| |
I.
|
Procurement System Review Overview and Approach |
|
I.1.
|
PSR Objectives |
|
I.2.
|
Procurement Assessment Phase |
|
I.2.a.
|
Regional Office Review |
|
I.2.b.
|
Grantee Document Review |
|
I.2.c.
|
Initial Site Visit |
|
I.2.d.
|
Systemwide Requirements Review |
|
I.3.
|
Contract Review Phase |
|
I.3.a.
|
Selection of Sample |
|
I.3.b.
|
Second Site Visit |
|
I.4.
|
Reporting |
|
I.4.a.
|
Draft Report |
|
I.4.b.
|
Grantee Comments and Preliminary Response |
|
I.4.c.
|
Final Report |
|
I.4.d.
|
Complete File |
|
I.4.e.
|
Entering Procurement System Review Data Into The Oversight Tracking System (OTrak) |
|
I.5.
|
Sample Selection Matrix |
|
I.6.
|
Contract File Summary Sheet |
|
II.
|
Required Procurement Elements and Suggested Best Practices |
|
II.1.
|
Systemwide Elements |
|
II.1.1)
|
Written Standards of Conduct |
|
II.1.2)
|
Contract Administration System |
|
II.1.3)
|
Written Protest Procedures |
|
II.1.4)
|
Prequalification System |
|
II.1.5)
|
Procedures for Ensuring Most Efficient and Economic Purchase |
|
II.1.6)
|
Procurement Policies and Procedures |
|
II.2.
|
Individual Procurement Elements |
|
II.2.7)
|
Independent Cost Estimate |
|
II.2.8)
|
A&E Geographic Preference |
|
II.2.9)
|
Unreasonable Qualification Requirements |
|
II.2.10)
|
Unnecessary Experience and Excessive Bonding |
|
II.2.11)
|
Organizational Conflict of Interest |
|
II.2.12)
|
Arbitrary Action |
|
II.2.13)
|
Brand Name Restrictions |
|
II.2.14)
|
Geographic Preferences |
|
II.2.15)
|
Contract Term Limitation |
|
II.2.16)
|
Written Procurement Selection Procedures |
|
II.2.17)
|
Solicitation Prequalification Criteria |
|
II.2.18)
|
Award to Responsible Contractors |
|
II.2.19)
|
Sound and Complete Agreement |
|
II.2.20)
|
No Splitting [Micro-purchase] |
|
II.2.21)
|
Fair and Reasonable Price Determination [Micro-purchase] |
|
II.2.22)
|
Micro-Purchase Davis Bacon |
|
II.2.23)
|
Price Quotations [Small Purchase] |
|
II.2.24)
|
Clear, Accurate, and Complete Specification |
|
II.2.25)
|
Adequate Competition - Two or More Competitors |
|
II.2.26)
|
Firm Fixed Price [Sealed Bid] |
|
II.2.27)
|
Selection on Price [Sealed Bid] |
|
II.2.28)
|
Discussions Unnecessary [Sealed Bid] |
|
II.2.29)
|
Advertised/Publicized [Sealed Bid] [RFP] |
|
II.2.30)
|
Adequate Number of Sources Solicited [Sealed Bid] [RFP] |
|
II.2.31)
|
Sufficient Bid Time [Sealed Bid] |
|
II.2.32)
|
Bid Opening [Sealed Bid] |
|
II.2.33)
|
Responsiveness [Sealed Bid] |
|
II.2.34)
|
Lowest Price [Sealed Bid] |
|
II.2.35)
|
Rejecting Bids [Sealed Bid] |
|
II.2.36)
|
Evaluation [RFP] |
|
II.2.37)
|
Price and Other Factors [RFP] |
|
II.2.38)
|
Sole Source if Other Award is Infeasible |
|
II.2.39)
|
Cost Analysis Required [Sole Source] |
|
II.2.40)
|
Evaluation of Options |
|
II.2.41)
|
Cost or Price Analysis |
|
II.2.42)
|
Written Record of Procurement History |
|
II.2.43)
|
Exercise of Options |
|
II.2.44)
|
Out of Scope Changes |
|
II.2.45)
|
Advance Payments |
|
II.2.46)
|
Progress Payments |
|
II.2.47)
|
Time and Materials Contracts |
|
II.2.48)
|
Cost Plus Percentage of Cost |
|
II.2.49)
|
Liquidated Damages Provisions |
|
II.2.50)
|
Piggybacking |
|
II.2.51)
|
Qualifications Exclude Price [A&E] |
|
II.2.52)
|
Serial Price Negotiations [A&E] |
|
II.2.53)
|
Bid Security [Construction Over $100,000] |
|
II.2.54)
|
Performance Security [Construction Over $100,000] |
|
II.2.55)
|
Payment Security [Construction Over $100,000] |
|
II.2.56)
|
Clauses |
|
III.
|
Questionnaires and Check Lists |
|
III.1.
|
Assessment Phase Interview Questionnaires |
|
III.1.a.
|
Interview for Chief Executive Officer |
|
III.1.b.
|
Interview for Attorney |
|
III.1.c.
|
Interview for Grants Personnel |
|
III.1.d.
|
Interview for Finance Personnel |
|
III.1.e.
|
Interview for Head of Procurement |
|
III.1.f.
|
Interview for Procurement Staff |
|
III.1.g.
|
Interview for Program Manager |
|
III.1.h.
|
Interview for Disadvantaged Business Enterprise (DBE) Representative |
|
III.1.i.
|
Interview for Internal Auditor |
|
III.2.
|
Review Findings Check Lists |
|
III.2.a.
|
Systemwide Elements Check List |
|
III.2.b.
|
Micro-Purchases |
|
III.2.c.
|
Small Purchases |
|
III.2.d.
|
Sealed Bids |
|
III.2.e.
|
Competitive Proposals (RFP) |
|
III.2.f.
|
Non-Competitive Proposals (Sole Source) |
|
III.2.g.
|
Supplement: Architect & Engineering Services |
|
III.2.h.
|
Supplement: Construction Procurements |
|
III.2.i.
|
Supplement: Pre-Award and Post-Delivery Review
Requirements and Check List (Rail) |
|
III.2.j.
|
Supplement: Pre-Award and Post-Delivery Review
Requirements and Check List (Bus) |
|
III.3.a.
|
Sample Report Format |
|
III.3.b.
|
Report Summary Table |
|
IV.
|
Authorities |
|
IV.1.
|
Common Grant Rule (Part 49 CFR 18) |
|
IV.2.
|
Circular 4220.1E "Third Party Contracting Requirements"
and Change 1 |
|
IV.3.
|
Circular 5010.1C "Grant Management Guidelines" |
|
IV.4.
|
Master Agreement |
