HomeMy WebLinkAboutAgenda - 05-17-2016 - 5-e - Federal Transit Administration (FTA) Approved Procurement Policy for Orange Public Transportation 1
ORANGE COUNTY
BOARD OF COMMISSIONERS
ACTION AGENDA ITEM ABSTRACT
Meeting Date: May 17, 2016
Action Agenda
Item No. 5-e
SUBJECT: Federal Transit Administration (FTA) Approved Procurement Policy for Orange
Public Transportation
DEPARTMENT: Planning and Inspections
ATTACHMENT(S): INFORMATION CONTACT:
Orange Public Transportation Peter Murphy, Transportation
Procurement Policy and Procedures Administrator, 919-245-2002
Guide Craig Benedict, Planning Director,
919-245-2592
PURPOSE: To consider adoption of the Orange Public Transportation (OPT) Procurement
Policy and Procedures Guide.
BACKGROUND: The OPT procurement policy was prepared to ensure the County could meet
all of the Federal Transit Administration's (FTA) purchasing requirements for Federally Funded
Transit Projects including but not limited to direct purchases of buses for urban use. Current
County policies do not address specific transit purchasing standards and in order to meet all
requirements under MAP-21 (Moving Ahead for Progress in the 21st Century), it is necessary for
OPT to adopt new policy and procedures. Working with feedback and recommendations from
staff at the US Department of Transportation FTA, a new policy and procedures guide was
developed that meets all of the required standards.
The guide (Attachment 1) addresses the following topics:
• Applicability and Governance
• Standards of Conduct
• Contracting Authority
• General Procurement Policies and Standards
• Methods and Procedures of Procurement
• Protests and Disputes
• Appendix: Checklist and Forms
The guide has been approved by the FTA and the FTA requires that it be adopted by OPT's
governing Board.
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FINANCIAL IMPACT: Adoption of a procurement policy is required for continuation of Federal
and State funding for the major portion of Orange Public Transportation's programs for bus
purchasing, administrative assistance and future operating assistance. The guide adoption is
necessary before staff can purchase the bus needed to run the Orange-Alamance Connector,
which is part of OPT's 5-Year Bus Service Expansion Program. Failure to comply with FTA
requirements could result in a suspension of funding or an inability to seek new funding.
SOCIAL JUSTICE IMPACT: The following Orange County Social Justice Goals are applicable
to this item:
GOAL: FOSTER A COMMUNITY CULTURE THAT REJECTS OPPRESSION AND
INEQUITY
The fair treatment and meaningful involvement of all people regardless of race or color;
religious or philosophical beliefs; sex, gender or sexual orientation; national origin or ethnic
background; age; military service; disability; and familial, residential or economic status.
GOAL: ENSURE ECONOMIC SELF-SUFFICIENCY
The creation and preservation of infrastructure, policies, programs and funding necessary for
residents to provide shelter, food, clothing and medical care for themselves and their
dependents.
GOAL: CREATE A SAFE COMMUNITY
The reduction of risks from vehicle/traffic accidents, childhood and senior injuries, gang
activity, substance abuse and domestic violence.
RECOMMENDATION(S): The Manager recommends that the Board adopt the proposed
Orange Public Transportation Procurement Policy and Procedures Guide.
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APPLICABILITY AND GOVERNANCE
These policies apply to all Orange Public Transportation (OPT) contracts and
purchases, except as specifically excluded herein. OPT does not and will not
enter into agreement or contract with any sub-recipients. Therefore, contracts or
purchases of sub-recipients of OPT is not applicable.
A. OPT's procurement actions are primarily governed by North Carolina General
Statutes 143-129 and 143-131 and by Federal Transit Administration (FTA)
Circular 4220.1F (C 4220.1F). In any procurement utilizing any amount of
Federal funds, federal requirements will generally supersede State law.
Where no Federal funds are involved, procurement actions will be governed
by applicable State law. References to statutes or regulations herein shall be
deemed to refer to any subsequent revisions or amendments which may be
enacted from time to time.
B. If no applicable State or Federal law or regulation exists regarding a particular
aspect of procurement, then Federal contract law principles defined in the
Federal Acquisition Regulations (FAR) may be applied.
