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The manual covers the entire procurement cycle: (1) Planning, (2) Selecting Type of Contracting Method, (3) Evaluation of Proposals and Contract Award, and (4) Contract Administration. Derived from federal statutes, regulations, and guidance, the examples provided are not intended to be all-inclusive, given the many unique situations grantees face when undertaking third-party procurements. Rather, the examples are intended as a resource and a starting point for recipients to explore how other recipients have approached procurement compliance. Items in the table of contents link to the relevant sections. To establish a mechanism to allow grantees to work together to purchase rolling stock, FTA has created an online tool for joint procurement. The manual provides FTA recipients with examples of third-party procurement practices and lessons learned from a variety of third-party procurements undertaken by FTA recipients. The manual also includes two appendices with examples of model contract clauses and third-party procurement practices and other helpful information.
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Grants Administration State Block Grant Program Section 5303 -- Program that funds metropolitan and state transit planning projects Section 5307 -- Formula program that funds capital and operating assistance in urbanized areas Section 5310 -- Programs for capital projects planned, designed and carried out to meet special needs of elderly and individuals with disabilities Section 5311 -- Formula program that funds capital and operating assistance in rural areas Section 5339 -- Buses and Bus Facilities Grants Program Section 5305(d) -- Metropolitan Planning Program (MPP) Florida Department of Transportation Grant Application Manuals Section 5310 Application SFY2022 Section 5310 Application Instruction Manual SFY2022 Section 5311 Application SFY2022 Section 5311 Application Instruction Manual SFY2022 Section 5311(f) Application SFY2021 Section 5311(f) Application Instruction Manual SFY2021 Section 5339 Application SFY2022 Section 5339 Application Instruction Manual SFY2022 5339 Small Urban Guidance Document FFY2017. It is divided into four major sections that cover the entire procurement cycle: Planning, Selecting Type of Contracting Method, Evaluation of Proposals and Contract Award, and Contract Administration. The topics discussed in each section are derived from Federal statutes, regulations, and guidance that affect recipients’ FTA assisted procurements. It does not include any requirements that are not included in statutes, regulations, FTA Circular 4220.1F, FTA’s Master Agreement, or the Uniform Guidance (also referred to as the “Super Circular,” found at 2 C.F.R. 200, replacing and superseding FTA’s Common Grant Rules found at 49 C.F.R. 18). Examples of procurement practices and lessons learned are provided to help recipients improve their internal procurement processes and avoid common pitfalls.
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In addition to this manual, FTA provides other resources and guidance on the Procurement page of its website and recipients and vendors are encouraged to sign up for email alerts when FTA posts updates to procurement issues. FTA posts responses to procurement questions it receives from recipients and vendors that may be of general interest to FTA recipients. These Frequently Asked Questions are located on the Procurement page of FTA’s website. All Rights Reserved. Terms of Use and Privacy Statement. GTFS Builder Introduction Support Getting Started Guide Step 1: Gather Bus Stops Step 2: Build Schedules Step 3: Generate GTFS Advanced Topics Additional Resources Website Builder Introduction Support Help Guide FAQs Accessibility Webinars Upcoming Webinars Recent Webinars Previous Webinars Technical Assistance Technical Assistance Overview Peer Roundtables and Chats Request Assistance RTAPgo Tribal Transit Tribal Transit Overview FTA Tribal Transit Program TTAP Tribal Transit Topic Guide Request Peer Assistance Tribal Awards Engaging with Tribes State RTAP State RTAP Overview Directory of RTAP Managers State RTAP Manager's Toolkit State RTAP Manager's Forum Request Peer Assistance This is true for anything the agency purchases or contracts for with Federal Transit Administration (FTA) funding: vehicles and equipment, outsourced maintenance and repairs, materials and supplies, computer technology, professional services, construction, etc. Subrecipient procurement policies and procedures are expected to comply with FTA requirements, as well as any requirements from State DOTs. The federal requirements ensure that your agency uses federal funding to obtain the best and most appropriate product or service at the best price. The requirements are also designed to ensure that all vendors capable of providing a good or service are given an opportunity to compete for a contract.
