either generate revenues in connection with a transit related activity, or to create business opportunities utilizing an FTA funded asset.  FTA requires these contracts to be awarded utilizing competitive selection procedures and principles.  The extent of and type of competition required is within the discretionary judgment of the grantee.

YES______   NO______

     

 

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III.2.b. MICRO-PURCHASES

This checklist is to be used for all procurements where the value is $3,000 or less.  If the grantee is exceeding these requirements by obtaining multiple price quotes according to small purchase procedures, the reviewer should consider advising on best practices.

Definition:  Micro-purchases are those purchases of $3,000 or less. [FTA C 4220.1F,VI, 3. a.]

                                         REVIEW FINDINGS CHECKLIST

Purchase Order Number ____________________________________________________

 

Date of Award ___________________________________________________________

 

Contractor_______________________________________________________________

 

Purchase Order Value $ ____________________________________________________

 

Brief Description of Supplies or Services:

________________________________________________________________________

________________________________________________________________________

Observations:

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

Grantee_______________________________

 

Reviewer______________________________

 

Date Reviewed_________________________  

III.2.b

MICRO-PURCHASES
Check list ND D NA Evaluation/Comments (Include work/paper references)

20) No Splitting [FTA C 4220.1F, VI, 3. a.]

There is no evidence in this procurement that the grantee is splitting procurements to avoid competition.

       

21) Fair and Reasonable Price Determination

[FTA C 4220.1F, VI, 3. a.]

The purchase file contains documentation of a determination that the price is fair and reasonable and how this determination was derived.

       

22) Micro - Purchase Davis Bacon [FTA C 4220.1F, VI, 3. a.]

This is a construction purchase order between $2,000 and $3,000, and the Davis Bacon Act has been made applicable.

If this is not for construction, check NA.

       

 

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This checklist is to be used for all procurements where the grantee’s system allows the use of simplified small purchase procedures.  This may range between $3,000 and $100,000.
 
[For example, if the grantee’s simplified small purchase threshold is $25,000 and the file being reviewed is a $28,000 purchase using sealed bid procedures, the Sealed Bid Checklist must be used.]


REVIEW FINDINGS CHECK LIST

 

 

Purchase Order Number ____________________________________________________

 

Date of Award ___________________________________________________________

 

Contractor_______________________________________________________________

 

Purchase Order Value $ ____________________________________________________

 

Brief Description of Supplies or Services:

________________________________________________________________________

________________________________________________________________________

Observations:

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

Grantee_______________________________

 

Reviewer______________________________

 

Date Reviewed _______________________

 

III.2.c

SMALL PURCHASES
Check list ND D NA Evaluation/Comments (Include work/paper references)

7) Independent Cost Estimate [FTA C 4220.1F, VI, 6.]

The grantee made and documented an independent cost estimate before receipt of proposals.

       

9) Unreasonable Qualification Requirements [FTA C 4220.1F, VI, 2. a. (4) (a)]

This solicitation did not contain unreasonable requirements placed on firms in order for them to qualify to do business.

       

12) Arbitrary action [FTA C 4220.1F, VI, 2. a. (4) (j)]

There was no arbitrary action in the procurement process. (An example of arbitrary action is when award is made to other than the contractor who most satisfied all the grantee’s requirements as specified in the solicitation and as evaluated by staff.)

       

13) Brand Name Restrictions [FTA C 4220.1F, VI, 2. a. (3)

A “brand name or equal” specification is used and the solicitation has identified the minimum needs and clearly set forth those salient physical and functional characteristics of the brand name required by the grantee.

 

If the solicitation specifies “brand name” only without specifying an equal or listing the physical or functional characteristics needed, check Deficient.

 

If the procurement does not specify a “brand name”, check NA.

 

       

14) Geographic Preferences [FTA C 4220.1F, VI, 2. a. (4)]

The solicitation contains no in-State or local geographic preference except where Federal statutes mandate or encourage them.

       
15) Contract Term Limitation [FTA C 4220, 1F, IV, 2.e.(10)]

The contract period of performance for rolling stock and replacement parts does not exceed five (5) years inclusive of options without prior written FTA approval. For all other types of contracts, the procurement file contains evidence that the contract term is based upon sound business judgment.
       

23) Price Quotations [FTA C 4220.1F, VI, 3. b.]

Price or rate quotations were obtained from an adequate number of qualified sources.

       

24) Clear, Accurate, and Complete Specification [FTA C 4220.1F, VI, 2. a.; VI, 3. c.]

A complete, adequate, and realistic specification or purchase description was available and included any specifications and pertinent attachments that define the items or services sought in order for the bidder to properly respond.

       

41) Cost or Price Analysis [FTA C 4220.1F, VI, 6.]

Either a cost analysis, with associated profit negotiation, or a price analysis was performed and documented in the procurement file with respect to the initial contract award. Also cost analysis was performed when negotiating contract modifications unless price reasonableness was established on the basis of a catalog or market price of a commercial product sold in substantial quantities to the general public or on the basis of prices set by law or regulation.

       

42) Written Record of Procurement History [FTA C 4220.1F, III, 3. d.]

The file contains records detailing the history of this procurement. At a minimum, these records include:

(1) Rationale for the method of procurement,

(2) Selection of contract type,

(3) Reasons for contractor selection or rejection, and

(4) Basis for the contract price.

Check “Not Deficient” if #3 & 4 are recorded.

       

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This checklist is to be used for all procurements where the grantee has selected the sealed bid method of procurement.  If the contract is for construction, the supplemental Construction Checklist must also be used.

REVIEW FINDINGS CHECK LIST

Purchase Order Number ____________________________________________________

 

Date of Award ___________________________________________________________

 

Contractor_______________________________________________________________

 

Purchase Order Value $ ____________________________________________________

 

Brief Description of Supplies or Services:

________________________________________________________________________

________________________________________________________________________

Observations:

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

Grantee_______________________________

 

Reviewer______________________________

 

Date Reviewed_________________________

 

III.2.d

SEALED BIDS
Check list ND D NA Evaluation/Comments (Include work/paper references)

7) Independent Cost Estimate [FTA C 4220.1F, VI, 6.]

The grantee made and documented an independent cost estimate before receipt of proposals.

       

9) Unreasonable Qualification Requirements [FTA C 4220.1F, VI, 2. a. (4) (a)]

This solicitation did not contain unreasonable requirements placed on firms.

       

10) Unnecessary Experience and Excessive Bonding

[FTA C 4220.1F, VI, 2. a. (4) (b) (e)]

Unnecessary experience and excessive bonding requirements were not included in this solicitation or contract documents.

       

11) Organizational Conflict of Interest (OCI) [FTA C 4220.1F, VI, 2. a. (4) (h)]

There is an apparent or potential OCI and the solicitation contains provisions to eliminate or mitigate the conflict (e.g. by inserting a clause that prohibits the contractor from competing for the follow-on contract to the current design or research contact).