C. Where State law does not conform to a mandatory provision of Federal law,
regulation or other requirements, including but not limited to C 4220.1F, OPT
may comply with such Federal requirements, notwithstanding the provisions
of State law, only upon the written determination of the OPT Transportation
Administrator that acceptance of the grant or contract funds under the
applicable conditions are in the public interest.
D. OPT's procurement actions shall be carried out in conformance with the
"Orange County Financial Services Purchasing Policy Manual" as much as
practicable, except when the policies and procedures herein conflict with that
document. In this case, the policies and procedures herein shall supersede
those provided in the "Orange County Financial Services Purchasing Policy
Manual."
II. STANDARDS OF CONDUCT
These Standards of Conduct govern the performance of OPT or Orange County
employees who are engaged in or otherwise involved in the award or
administration of a contract.
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A. Personal Conflicts of Interest. No employee, officer, agent, transit services
board member, County Commissioner or his or her immediate family
member, partner, or organization that employs or is about to employ any of
the foregoing individuals may participate in the selection, award, or
administration of a contract funded by FTA if a conflict of interest, real or
apparent, would be involved. Such a conflict would arise when any of those
individuals previously listed has a financial or other interest in the firm
selected for award.
B. Gifts. OPT's officers, employees, agents, transit services board members, or
County Commissioners may neither solicit nor accept gifts, gratuities, favors,
or anything of monetary value from contractors, potential contractors, or
parties to sub-agreements. OPT has set minimum rules for acceptance of
gifts:
1. Acceptance of any gift: Acceptance of any gift, favor, or service from any
individual(s) interested in any business relationship with OPT, which would
cause a reasonable person to question the officer's or employee's
impartiality in the matter, is considered to be a conflict of interest (except
those donated for a specific activity or purpose sanctioned by Orange
County or OPT).
2. Acceptance of any personal gift: Acceptance of any personal gift, favor,
service or item, regardless of value, from an individual(s) for the
employee's own economic benefit or as a trade for any OPT services (i.e.,
advertising space, etc.) is considered to be a conflict of interest.
3. Acceptance of gifts from any source so frequent as to raise an
appearance of the use of the employee's position for private gain is
considered to be a conflict of interest.
C. Violations. To the extent permitted by the State of North Carolina, local law
or regulations, penalties, sanctions, or other disciplinary action for violation of
these standards up to and including termination shall apply.
D. Conflicts of Interest Certification. On an annual basis, OPT requires all
employees who participate in the procurement process to sign a certification
that they have read, understand, and will comply with OPT's Conflict of
Interest Policy.
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III. CONTRACTING AUTHORITY
The OPT Transportation Administrator, as indicated by appropriate signature,
shall function as OPT's Contracting Officer for contracts under $1,000.
The County Manager, as indicated by appropriate signature, shall function as
OPT's Contracting Officer for contracts $1,000 - $90,000.
The Board of County Commissioners, as indicated by appropriate signature, shall
function as OPT's Contracting Officer for contracts above $90,000.
In many cases, OPT's procurement will be executed through the State of North
Carolina Department of Transportation, Public Transportation Division's
procurement procedures as either a joint acquisition or as options.
IV. GENERAL PROCUREMENT POLICIES AND STANDARDS
A. Procurement Selection Procedures
OPT will provide written selection procedures for all procurement solicitations.
All solicitations shall identify all requirements that offerors must fulfill and all
other factors to be used in evaluating bids or proposals. The solicitation and
resulting contract must identify those Federal requirements that will affect
contract scope and performance.
B. Competition
It is the policy of OPT that all procurement transactions be conducted in a
manner intended to maximize full and open competition. OPT will only make
awards to responsive offers from responsible offerors. A responsive offer is
one that complies with all material requirements of the solicitation. A
responsible offeror is one possessing the technical, physical, financial and
ethical capacity to successfully perform a specific contract.
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C. Cost or Price Analysis
For every procurement action, including contract modifications and regardless
of method, either a cost or price analysis will be performed depending on the
adequacy of competition. A price analysis will be performed when competition
is adequate, and a cost analysis will be performed when competition is
inadequate or severely limited.
D. Economic Purchasing
Proposed procurements will be reviewed to avoid duplicative or repetitive
purchases to the greatest extent feasible and consistent with good
procurement practices. Consideration should be given to consolidating or
breaking out procurements to obtain more economic pricing. Where
appropriate, analysis will be made of lease versus purchase alternatives or
any other appropriate methodology to determine the most economical
approach.