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In addition, an agency needs to maintain written standards of conduct governing employees engaged in the awarding and administering third-party contracts, so as to prevent personal conflicts of interest or the acceptance of gifts or favors. Transit managers are encouraged to review Procurement 101 in its entirety first, to gain an overall understanding of the federal procurement requirements and where the supplemental information in Procurement - Beyond 101 fits in. FTA procurement requirements and guidelines are lengthy and complex, and new managers may find it easier to get an overview first, and then delve deeper when it comes time to make a purchase. In addition, this page has been updated to incorporate changes from the “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards” (2 CFR Part 200, commonly known as the “Super Circular”). The Super Circular consolidated eight circulars into uniform regulations located in Title 2 of the Code of Federal Regulations. It applies to all federal grants and cooperative agreements awarded for fiscal years beginning on or after its effective date of December 26, 2014. Per the FTA's FY 2018 Comprehensive Review Guide, the Super Circular requirements should be the point of reference over Circular 4220.1F where there is conflicting information between the two. As an introduction, the following three ranges are specified by the FTA.Note that the Federal government may adjust the thresholds for micro-purchases and large purchases periodically for inflation in the Federal Acquisition Regulations (FAR) (48 CFR Subpart 2.1). These thresholds were increased by Office of Management and Budget (OMB) Memorandum M-18-18, issued on June 20, 2018. As noted previously, the Super Circular requirements should be the point of reference over Circular 4220.1F where there is conflicting information between the two. The Super Circular (specifically with 2 CFR Section 200.88 and Section 200.
320) defines the small purchase method as the simplified acquisition threshold set by the Federal Acquisition Regulation at 48 CFR Subpart 2.1 (Definitions). The micro-purchase threshold is also set by the Federal Acquisition Regulation definitions. However, OMB Memorandum M-18-18 supersedes the thresholds in the current Federal Acquisition Regulation definitions. When in doubt, the subrecipient should check with the State DOT as to the thresholds that apply to their specific grants. If the State DOT is uncertain, the FTA Regional Office would be the point of reference.There must be a cost or price analysis, to ensure a fair and reasonable price is obtained. For example, buying a vehicle entails special requirements, while construction contracts have different requirements. For specifics, refer to Appendix D of FTA Circular 4220.1F. If a transit program is part of a local government, it will also need to follow applicable local requirements. FTA places emphasis on oversight of grantees’ procurement practices, and requires states to ensure that their subrecipients are following the FTA rules. Transit agencies should include such steps within written procurement procedures. According to the APTA Standards Development Program, there are six major steps in a typical procurement process: For the most common types of procurements of rural transit operations, these steps can be relatively straightforward. For more complex projects, more study is needed to determine whether and why the agency needs special technology, a new facility, etc. This need analysis may even be necessary to justify grant funding. Factors to be considered in this decision include: Please note that this is not a comprehensive guide to procurement.Once a realistic estimated budget has been established, select the most appropriate procurement method. As introduced earlier, FTA requires a price or cost analysis with every procurement action.
It is important for the integrity of the ICE that it be prepared before receiving bids or proposals.Please note that states may have a lower threshold for each category, and if this is the case, use the state thresholds. States may also have different names for these methods, or additional methods. It should also be noted that grantees should not split a larger purchase into two or more smaller purchases in order to avoid the competitive proposal process. For more information on micro-purchasing, see the FTA Circular 4220.1F. The OMB memorandum indicates that the change takes effect on the date of issuance. This can be done either in writing or orally.While there is no overarching federal requirement that dictates that a particular method must be used when purchasing a particular good or service, some states may have a law with this requirement. There are no federally-required solicitation documents for micro-purchases. The appropriate FTA contract clauses for the specific procurement must be included with the purchase request or request for quotes. The FTA clauses may impact a vendor’s price, willingness, or eligibility to provide the goods or services being procured. The clauses that apply to various types and sizes of contracts are specified in Appendix D to FTA Circular 4220.1F. Federally required clauses are available through National RTAP’s ProcurementPRO 2.0 web application. To access ProcurementPRO 2.0, either create a new National RTAP in the Cloud account or log into an existing account. Individuals who have used ProcurementPRO prior to February 14, 2019 will need to create a new Cloud account the first time they use the current ProcurementPRO 2.0 application. This will usually be an invitation for bids (IFB) for the “sealed bid” method, or request for proposals (RFP) for the “competitive proposal” method.National RTAP’s ProcurementPRO 2.