If there is no apparent or potential OCI, check NA

       

12) Arbitrary Action [FTA C 4220.1F, VI, 2. a. (4) (j)]

There was no arbitrary action in the procurement process. (An example of arbitrary action is when award is made to other than the contractor who most satisfied all the grantee’s requirements as specified in the solicitation and as evaluated by staff.)

       

13) Brand Name Restrictions [FTA C 4220.1F, VI, 2. a. (4) (f)]

A “brand name or equal’ specification is used and the solicitation has identified the minimum needs and clearly set forth those salient physical and functional characteristics of the brand name required by the grantee.

 

If the solicitation specifies ‘brand name” only without specifying an equal or listing the physical or functional characteristics needed, check Deficient.

 

If the procurement does not specify a “brand name”, check NA.

 

       

14) Geographic Preferences [FTA C 4220.1F, VI, 2. a. (4)]

The solicitation contains no in-State or local geographic preferences except where Federal statutes expressly mandate or encourage them.

       

15) Contract Term Limitation [FTA C 4220.1F, IV, 2.e.(10)]

The contract period of performance for rolling stock and replacement parts does not exceed five (5) years inclusive of options without prior written FTA approval. For all other types of contracts, the procurement file contains evidence that the contract term is based upon sound business judgment.

       

16) Written Procurement Selection Procedures [FTA C 4220.1F, III, 3. a.; VI, 2. e.]

The grantee has written selection procedures and the solicitation also identifies all requirements that offerors must fulfill and all other factors to be used in evaluating bids or proposals.

       

17) Solicitation Prequalification Criteria [FTA C 4220.1F, VI, 1.c.(1)(2)(3)

The solicitation required prequalification of persons, firms, or products. The list is current, includes enough qualified sources to ensure maximum full and open competition, and potential bidders are not precluded from qualifying during the solicitation period from issuance of the solicitation to its closing date.

If the solicitation does not contain a prequalification requirement, check NA.

       

18) Award to Responsible Contractor [FTA C 4220.1F, VI, 8. b.]

The grantee made a determination that it was awarding to a responsible contractor considering such matters as contractor integrity, compliance with public policy, record of past performance, and financial and technical resources.

       

19) Sound and Complete Agreement [FTA C 4220.1F, III, 3. b.; III, 3.b.

This contract is a sound and complete agreement. In addition, it includes remedies for breach of contract and provisions covering termination for cause and convenience.

       

24) Clear, Accurate, and Complete Specification [FTA C 4220.1F, VI, 2. a.; VI, 3. c. (2) (c)]

A complete, adequate, and realistic specification or purchase description was available and included any specifications and pertinent attachments that define the items or services sought in order for the bidder to properly respond.

       

25) Two Bidders [FTA C 4220.1F, VI, 3. c. (b)]

Two or more responsible bidders were willing and able to compete effectively for the business.

       
26) Firm Fixed Price [FTA C 4220.1F, VI, 3. c. (1) (c)]

A firm fixed price contract was appropriate for this procurement.
       

27) Selection on Price [FTA C 4220.1F, VI, 3. c. (1) (d)]

The selection of the successful bidder could be made principally on the basis of price.

       

28) Discussions Unnecessary [FTA C 4220.1F, VI, 3. c. (1) (e)]

In this procurement, other than a pre-bid conference, discussions with bidders should not be needed between solicitation and award.

       

29) Advertising [FTA C 4220.1F, VI, 3. c. (2) (a)]

The Invitation for Bids was publicly advertised.

       

30) Adequate Number of Sources Solicited [FTA C 4220.1F, VI, 3. c. (2) (b)]

Bids were solicited from an adequate number of known suppliers.

       

31) Sufficient Bid Time [FTA C 4220.1F, VI, 3.c.(2)(d)

Prospective bidders were provided sufficient time to prepare bids prior to the date set for opening the bids.

       

32) Bid Opening [FTA C 4220.1F, VI, 3.c.(2)(e)

All bids were publicly opened at the time and place prescribed in the invitation for bids.

       

33) Responsiveness [FTA C 4220.1F, VI, 3.c.(2)(f)

A firm fixed price contract was awarded in writing to the lowest responsive bidder.

       

34) Lowest Price [FTA C 4220.1F, VI, 3.c.(2)(f)

The bidding documents specified that factors, such as discounts, transportation costs, and life cycle costs, would be considered in determining which bid was the lowest. These factors were considered by the grantee in determining which bid was the lowest.

If these factors were not specified, check NA.

       

35) Rejecting Bids [FTA C 4220.1F, VI, 3.c.(2)(g)

A bid (or bids) was rejected for a sound documented business reason.

If no bids were rejected, check NA.

       

40) Evaluation of Options [FTA C 4220.1F, VI, 7. b.]

The option quantities or periods contained in the contractor’s bid or offer were evaluated in order to determine contract award. (To be eligible for Federal funding, options must be evaluated as part of the price evaluation of offers, or must be treated as sole source awards.)

 

If the contract does not contain options, check NA.

       

41) Cost or Price Analysis [FTA C 4220.1F, VI, 6.]

Either a cost analysis, with associated profit negotiation, or a price analysis was performed and documented in the procurement file with respect to the initial contract award. Also cost analysis was performed when negotiating contract modifications unless price reasonableness was established on the basis of a catalog or market price of a commercial product sold in substantial quantities to the general public or on the basis of prices set by law or regulation.

       

42) Written Record of Procurement History [FTA C 4220.1F, III, 3. d. (1)]

The file contains records detailing the history of this procurement. At a minimum, these records include:

 

(1) Rationale for the method of procurement,

(2) Selection of contract type,

(3) Reasons for contractor selection or rejection, and

(4) Basis for the contract price.

(ii)        Not Deficient: If #2,3 and 4 are recorded.

           

    43) Exercise of Options [FTA C 4220.1F, V, 7. a. (1) (a) (b)]

    The grantee exercised an option on this contract adhering to the terms and conditions of the option stated in the contract and determined that the option price was better than prices available in the market or that the option was a more advantageous offer at the time the option was exercised.

    If an option was not exercised under this contract, check NA.

           

    44) Out of Scope Changes [FTA C 4220.1F, VI, 3. h. (3) (c)]

    The grantee amended this contract outside the scope of the original contract. The amendment was treated as a sole source procurement (complying with the FTA requirements for a justification, cost analysis and profit negotiation).

     

    If the contract was not modified or if all reviewed modifications were within the scope of the contract, check Not Applicable.

           

    45) Advance Payment Provisions [FTA C 4220.1F, IV, 2. b. (4) (b) 1, 2]

    The contractor did not receive an advance payment utilizing FTA funds and the contract does not contain advance payment provisions or, if it did, prior written concurrence was obtained from FTA.