E. Contract Administration
OPT or Orange County will maintain a contract administration system
designed to ensure conformance by all parties with the terms, conditions, and
specifications of their contracts.
F. Sound and Complete Agreement
All contracts shall include provisions to define a sound and complete
agreement appropriate to the type and complexity of the project. At a
minimum, these include a well-defined statement of work or specification, a
defined contract term, a clear statement of the price and payment terms, and
all applicable clauses required by Federal, State, or local laws and
regulations. Contracts should generally include all the proper specifications
that allow for administrative, contractual, termination and legal remedies.
G. Independent Cost Estimates
For any procurement, an independent cost estimate shall be generated by
OPT as a starting point for determining the reasonable pricing or costing of a
product or service. Independent cost estimates shall be generated before
receiving bids or proposals.
H. Federal Cost Principles
The Federal Acquisition Regulation part 31 cost principles will be incorporated
by reference in all contracts where allowable costs must be determined for
payment (e.g., all cost reimbursement contracts) and for negotiating all fixed-
price contracts and modifications when costs are estimated by the contractor
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and then negotiated for purposes of establishing a contract price. In general,
costs must be necessary and reasonable, allocable to the project, authorized
or not prohibited by Federal law or regulation, and must comply with Federal
cost principles applicable to the recipient.
I. Records
OPT shall maintain records detailing the history of a procurement in a manner
consistent with the size, complexity and cost of the contract. These records
shall, at a minimum, include:
1. The rationale for the method of procurement;
2. Selection of the contract type;
3. Reasons for contractor selection or rejection; and
4. The basis for the contract price
J. Contract Period
The period of contract performance for rolling stock and replacement parts
shall not exceed five (5) years, inclusive of options, as defined in
FTA C 4220.1F. The length of all other contracts shall be based upon sound
business judgment, including consideration of issues such as the nature of
the item being purchased, the need to afford the contractor a reasonable
opportunity to recapture any start-up costs, the need to afford competing
vendors the opportunity to do business with OPT, and the relative benefit to
OPT of a longer or shorter contract term.
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K. Geographic Preferences
Procurement transactions will be conducted in a manner that prohibits the use
of in-state or local geographical preferences in the solicitation and evaluation
of bids or proposals, except in those cases where applicable statutes or
regulations expressly mandate or permit geographic preference. This does
not preempt State or local licensing laws. However, geographic location may
be a selection criterion in procurements for architectural and engineering
(A&E) services, provided its application leaves an appropriate number of
qualified firms, given the nature and size of the project, to compete for the
contract.
L. Restrictions On Competition
It is the policy of OPT and Orange County to conduct procurement
transactions, to the greatest extent practicable, in a manner that facilitates full
and open competition without providing an unfair competitive advantage to
any potential vendor that may include:
1. Unreasonable qualification requirements placed on firms in order for them
to qualify to do business;
2. Unnecessary or excessive experience, excessive bonding, insurance,
warranty or similar requirements affecting an otherwise qualified firm's
ability to compete;
3. Organizational conflicts of interest resulting in noncompetitive awards in
which:
a. Other activities, relationships, or contracts of a contractor inhibit, affect,
or prevent the contractor from rendering impartial assistance or advice
to OPT;
b. A contractor's objectivity in performing the contract work is or might be
otherwise impaired; or
c. A contractor has an unfair competitive advantage;
4. Arbitrary actions in the procurement process;
5. Specifying only a "brand name" product instead of allowing an equivalent
product to be offered without listing its salient characteristics or other
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descriptive information sufficient to allow bidders to identify and propose
such equivalent products;
6. The use of specification requirements and evaluation criteria that
unnecessarily favor an incumbent contractor;
7. Prequalification of firms, products, or services without the following
safeguards to ensure the solicitation is fair and competitive:
a. Lists used to prequalify are current;
b. Lists used to prequalify include enough qualified sources to ensure
maximum and open competition; and
c. OPT permits potential bidders or proposers to qualify during the
defined solicitation period.
Pre-qualification shall not ordinarily be used unless it is required by law or
in situations in which the product or service involves an undefined market.