0 web app uses the project information provided to determine, and list, the required federal clauses and certifications that must be included in the procurement document. The FTA Best Practices Procurement and Lessons Learned Manual also has a list of federal clauses and certifications in Appendix A. While it is possible under the law to apply for and receive waivers for this requirement, it is rare that they will be granted. State DOTs may have DBE program goals that are higher than the FTA goal. To read more about DBE requirements, see the Civil Rights section of this toolkit. However, if a transit agency is conducting its own procurement, there are some considerations to keep in mind. When considering what type of vehicle is needed, ensure that it can cover both current and projected needs. There are many questions to ask to fully understand what you need in a vehicle, and National RTAP’s “How to Buy a Vehicle” presents some of these questions in its first chapter. Such questions include what size vehicle is needed in terms of numbers of riders and efficiency for the routes it will serve. Are there specific environmental characteristics that will impact the type of vehicle needed. What is the capability of maintenance staff and are there particular warranty concerns. Lastly, consider the budget for this purchase. If an independent procurement process is conducted, list the specifications for the vehicle and include a description of how the vehicle will be used. Based on this written list and description, the next step should be to review any state or federal regulations that would apply. Requirements that should be considered are Buy America, Disadvantaged Business Enterprise, pre- and post-award audits, and ADA. It is important to do this to avoid procuring a vehicle that will raise issues down the road. For more information about preparing vehicle specifications, please see National RTAP's How to Buy a Vehicle training module.
This could be accomplished by simply researching prices published through vendor websites, or by calling a couple of vendors and asking for prices or verbal quotes. Whichever approach is taken, it is a good idea to keep written notes or screen printouts in procurement files. Because FTA Circular 4220.1F indicates that micro-purchases should be equitably distributed among local suppliers, a good practice is to work with different vendors on a rotating basis. This can be accomplished in writing or orally; just be sure to maintain some form of written documentation in procurement files. States may have additional requirements. Sealed bids must be publicly opened at the time and place prescribed in the invitation for bids and are awarded to the lowest qualified bidder. Competitive proposals typically must be submitted by a specific date and time and are evaluated based on the factors specified in the solicitation document (technical factors in addition to price). Responsibility is a procurement issue that is determined by the recipient after receiving bids or proposals and before making contract award.’ Ability and willingness will generally be demonstrated by information submitted as part of the bid or proposal. Integrity is harder to verify, but two important activities are checking references and checking to make sure the organization and its principals have not been excluded from work under federally-funded contracts. Regardless of the size of the purchase, for the agency’s own protection, it is a good practice to check for potential exclusions on the System for Award Management (SAM) web page, as well as on states’ list of contractors who have been barred from doing business with a public organization in the state.
The FTA, on their Contract Files web page, states that the minimum information that must be kept in the project file includes: “the rationale for the method of procurement; selection of contract type; reasons for contractor selection or rejection; and the basis for the contract price.” On this same page, the FTA also gives a detailed list of specific items that should be kept in the contract file. In addition to written standards of conduct and protest procedures, transit agencies must create a written record of the procurement history.View a sample bid invitation from the Bee Community Action Agency. Transit agencies should encourage competition and strive to get three bids. View an example posted by the Bee Community Action Agency in the Beeville Bee-Picayune newspaper. They should also collect information and certifications from a prospective supplier to complete the pre-award audit and cooperate with the TxDOT district public transportation coordinator to complete all procurement oversight tasks, including parts I and II of the procurement checklist. FTA grants and accounting is handled differently at every agency; this article will not review best practices for accounting. It is intended to provide a review of grant programs and resources for procurement best practices.The series is divided into a progression of four multi-day courses. NTI offers the courses on an occasional basis in different regions around the country. The initial course is the most crucial for newcomers to Federal Transit procurement, covering topics such as procurement methods, how procurement processes are organized in an agency, and how to appropriately manage a third-party procurement. The course is limited to agency representatives who receive 5307 funds and operate less than 50 vehicles or agencies receiving 5310 or 5311 funds. The circular provides guidance on contracting with third parties (in other words, procurement) using FTA grant funds.