           

    46) Progress Payment Provisions [FTA C 4220.1F, IV, 2.b.(5)(c)

    The contract contains progress payments based on costs incurred (as opposed to percent of completion, except that percent of completion may be used in construction contracts) and the contract contains a provision giving the grantee title to property (materials, work in progress, and finished goods) for which progress payments are made. The contract may contain other security in lieu of obtaining title.

     

    If the contract does not contain progress payments, check NA.

           

    47) Time and Materials Provisions [FTA C 4220.1F, VI, 2.c.(2)(b)

    This is a time and materials contract; the grantee determined that no other type of contract is suitable; and the contract specifies a ceiling price.

    If this is not a time and materials contract, check NA.

           

    48) Cost Plus Percentage of Cost [FTA C 4220.1F, VI, 2.c.(2)(a)

    This is not a cost plus a percentage of cost type contract.

           

    49) Liquidated Damages Provisions [FTA C 4220.1F, IV, 2.b.(6)(b) 1)]

    This contract contains liquidated damages provisions and the assessment for damages is specified in the contract at a specific rate per day for each day of overrun in contract time.

    If this contract does not contain liquidated damages provisions, check NA

           

    50) Piggybacking [FTA C 4220.1F, V, 7. a. (2)]

    (1) This contract contains:

    (a) Assignability provisions

    (b) Required Federal clauses

    (c) Minimum and maximum quantities (if IDIQ)

    (2) The procurement file contains:

    (a) Price reasonableness determination

    If this is not a “Piggybacking” contract, check NA.

           

    56) Clauses [FTA C 4220.1F, IV, 2.]

    This contract contains the appropriate FTA required clauses.

    The contract clauses located in the Master Agreement should be used to determine the applicability of the clauses to the procurement type. FTA C 4220.1F, Appendix D, and The Best Practices Procurement Manual, Appendix A.1, can be used to determine the applicability of the specific language of a clause that a grantee may use.

           

     

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    This checklist is to be used for all procurements where the grantee has chosen to use a method of selection based on technical or qualification factors as well as price.  If the contract is for construction, architectural, and engineering services, or for rail and bus purchases, the respective checklist supplement must be used.

    REVIEW FINDINGS CHECK LIST

     

     

    Purchase Order Number ____________________________________________________

     

    Date of Award ___________________________________________________________

     

    Contractor_______________________________________________________________

     

    Purchase Order Value $ ____________________________________________________

     

    Brief Description of Supplies or Services:

    ________________________________________________________________________

    ________________________________________________________________________

    Observations:

    ________________________________________________________________________

    ________________________________________________________________________

    ________________________________________________________________________

    ________________________________________________________________________

    ________________________________________________________________________

    ________________________________________________________________________

     

    Grantee_______________________________

     

    Reviewer______________________________

     

    Date Reviewed_________________________

     

    III.2.e

    COMPETITIVE PROPOSALS (RFP)
    Check list ND D NA Evaluation/Comments (Include work/paper references)

    7) Independent Cost Estimate [FTA C 4220.1F, VI, 6.]

    The grantee made and documented an independent cost estimate before receipt of proposals.

           

    9) Unreasonable Qualification [FTA C 4220.1F, VI, 2. a. (4) (a)]

    This solicitation did not contain unreasonable requirements placed on firms.

           

    10) Unnecessary Experience and Excessive Bonding

    [FTA C 4220.1F, VI, 2. a. (4) (b) (e)]

    Unnecessary experience and excessive bonding requirements were not included in this solicitation or contract documents.

           

    11) Organizational Conflict of Interest (OCI) ) [FTA C 4220.1F, VI, 2. a. (4) (h)]

    There is an apparent or potential OCI and the solicitation contains provisions to eliminate or mitigate the conflict (e.g. by inserting a clause that prohibits the contractor from competing for the follow-on contract to the current design or research contact).

    If there is no apparent or potential OCI, check NA.

           

    12) Arbitrary action [FTA C 4220.1F, VI, 2. a. (4) (j)]

    There was no arbitrary action in the procurement process. (An example of arbitrary action is when award is made to other than the contractor who most satisfied all the grantee’s requirements as specified in the solicitation and as evaluated by staff.)

           

    13) Brand Name Restrictions [FTA C 4220.1F, VI, 2. a. (4) (f)]

    A “brand name or equal’ specification is used and the solicitation has identified the minimum needs and clearly set forth those salient physical and functional characteristics of the brand name required by the grantee.

     

    If the solicitation specifies ‘brand name” only without specifying an equal or listing the physical or functional characteristics needed, check Deficient.

     

    If the procurement does not specify a “brand name”, check NA.

     

           

    14) Geographic Preferences [FTA C 4220.1F, VI, 2.a.(4) (g))]

    The solicitation contains no in-State or local geographic preferences except where Federal statutes expressly mandate or encourage them.

           

    15) Contract Term Limitation [FTA C 4220.1F, IV, 2.(e)(10)

    The contract period of performance for rolling stock and replacement parts does not exceed five (5) years inclusive of options without prior written FTA approval. For all other types of contracts, the procurement file contains evidence that the contract term is based upon sound business judgment.

           

    16) Written Procurement Selection Procedures

    [FTA C 4220.1F, III, 3. a.; VI, 2. e.]

    The grantee has written selection procedures and the solicitation also identifies all requirements that offerors must fulfill and all other factors to be used in evaluating bids or proposals.

           

    17) Solicitation Prequalification Criteria [FTA C 4220.1F, VI, 1.c]

    The solicitation required prequalification of persons, firms, or products. The list is current, includes enough qualified sources to ensure maximum full and open competition, and potential bidders are not precluded from qualifying during the solicitation period from issuance of the solicitation to its closing date.

     

    If the solicitation does not contain a prequalification requirement, check NA.

           

    18) Award to Responsible Contractors [FTA C 4220.1F, VI, 8. b.]

    The grantee made a determination that it was awarding to a responsible contractor considering such matters as contractor integrity, compliance with public policy, record of past performance, and financial and technical resources.

           

    19) Sound and Complete [FTA C 4220.1F, III, 3. b.; IV, 2.b.(6)(b) 4]

    This contract is a sound and complete agreement. In addition, it includes remedies for breach of contract and provisions covering termination for cause and convenience.

           

    24) Clear, Accurate, and Complete Specification [FTA C 4220.1F, VI, 2. a.; VI, 3. c. (2) (c)]

    A complete, adequate, and realistic specification or purchase description was available and included any specifications and pertinent attachments that define the items or services sought in order for the bidder to properly respond.

           

    25) More Than One Source [FTA C 4220.1F, VI, 3. d.