Unfortunately, the circular has not been updated for the most recent version of Federal transportation legislation ( MAP-21 ). The BPPM was last updated in 2005. The procurement officer (or the staff member responsible for procurement as part of their duties) should handle planning of procurements based on identified needs of all departments. In other words, the various departments (operations, maintenance, training) should regularly track and identify purchasing needs - the procurement staff should not be identifying purchasing needs for mechanics. However, the procurement officer should work with departments to regularly collect and assess purchasing needs and may find that some needs in multiple departments can be served by a single procurement, for example. Without careful planning, agencies can miss opportunities for cost-effective purchasing.For example, if any one staff member at an agency has the ability to draft specifications, solicit for bids, and award contracts, they are able to spend Federal funds as they see fit. This could easily lead to abuse of power in unnecessary purchases or favoritism for certain bidders. A program manager should work along with the procurement officer to prepare specifications for bid and oversee contracts. The procurement officer should ensure that specifications developed by departments are not restrictive and meet FTA regulations. The disbursement of funds should be overseen by the agency finance staff, who ensure that the all parts of the procurement are in agreement (in other words, the executed contract and invoice are for the same product and agreed to price). Entrusting various aspects of the procurement process to different staff and departments reduces the risk of inappropriate practices.A solicitation is not an obligation for the agency to spend money - agencies can conduct a solicitation and ultimately choose not to award any contract.
However, conducting a solicitation properly is a time-consuming process, so having a well-planned procurement before entering the solicitation phase is best to ensure time and money is not wasted.Fair and reasonable determination can be done by comparing phone quotes for the product against previous purchases, or doing a brief phone or email solicitation of prices from local vendors. The purchasing officer can use a basic form documenting these comparisons. Thus, micro-purchases require very minimal documentation. Micro-purchases also should be equitably split amongst suppliers across the region, possibly on a regular rotation. FTA recommends that the purchasing rotation and pricing be documented to monitor distribution and fair pricing.FTA staff review procurements as part of Triennial Reviews and look for evidence of agencies inappropriately dividing contracts to take advantage of small purchase requirements instead of meeting regular procurement requirements. The procurement officer should review purchasing plans from all departments to determine if several micro-purchases, or repetitive requisitions could be combined into a larger procurement for more competitive pricing and more efficient purchasing. In the short run, buying small orders of supplies as they are needed may appear to be the most efficient method. However, tracking the history of repetitive purchases can demonstrate the potential for time and money savings by creating a formal procurement for a supplier contract. While a larger purchase is more work up-front, it has the potential to save more time that is harder to track spread out among frequent, repetitive purchases. A larger contract also has the potential for obtaining a better purchase price, saving the agency money as well as time. Using real history on purchasing can give the agency confidence on its future purchasing needs.TerminationBased on work by Jeremiah LaRose. We’ve made big changes to make the eCFR easier to use.
Be sure to leave feedback using the 'Help' button on the bottom right of each page!The Public Inspection page may alsoWhile every effort has been made to ensure thatUntil the ACFR grants it official status, the XMLCounts are subject to sampling, reprocessing and revision (up or down) throughout the day. Use the PDF linked in the document sidebar for the official electronic format. These can be usefulUse the PDF linked in the document sidebar for the official electronic format. Upon consideration of the comments, FTA will issue additional guidance on conflicts of interest for inclusion in the FTA Best Practices Procurement Manual. Currently, FTA's Best Practices Procurement Manual contains only a brief discussion on conflicts of interest issues. Given the importance of this issue, FTA intends to promulgate additional guidance. The additional coverage will include further discussion of the requirements as established in the FTA Circular 4220.1D, the FTA Master Agreement, and the Code of Federal Regulations, 49 CFR parts 18 and 19; definition of terms; examples and scenarios of various types of conflicts and remedies or solutions to conflicts. This guidance, based on input received from interested parties, will then be incorporated into FTA's Best Practices Procurement Manual. To assist in this endeavor, FTA has established a web page containing the draft guidance along with preliminary definitions and examples that FTA believes might be included in the Best Practices Procurement Manual. A variety of statutes and regulations impose federal requirements. This Final Circular, which FTA considers to be its official guidance regarding compliance with these requirements, contains significantly more information and guidance than was available in the previous circular issued by the FTA in 2003.