    For this procurement, more than one qualified source submitted offers, i.e. proposals. (If not, the reviewer should review the contract as a noncompetitive negotiation.)

           

    29) Publicized [FTA C 4220.1F, VI, 3. d. (2) (a)]

    For this procurement, the Request for Proposals was publicized.

           

    30) Adequate Number of Sources Solicited [FTA C 4220.1F, 3. d. (2) (c)]

    For this procurement proposals were solicited from an adequate number of qualified sources.

           

    36) Evaluation Factors in RFP [FTA C 4220.1F, 3. d. (2) (d)]

    A method is in place for conducting technical evaluations of the proposals received and the solicitation has evaluation factors identified along with their relative importance.

           

    37) Price and Other Factors [FTA C 4220.1F, 3. d. (2) (e)]

    For this procurement, award was made to the responsible firm whose proposal is most advantageous to the grantee’s program with price and other factors considered.

           

    40) Evaluation of Options [FTA C 4220.1F, VI, 7. b.]

    The option quantities or periods contained in the contractor’s bid or offer were evaluated in order to determine contract award. (To be eligible for Federal funding, options must be evaluated as part of the price evaluation of offers, or must be treated as sole source awards.)

    If the contact does not contain options, check NA.

           

    41) Cost or Price Analysis [FTA C 4220.1F, VI, 6.]

    Either a cost analysis, with associated profit negotiation, or a price analysis was performed and documented in the procurement file with respect to the initial contract award. Also cost analysis was performed when negotiating contract modifications unless price reasonableness was established on the basis of a catalog or market price of a commercial product sold in substantial quantities to the general public or on the basis of prices set by law or regulation.

           

    42) Written Record of Procurement History [FTA C 4220.1F, III, 3. d. (1)]

    The file contains records detailing the history of this procurement. At a minimum, these records include:

    (1) Rationale for the method of procurement,

    (2) Selection of contract type,

    (3) Reasons for contractor selection or rejection, and

    (4) Basis for the contract price.

           

    43) Exercise of Options [FTA C 4220.1F, V, 7. a. (1) (a) (b)]

    The grantee exercised an option on this contract adhering to the terms and conditions of the option stated in the contract and determined that the option price was better than prices available in the market or that the option was a more advantageous offer at the time the option was exercised.

    If an option was not exercised under this contract, check NA.

           

    44) Out of Scope Changes [FTA C 4220.1F, VI, 3. h. (3) (c)]

    The grantee amended this contract outside the scope of the original contract. The amendment was treated as a sole source procurement (complying with the FTA requirements for a justification, cost analysis and profit negotiation).

    If the contract was not modified or if all modifications reviewed were within the scope of the contract, check NA.

           

    45) Advance Payment Provisions [FTA C 4220.1F, IV, 2. b. (5)(b)

    The contractor did not receive an advance payment utilizing FTA funds and the contract does not contain advance payment provisions or, if it did, prior written concurrence was obtained from FTA.

           

    46) Progress Payment Provisions [FTA C 4220.1F, IV, 2. b. (5) (c)]

    The contract contains progress payments based on costs incurred (as opposed to percent of completion, except that percent of completion may be used in construction contracts) and the contract contains a provision giving the grantee title to property (materials, work in progress, and finished goods) for which progress payments are made. The contract may contain other security in lieu of obtaining title.

    If the contract does not contain progress payments, check NA.

           

    47) Time and Materials Contracts [FTA C 4220.1F, VI, 2.c.(2)(b)]

    This is a time and materials contract; the grantee determined that no other type of contract is suitable; and the contract specifies a ceiling price.

    If this is not a time and materials contract, check NA.

           

    48) Cost Plus Percentage of Cost [FTA C 4220.1F, VI, 2.(h)(2)(a)]

    This is not a cost plus a percentage of cost - type contract.

           

    49) Liquidated Damages Provisions [FTA C 4220.1F, IV, 2. 504-610-6548 (b) c.(6)(b) 1

    This contract contains liquidated damages provisions and the assessment for damages is specified in the contract at a specific rate per day for each day of overrun in contract time.

    If this contract does not contain liquidated damages provisions, check NA

           

    50) Piggybacking [FTA C 4220.1F, V, 7. a. (2)]

    (1) This contract contains:

    (a) Assignability provisions

    (b) Required Federal clauses

    (c) Minimum and maximum quantities (if IDIQ)

    (2) The procurement file contains:

    (a) Price reasonableness determination

    If this is not a “Piggybacking” contract, check NA.

           

    56) Clauses [FTA C 4220.1F, IV, 2.]

    This contract contains the appropriate FTA required clauses.

    The contract clauses located in the Master Agreement should be used to determine the applicability of the clauses to the procurement type. FTA C 4220.1F, Appendix D, and The Best Practices Procurement Manual, Appendix A.1, can be used to determine the applicability of the specific language of a clause that a grantee may use.

           

     

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    This checklist is to be used for all procurements where the grantee has only solicited or negotiated with one source for the product or service and the amount is greater than $3,000.  It should also be used for changes that are outside the scope of the contract and for the exercise of options that were not evaluated in awarding the base contract containing the option.

    REVIEW FINDINGS CHECK LIST

    Purchase Order Number ____________________________________________________

    Purchase Order Number ____________________________________________________

     

    Date of Award ___________________________________________________________

     

    Contractor_______________________________________________________________

     

    Purchase Order Value $ ____________________________________________________

     

    Brief Description of Supplies or Services:

    ________________________________________________________________________

    ________________________________________________________________________

    Observations:

    ________________________________________________________________________

    ________________________________________________________________________

    ________________________________________________________________________

    ________________________________________________________________________

    ________________________________________________________________________

    ________________________________________________________________________

    Grantee_______________________________

     

    Reviewer______________________________

     

    Date Reviewed_________________________

     

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    III.2.f

    NON-COMPETITIVE PROPOSALS (SOLE SOURCE)
    Check list ND D NA Evaluation/Comments (Include work/paper references)

    7) Independent Cost Estimate [FTA C 4220.1F, VI, 6.]

    The grantee made and documented an independent cost estimate before receipt of proposals.

           

    10) Unnecessary Experience and Excessive Bonding [FTA C 4220.1F, VI, 2. a. (4) (b) (e)]

    Unnecessary experience and excessive bonding requirements were not included in this solicitation or contract documents.

           

    11) Organizational Conflict of Interest (OCI) [FTA C 4220.1F, VI, 2. a. (4) (h)]

    There is an apparent or potential OCI and the solicitation contains provisions to eliminate or mitigate the conflict (e.g. by inserting a clause that prohibits the contractor from competing for the follow-on contract to the current design or research contact).

    If there is no apparent or potential OCI, check NA.

           

    12) Arbitrary Action [FTA C 4220.1F, VI, 2. a. (4) (j)]

    There was no arbitrary action in the procurement process. (An example of arbitrary action is when award is made to other than the contractor who most satisfied all the grantee’s requirements as specified in the solicitation and as evaluated by staff.)

           

    13) Brand Name Restrictions [FTA C 4220.1F, VI, 2. a. (4) (f)]

    A “brand name or equal” specification is used and the solicitation has identified the minimum needs and clearly set forth those salient physical and functional characteristics of the brand name required by the grantee.

    If the solicitation specifies “brand name” only without specifying an equal or listing the physical or functional characteristics needed, check Deficient.

    If the procurement does not specify a “brand name”, check NA.

           

    14) Geographic Preferences [FTA C 4220.1F, VI, 2. a.

    The solicitation contains no in-State or local geographic preferences except where Federal statutes expressly mandate or encourage them.

           

    15) Contract Term Limitation [FTA C 4220.1F, IV, 2.e.(10)

    The contract period of performance for rolling stock and replacement parts does not exceed five (5) years inclusive of options without prior written FTA approval. For all other types of contract, the procurement file contains evidence that the contract term is based upon sound business judgment.

           

    18) Award to Responsible Contractor [FTA C 4220.1F, VI, 8. b.]

    The grantee made a determination that it was awarding to a responsible contractor considering such matters as contractor integrity, compliance with public policy, record of past performance, and financial and technical resources.

           

    19) Sound and Complete Agreement [FTA C 4220.1F, III, 3. b.; IV, 2. b.(6)(b) 4

    This contract is a sound and complete agreement. In addition, it includes remedies for breach of contract and provisions covering termination for cause and convenience.

           

    24) Clear, Accurate, and Complete Specification [FTA C 4220.1F, VI, 2. a.; VI, 3. c. (2) (c)]

    A complete, adequate, and realistic specification or purchase description was available and included any specifications and pertinent attachments that define the items or services sought in order for the bidder to properly respond.

           

    38) Sole Source if Other Award is Infeasible [FTA C 4220.1F, VI, 3. h.]

    The contract file contains documentation that award of a contract was infeasible under small purchase procedures, sealed bids, or competitive proposals and at least one of the following circumstances applies:

    (1) The item was available only from a single source.

    (2)  Public exigency for the requirement did not permit a delay resulting from a competitive solicitation.

    (3) An emergency for the requirement did not permit a delay resulting from a competitive solicitation.

    (4) The FTA authorized noncompetitive negotiations.

    (5) Competition was determined inadequate after solicitation of a number of sources.

           

    39) Cost Analysis Required [FTA C 4220.1F, VI, 6. a.]

    Cost analysis and profit negotiations were performed (initial award and modifications) and documented or price reasonableness was established on the basis of a catalog or market price of a commercial product sold in substantial quantities to the general public or on the basis of prices set by law or regulation.

           

    40) Evaluation of Options [FTA C 4220.1F, VI, 7. b.]

    The option quantities or periods contained in the contractor’s bid or offer were evaluated in order to determine contract award. (To be eligible for Federal funding, options must be evaluated as part of the price evaluation of offers, or must be treated as sole source awards.)

    If the contract does not contain options, check NA.

           

    42) Written Record of Procurement History [FTA C 4220.1F, III, 3. d. (1)]

    The file contains records detailing the history of this procurement. At a minimum, these records include:

    (1) Rationale for the method of procurement,

    (2) Selection of contract type,

    (3 Reasons for contractor selection or rejection, and

    (4) Basis for the contract price.

           

    43) Exercise of Options [FTA C 4220.1F, V, 7. a. (1) (a) (b)]

    The grantee exercised an option on this contract adhering to the terms and conditions of the option stated in the contract and determined that the option price was better than prices available in the market or that the option was a more advantageous offer at the time the option was exercised.

    If an option was not exercised under this contract, check NA.

           

    44) Out of Scope Changes [FTA C 4220.1F, VI, 3.i.(1)(b)

    The grantee amended this contract outside the scope of the original contract. The amendment was treated as a sole source procurement (complying with the FTA requirements for a justification, cost analysis and profit negotiation).

    If the contract was not modified or if all modifications reviewed were within the scope of the contract, check NA.

           

    45) Advance Payment Provisions [FTA C 4220.1F, IV, 2. b. (5)(6)

    The contractor did not receive an advance payment utilizing FTA funds and the contract does not contain advance payment provisions or, if it did, prior written concurrence was obtained from FTA.

           

    46) Progress Payment Provisions [FTA C 4220.1F, IV, 2. b. (5) (c)]

    The contract contains progress payments based on costs incurred (as opposed to percent of completion, except that percent of completion may be used in construction contracts) and the contract contains a provision giving the grantee title to property (materials, work in progress, and finished goods) for which progress payments are made. The contract may contain other security in lieu of obtaining title.

    If the contract does not contain progress payments, check NA.

           

    47) Time and Materials Contracts [FTA C 4220.1F, VI, 2.c.(2)(b)]

    This is a time and materials contract; the grantee determined that no other type of contract is suitable; and the contract specifies a ceiling price.

    If this is not a time and materials contract, check NA.

           

    48) Cost Plus Percentage of Cost [FTA C 4220.1F, VI, 2.(h)(2)(a)].]

    This is not a cost plus a percentage of cost type contract.

           

    49) Liquidated Damages Provisions [FTA C 4220.1F, IV, 2. b.(6)(b) 1]

    This contract contains liquidated damages provisions and the assessment for damages is specified in the contract at a specific rate per day for each day of overrun in contract time.

    If this contract does not contain liquidated damages provisions, check NA

           
    50) Piggybacking [FTA C 4220.1F, V, 7. a. (2)]
         (1) This contract contains:
           (a) Assignability provisions 
           (b) Required Federal clauses
           (c) Minimum and maximum quantities (if IDIQ)
         (2) The procurement file contains:
           (a) Price reasonableness determination
    If this is not a “Piggybacking” contract, check NA.
           
    56) Clauses [FTA C 4220.1F, IV, 2.]
    This contract contains the appropriate FTA required clauses. The contract clauses located in the Master Agreement should be used to determine the applicability of the clauses to the procurement type. FTA C 4220.1F, Appendix D, and the Best Practices Procurement Manual, Appendix D, can be used to determine the applicability of the specific language of a clause that a grantee may use.
           

     

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    III.2.g. SUPPLEMENT:  ARCHITECT & ENGINEERING SERVICES

    This checklist is to be used in addition to either the Small Purchase Checklist or the Competitive Proposal Checklist whenever the specifications require a licensed architect or engineer to perform the services.  This checklist should also be used in contracts for design-build services (when preponderance of work is A&E), program management, construction management, feasibility studies, preliminary engineering, design, surveying, and mapping which require performance by a registered or licensed architect or engineer.  (This does not apply to forms of turnkey procurements that combine design with construction and/or operation or to contracts with a value less than $3,000.)