FTA’s shift to a comprehensive circular became necessary, at least in part, to incorporate the new procurement provisions of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (“SAFETEA-LU”), Pub. L. No. 109-59 (Aug. 10, 2005), passed in 2005. The following discussion sets forth a chapter-by-chapter analysis of the Final Circular. In addition, FTA grant recipients can use, and should be familiar with, the FTA’s “Master Agreement,” available at, and which serves as an additional guide to most, but not all, federal requirements with which recipients must comply. The Final Circular explains that FTA will rely on recipients to self-certify that their procurement processes comply with federal requirements. For this reason it is important for grant recipients, and in some cases current or potential third-party contractors, to be well-counseled on FTA’s Final Circular providing guidance for complying with these federal requirements. It is also important for grant recipients and third-party contractors to be prepared to utilize the protest and litigation procedures outlined in the Final Circular (and discussed below) in the event that recipients’ compliance with federal requirements is called into question, or a third-party contractor’s ability to compete for a particular contract is impeded by a grant recipient’s failure to abide by these requirements. The Final Circular further applies to “Non-Governmental Recipients,” which include public and private institutions of higher education, public or private hospitals, and any other quasi-public and private nonprofit organization that must comply with the Common Grant Rules at 49 C.F.R. Part 19. Consistent with the policy of the Office of Management and Budget (“OMB”), FTA governmental sub-recipients of states may use state procurement procedures, but non-governmental recipients of states must use the procurement procedures of the Common Grant Rule for non-governmental recipients.
The Final Circular applies to procurements that involve over-the-road bus accessibility programs, but not other programs under which over-the-road buses are acquired with FTA funds. FTA recipients are not subject to FTA requirements for acquisitions that recipients can demonstrate conclusively have been financed entirely without FTA assistance. This is a deviation from FTA’s prior position that “one dollar taints all,” a policy in which FTA required a recipient to apply FTA requirements to all of a recipient’s operations contracts, including those contracts financed entirely without federal assistance. However, FTA admonishes that it does not have the power to exempt a recipient from other non-FTA federal requirements, regardless of whether or not the contract or acquisition has been financed with federal assistance. FTA explained that it expects that when such arrangers are compensated with proceeds derived from the use of FTA-assisted property, the arranger should be selected using competitive procedures. The Final Circular and FTA laws found at 49 U.S.C. Chapter 53 apply to third-party procurements financed by FTA funds. DOT regulations, Uniform Administrative Requirements, and Grants and Cooperative Agreements to State and Local Governments, 49 C.F.R. Part 18, apply to governmental recipients. DOT regulations, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations, 49 C.F.R. Part 19, apply to non-governmental entities. The Federal Acquisition Regulation (“FAR”) does not apply to federally assisted procurements, except that FAR cost principles apply to grants and cooperative agreements with private for-profit entities. However, FTA is willing to work with recipients in seeking and implementing equitable resolutions. FTA noted that it makes every effort to avoid the need to terminate federal assistance because of conflicting laws.
FTA noted that when such situations have occurred, they have been resolved by efforts by the recipients to persuade the relevant state legislatures to amend the conflicting law. FTA warned, however, that it has no power to abrogate federal laws or other federal requirements. These standards must address both personal conflicts of interest and gifts, and provide for penalties, sanctions, or other disciplinary actions for violations of such standards. If a recipient lacks qualified personnel within its organization to undertake procurement tasks, such as drafting specifications, evaluating contracts, or performing internal audits for the recipient, FTA expects the recipient to acquire the necessary services from outside sources. In addition, the Common Grant Rule for governmental recipients requires written procurement procedures as a condition of self-certification. The procurement procedures are expected to address the following items. In competitive procurements, the descriptions and specifications of products or services being acquired must not contain features that unduly restrict competition, or that use exclusionary or discriminatory specifications. However, detailed product specifications should be avoided if possible. Recipients should focus their descriptions on pure performance specifications, i.e., functions to be performed or performance required, to the extent possible. When it is impractical or uneconomical to write a clear and accurate description of the technical requirements of the property or services to be acquired, a “brand name or equal” description may be used to define the performance or other salient characteristics of the property or services sought. The Final Circular warns that recipients must take special care when using industry-developed contracts that may be provided by a bidder or offeror.