    These requirements apply except to the extent any State adopts or has adopted by statute a formal procedure for the procurement of architectural and engineering services.

    III.2.g

    ARCHITECT & ENGINEERING SERVICES (SUPPLEMENT)
    Check list ND D NA Evaluation/Comments (Include work/paper references)
    8) A&E Geographic Preferences [FTA C 4220.1F, VI, 2. a. (4) (g)]

    Geographic location is not a selection criterion or it is a selection criterion and its application leaves an appropriate number of qualified firms, given the nature and size of the project, to compete for the contract.
           
    51) Qualifications Exclude Price [FTA C 4220.1F, VI, 3.f.(3)]

    The grantee evaluated the offeror’s qualifications and excluded price as an evaluation factor.
           
    52) Serial Price Negotiations [FTA C 4220.1F, VI, 3.f.(3)

    The grantee conducted negotiations with only the most qualified offeror and failing agreement on price would conduct negotiations with the next most qualified offeror until contract award could be made to the most qualified offeror whose price is fair and reasonable to the grantee.
           

     

     

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    III.2.h. SUPPLEMENT:  CONSTRUCTION PROCUREMENTS

    This checklist is to be used in addition to the Small Purchases Checklist, the Sealed Bids Checklist, or the Competitive Proposals Checklist whenever the procurement is for construction or facility improvement.

    III.2.h

    CONSTRUCTION PROCUREMENTS (SUPPLEMENT)
    Check list ND D NA Evaluation/Comments (Include work/paper references)

    53) Bid Security [FTA C 4220.1F, IV, 2.h.(1)(a)]
    The contract exceeds $100,000 and bidders were required to provide a bid guarantee of at least 5% of the bid price.

    If the contract does not exceed $100,000, check NA.

           

    54) Performance Security [FTA C 4220.1F, IV, 2.h.(1)(b)
    The contract exceeds $100,000 and the contractor is required to furnish a 100% performance bond or other security.
    (A cash deposit, certified check or other negotiable instrument may be accepted by the grantee in lieu of a performance bond, provided the grantee has established a procedure to assure that the interest of FTA is adequately protected.)

    If the contract does not exceed $100,000, check NA.

           

    55) Payment Security [FTA C 4220.1F, IV, 2.h.(1)(c)
    The contract exceeds $100,000 and the contractor is required to furnish payment bond as a minimum in the following amount:
            (1) 50% of the contract price if the contract price is not more than $1 million.
            (2) 40% of the contract price if the contract price is more than $1 million but not more than $5 million, or
            (3)  $2.5 million if the contract price is more than $5 million. (A cash deposit, certified check or other negotiable instrument may be accepted by the grantee in lieu of a payment bond, provided the grantee has established a procedure to assure that the interest of FTA is adequately protected.)

    If the contract does not exceed $100,000, check NA

           

     

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    This checklist is used in addition to the appropriate Review Findings Checklist whenever the procurement is for rail vehicles.  The reviewer will complete this form for all rail vehicle procurements made by the grantee in the past five (5) years whether or not the procurement is chosen for review. 

    PRE-AWARD AND POST DELIVERY REVIEW
    REQUIREMENTS AND CHECKLIST

     

    RAIL VEHICLE_________________________________________________________

     

    CONTRACT NO.________________________________________________________

    <> 

     


    Pre-Award Review

    (Before signing a contract with a supplier)

    Buy America Certification

     

    A. ____ Reviewed and Verified 60 Percent Domestic Content;
    AND

    ____ Reviewed and Verified Proposed U.S. Final Assembly

    Location, Operations, and Total Cost

     

    OR

     

    B. ____ Requested and Received Buy America Waiver

     

    Purchaser’s Requirements Certification

     

    A. ____ Checked Bid Specification Compliance With Solicitation

    Specifications; AND

    ____ Completed Manufacturer Capability Study

     


    Post-Delivery Review 

    (Before using the vehicles in transit service)

    Buy America Certification

     

    A. ____ Reviewed and Verified 60 Percent Domestic Content;
    AND

    ____ Reviewed and Verified Actual U.S. Final Assembly

    Location, Operations, and Total Cost

    OR

     

    B. ____ Requested and Received Buy America Waiver

     

    Purchaser’s Requirements Certification

     

    A. ____ Completed Resident Inspector’s Report; AND

    ____ Completed Visual Inspections and Performance Tests

    (Note: All certifications must be kept on file. Supporting documentation should accompany each certification.)

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    This check list is used in addition to the appropriate Review Findings Check List whenever the procurement is for buses. The reviewer will complete this form for all bus procurements made by the grantee in the past five (5) years whether or not the procurement is chosen for review.

    PRE-AWARD AND POST DELIVERY REVIEW
    REQUIREMENTS AND CHECKLIST

    BUS____________________________________________________________________

    CONTRACT NO.________________________________________________________


    Pre-Award Review

    (Before signing a contract with a supplier)

    Buy America Certification

    A. ____ Reviewed and Verified 60 Percent Domestic Content; AND

    ___ Reviewed and Verified Proposed U.S. Final Assembly

    Location, Operations, and Total Cost

     

    OR

     

    B. ____ Requested and Received Buy America Waiver

     

    Purchaser’s Requirements Certification

    A. ____ Checked Bid Specification Compliance With Solicitation

    Specifications; AND

    ____ Completed Manufacturer Capability Study

     

    Federal Motor Vehicle Safety Standards (FMVSS) Certification

    Requested and Received Manufacturer’s Letter Stating:

    A. ____ The Information to be Included on the FMVSS Stickers

     

    OR

     

    B. ____ The Buses Are Not Subject to FMVSS


    Post-Delivery Review 

    (Before using the vehicles in transit service)

    Buy America Certification

    A. ____ Reviewed and Verified 60 Percent Domestic Content; AND

    ____ Reviewed and Verified Actual U.S. Final Assembly

    Location, Operations, and Total Cost

    OR

    B. ____ Requested and Received Buy America Waiver

     

    Purchaser’s Requirements Certification

    A. For Procurements of More Than Ten Buses or Modified Vans

    ____ Completed Resident Inspector’s Report; AND

    ____ Completed Visual Inspections and Road Tests

    OR

    B. For Procurements of Ten or Fewer Buses or Modified Vans, and

    Any Number of Unmodified Vans

    ____ Completed Visual Inspections and Road Tests

     

    Federal Motor Vehicle Safety Standards (FMVSS) Certification

    A. ____ Verified FMVSS Sticker is Affixed to Each Bus

    OR

    B. ____ Requested and Received Manufacturer’s Letter Stating

    That the Buses Are Not Subject to FMVSS 

    (Note: All certifications must be kept on file. Supporting documentation should accompany each certification.)

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    III.3.a. SAMPLE REPORT FORMAT

     

    EXECUTIVE SUMMARY

    Provide a brief summary of the report content, including a list of all deficiencies with reference to the associated page numbers in the report.

    I. PROCUREMENT SYSTEM REVIEW BACKGROUND

    Background

    The objectives of the Procurement System Review (PSR) are to encourage and facilitate improved grantee procurement operations, promote the use of best practices, and assess grantee’s compliance with all Federal requirements, specifically the requirements of Federal Transit Administration (FTA) Circular 4220.1F and the Pre-Award Post-Delivery Rule. The PSR is designed to be a customer-oriented review that encourages working relationships between FTA and the grantees.

    The procurement system review of the (transit agency) is performed in accordance with FTA procedures and includes a Risk Assessment Phase and Contract Review Phase. The Risk Assessment Phase includes a regional office review, grantee document review, initial site visit, systemwide requirements review, and documentation of risk assessment. The Contract Review Phase includes a second site visit, sample selection, contract file reviews, and follow-up interviews. Specific documents reviewed are referenced in the report and are available in FTA’s (transit agency’s) files.

    The report should identify attendees at the entrance and exit conferences either here or reference an attachment.

    Required Elements


    The procurement system review looks at both systemwide elements and individual procurement elements. Systemwide procurement elements are requirements that apply to the procurement system as a whole; individual procurement elements are evaluated on an individual contract basis and summarized across all contracts reviewed.

    Classification of Findings

    The reviewer records deficiencies for each systemwide and individual procurement element. The reviewer determines deficiencies for systemwide elements based on the results of the Systemwide Elements Review Checklist. The reviewer determines deficiencies for each individual procurement element based upon all the contract files reviewed.

    Two levels of findings are used:

    II. DESCRIPTION OF THE GRANTEE

    Include scope of services, locations, projects being pursued, and review of the policies and procedures, thresholds, and approval activity. Show funding breakout.

    III. RESULTS OF THE REVIEW

    The results of the review are summarized for each systemwide and individual procurement element. For each procurement requirement, the report describes the required element, cites a reference to FTA Circular 4220.1F (and other applicable regulations), discusses the issues and identifies deficiencies, presents best practices/advisory comments, and incorporates the grantee’s corrective actions and schedule.

    A. SYSTEMWIDE PROCUREMENT ELEMENTS

    Systemwide procurement elements are requirements that apply to the procurement system as a whole. The systemwide procurement elements are primarily evaluated during the Assessment Phase. During the Assessment Phase, interviews are conducted with senior management to assess the procurement system environment. Interviews are also conducted with procurement staff to assess the effectiveness of the procurement system. The findings in this section are a result of these interviews and additional insights gained during the Contract Review Phase. The results are presented below. Those elements for which the grantee is not deficient are shown first, and those defined as "deficient" with respect to that element are shown second. Within each category the numbered elements appear as they are listed in FTA’s PSR Guide.

    NOT DEFICIENT (A full description of the elements for which the grantee is not deficient is in Appendix ___.)

    The grantee is “not deficient” with respect to the following elements:

    Element 1 - Written Standards of Conduct

    Element 3 - Written Protest Procedures, etc.


    DEFICIENT

    The grantee is "deficient" with respect to the following elements:

    Element 2 - Contract Administration System

    “Grantees shall maintain a contract administration system that ensures that contractors perform in accordance with the terms, condition, specifications of their contracts or purchase orders.” [FTA Circular 4220.1F, III, 3.]

    Discussion

    The grantee is “deficient” with respect to this element. Discussion of the review findings.

    Best Practices/Advisory Comments

    The grantee should amend policies, regulations, procedures, etc. The grantee may consider .......... as it is a best practice.

    Corrective Actions and Schedule

    Grantee provides corrective actions and implementation schedule that is incorporated into the final report.

    B. INDIVIDUAL PROCUREMENT ELEMENTS

    The individual procurement elements are applicable to the contract files reviewed. We compiled the findings from all contracts reviewed by each individual procurement element. The results of those findings and conclusions are presented below and organized by whether the element was evaluated as "not deficient" or "deficient". Those elements for which the grantee is “not deficient” are shown first, and those defined as "deficient" with respect to that element are shown second. The elements "not applicable" to the sample contract files reviewed are shown in Appendix I, Report Summary Table. Within each category the numbered elements appear as they are listed in FTA’s PSR Guide.

    NOT DEFICIENT (A full description of the elements for which the grantee is not deficient is in Appendix ____.)

    The grantee is “not deficient” with respect to the following elements:

    Element 8 – A&E Geographic Preference

    Element 13 - Brand Name Restrictions

    Element 47 - Progress Payments, etc.


    DEFICIENT

    The grantee is "deficient" with respect to the following elements:

    Element 7 - Independent Cost Estimate

    “Grantees must perform a cost or price analysis in connection with every procurement action, ...as a starting point, grantees must make independent estimates before receiving bids or proposals” [FTA C 4220.1F, VI, 6.]

    Discussion

    The grantee is “deficient” with respect to this element. Discussion of the review finding.

    Best Practices/Advisory Comments

    The grantee should amend policies, regulations, procedures, etc. The grantee may consider ....... as it is a best practice.

    Corrective Actions and Schedule

    Grantee provides corrective actions and implementation schedule for implementation that is incorporated into the final report. If the corrective actions and implementation schedule proposed by the grantee are unsatisfactory, discuss and resolve appropriate report content with the Regional Office. 

    PRE-AWARD POST-DELIVERY RULE

    The pre-award review is intended to help the grantee ensure that the proposed buses (rail cars) will meet (1) the Buy America regulations, (2) the grantee’s needs and specifications, and (3) the Federal Motor Vehicle Safety Standards (FMVSS) regulations. The post-delivery review is intended to help the grantee ensure that the delivered buses (rail cars) meet the above stipulations.

    Discussion

    The grantee is (not deficient, deficient). Discuss the requirement and findings.

    Corrective Actions and Schedule

    Grantee provides corrective actions and implementation schedule that is incorporated into the final report.

    OTHER MATTERS, e.g.:

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    III.3.b

    REPORT SUMMARY TABLE

    No. Element

    Basic Requirement

    ND D NA Tot

    Corrective
     Actions

    1)
    Written Standards of Conduct

    FTA C 4220.1F,

    III, 1. a. b. c.

             
    2)
    Contract Administration System

    FTA C 4220.1F,

    III, 3.

             
    3) 
    Written Protest Procedures

    FTA C 4220.1F,

    VII, 1. a. b.

             
    4)
    Prequalification System
    FTA C 4220.1F, VI, 1.c.          
    5)
    System for Ensuring Most Efficient and Economic Purchase

    FTA C 4220.1F,

    IV, 1. b. c. e.

             
    6)
    Procurement Policies and Procedures 

    FTA C 4220.1F,

    III, 3.a..

             
    7)
    Independent Cost Estimate

    FTA C 4220.1F,

    VI, 6.

             
    8)
    A&E Geographic Preference

    FTA C 4220.1F,

    VI, 2. a. (4) (g)

             
    9)
    Unreasonable Qualification Requirements

    FTA C 4220.1F,

    VI, 2. a. (4) (a)

             
    10)
    Unnecessary Experience and Excessive Bonding

    FTA C 4220.1F,

    VI, 2. a. (4) (e); BPPM 8.2

             
    11)
    Organizational Conflict of Interest

    FTA C 4220.1F,

    VI, 2. a. (4) (h)

             
    12)
    Arbitrary Action

    FTA C 4220.1F,

    VI, 2. a. (4) (j)

             
    13) 
    Brand Name Restrictions

    FTA C 4220.1F,

    VI, 2. a. (3) (4) (f)

             
    14)
    Geographic Preferences FTA C 4220.1F, VI, 2. a. (4) (g)          
    15)
    Contract Term Limitation FTA C 4220.1F, IV, 2. e. (10)          
    16)
    Written Procurement Selection Procedures

    FTA C 4220.1F,

    III, 3. a.; VI, 2. e.

             
    17)
    Solicitation Prequalification Criteria

    FTA C 4220.1F,

    VI, 1.c. (1) (2) (3)

             
    18)
    Award to Responsible Contractors

    FTA C 4220.1F,

    VI, 8. b.

             
    19)
    Sound and Complete Agreement FTA C 4220.1F, IV, 2.b.(6) 2; IV, 2.b.(6) 4          
    20)
    No Splitting [Micro-purchase]

    FTA C 4220.1F,

    VI, 3. a. (2) (b)

             
    21)
    Fair and Reasonable Price Determination [Micro-purchase]

    FTA C 4220.1F,

    VI, 3. a. (2) (c)

             
    22)
    Micro-Purchase Davis Bacon

    FTA C 4220.1F,

    VI, 3. a. (1)

             
    23)
    Price Quotations [Small Purchase]

    FTA C 4220.1F,

    VI, 3. b. (2)

             
    24)
    Clear, Accurate, and Complete Specification FTA C 4220.1F, III, 3. a. (1) (b) (d); VI, 2. a.; VI, 3. c. (2) (c)          
    25)
    Adequate Competition - Two or More Competitors

    FTA C 4220.1F,

    VI, 3. c. (b); VI, 3. d. (2) (c)

             
    26)
    Firm Fixed Price [Sealed Bid]

    FTA C 4220.1F,

    VI, 3. c. (1) (c)

             
    27)
    Selection on Price [Sealed Bid]

    FTA C 4220.1F,

    VI, 3. c. (1) (d)

             
    28)
    Discussions Unnecessary [Sealed Bid]

    FTA C 4220.1F,

    VI, 3. c. (1) (e)

             
    29)
    Advertised/Publicized

    FTA C 4220.1F,

    VI, 3. c. (2) (a)

             
    30)
    Adequate Number of Sources Solicited

    FTA C 4220.1F,

    VI, 3. c. (2) (b)

             
    31)
    Sufficient Bid Time [Sealed Bid]

    FTA C 4220.1F,

    VI, 3. c. (2) (d)

             
    32)
    Bid Opening [Sealed Bid]

    FTA C 4220.1F,

    VI, 3. c. (2) (e)

             
    33)
    Responsiveness [Sealed Bid]

    FTA C 4220.1F,

    VI, 3. c. (2) (f)

             
    34)
    Lowest Price [Sealed Bid]

    FTA C 4220.1F,

    VI, 3. c. (2) (d)

             
    35)
    Rejecting Bids [Sealed Bid]

    FTA C 4220.1F,

    VI, 3. c. (2) (g)

             
    36)
    Evaluation [RFP]

    FTA C 4220.1F,

    VI, 3. d. (2) (b) (d)

             
    37)
    Price and Other Factors [RFP]

    FTA C 4220.1F,

    VI, 3. d. (2) (e)

             
    38)
    Sole Source if Other Award is Infeasible FTA C 4220.1F, VI, 3.i.(1); VI, 3.i. (b); VI, 3.i.2  b          
    39)
    Cost Analysis Required [Sole Source]

    FTA C 4220.1F,

    VI, 6. a.

             
    40)
    Evaluation of Options

    FTA C 4220.1F,IV, 1.d

    VI, 7.b; V, 7.a. (1) (c) 1

             
    41)
    Cost or Price Analysis FTA C 4220.1F, VI, 6. a. (2); VI, 6. b.; VI, 6.a.(3)          
    42)
    Written Record of Procurement History

    FTA C 4220.1F,

    III, 3. d.

             
    43)
    Exercise of Options

    FTA C 4220.1F,

    V, 7. a. (1) (a)(b)(c) 2

             
    44)
    Out of Scope Changes

    FTA C 4220.1F,

    VI, 3.i. (1) (b)

             
    45)
    Advance Payments

    FTA C 4220.1F,

    IV, 2. b. (5) (b) 1, 2; IV, 2.b.(5) (b) 2, b; IV, 2.b.(5) (b) 2 b

             
    46)
    Progress Payments

    FTA C 4220.1F,

    IV, 2. b. (5) (c)

             
    47)
    Time and Materials Contracts

    FTA C 4220.1F,

    VI, 2.c.(2)(b)

             
    48)
    Cost Plus Percentage of Cost

    FTA C 4220.1F,

    VI, 2.c.(2)(a).

             
    49)
    Liquidated Damages Provisions

    FTA C 4220.1F,

    IV, 2.b.(6)(b) 1

             
    50)
    Piggybacking

    FTA C 4220.1F,

    V, 7. a. (2)

             
    51)
    Qualifications Exclude Price [A&E]

    FTA C 4220.1F,

    VI, 3.f.(3); VI 3.f.(3)(b); VI, 3.h.

             
    52)
    Serial Price Negotiations [A&E]

    FTA C 4220.1F,

    VI, 3.f.(3)

             
    53)
    Bid Security [Construction over $100,000]

    FTA C 4220.1F,

    IV, 2.h.(1)(b)

             
    54)
    Performance Security [Construction over $100,000]

    FTA C 4220.1F,

    IV, 2.h.(1)(b)

             
    55)
    Payment Security [Construction over $100,000]

    FTA C 4220.1F,

    IV, 2.h.(1)(c); IV, 2.h.(1)(e)

             
    56)
    Clauses

    FTA C 4220.1F,

    IV, 2.

             

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