M. Payments to Contractors
OPT, in accordance with FTA policy, does not authorize and will not
participate in funding payments to a contractor prior to the incurrence of costs
by the contractor unless prior written concurrence is obtained from FTA.
Progress payments are authorized if they are only made to the contractor for
costs incurred in the performance of the contract and adequate security is
obtained.
N. Liquidated Damages
OPT shall determine whether to use or not to use a liquidated damages
provision for a specific procurement based on a reasonable expectation of
suffering damages and the extent or amount of such damages would be
difficult or impossible to determine. Liquidated damages may be imposed at a
specific rate per day for each day of the overrun in contract time, and if
imposed, it will be specified in the solicitation. The rate will be pre-determined
and specified in a contract. Any liquidated damages incurred will be credited
to the subject project unless FTA permits other uses of the liquidated
damages.
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O. Federal Clauses
To the greatest extent possible, OPT will employ appropriate standard
contract clauses for each type of procurement. Contract clauses are usually
contained in a set of General Conditions, which are standard for all
procurements of that type, and in a set of Special Provisions, which are
customized to add to, delete or modify portions of the General Conditions.
Each contract shall include all federally mandated clauses, in accordance with
the matrix contained in FTA Procurement Circular 4220.1F, Appendix D, and
in Appendix A of the FTA Best Practices Procurement Manual.
P. Debarment/Suspension
All contractors involved in a procurement involving Federal funding will be
reviewed against the Federal Exclusive Parties List System (EPLS) that
identifies those parties excluded from receiving Federal contracts, certain
subcontracts, and certain types of Federal financial and non-financial
assistance and benefits.
Q. Disadvantaged Business Enterprises (DBE)
It is the policy of OPT that disadvantaged business enterprises (DBEs), as
defined in 49 C.F.R. Part 26, shall have an opportunity to participate in
awards of its contracts and subcontracts. OPT shall take positive actions to
ensure utilization of DBEs. A review of DBE subcontracting opportunities shall
be conducted for each U.S. Department of Transportation-funded solicitation
over $50,000 and a percentage goal for DBE participation established where
appropriate subcontracting opportunities exist.
R. Buy America Standards/Policies
1. Steel or Manufactured Products:
Except as provided in 661.7 and 661.11 of 49 C.F.R. 661, no funds may
be obligated by FTA for a grantee project unless all iron, steel, and
manufactured products used in the project are produced in the United
States. All steel and iron manufacturing processes must take place in the
United States, except metallurgical processes involving refinement of steel
additives. These steel and iron requirements apply to all construction
materials made primarily of steel and iron and used in infrastructure
projects such as transit or maintenance facilities, rail lines, and bridges.
These items include, but are not limited to, structural steel or iron, steel or
iron beams and columns, running rail and contact rail. These requirements
do not apply to steel or iron used as components or subcomponents of
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other manufactured products or rolling stock, or to bimetallic power rail
incorporating steel or iron components.
For a manufactured product to be considered produced in the United States:
a. All of the manufacturing processes for the product must take place in
the United States; and
b. All of the components of the product must be of U.S. origin. A
component is considered of U.S. origin if it is manufactured in the
United States, regardless of the origin of its subcomponents.
2. Rolling Stock:
For procurements involving revenue service rolling stock purchased with
FTA funds, a pre-award Buy America audit will be completed before
entering into a formal contract for the purchase of such rolling stock. The
audit shall include:
a. A Buy America certification as described in Section 663.25 of
49 C.F.R. 663;
b. A purchaser's requirements certification as described in Section
663.27 of 49 C.F.R. 663; and
c. When appropriate, a manufacturer's Federal Motor Vehicle Safety
certification information as described in Section 663.41 or Section
663.43 of 49 C.F.R. 663.
Upon delivery of revenue service rolling stock purchased with FTA funds, a
post-delivery Buy America audit will be completed before title to the rolling
stock is transferred to OPT. The audit shall include:
a. A post-delivery Buy America certification as described in Section
663.35 of 49 C.F.R. 663;
b. A post-delivery purchaser's requirements certification as described in
Section 663.37 of 49 C.F.R. 663;
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c. When appropriate, a manufacturer's Federal Motor Vehicle Safety
Standard self-certification information as described in Section 663.41
or 663.43 of 49 C.F.R. 663.
S. Revenue Contracts
Contracts for which their principal purpose is to generate revenue for OPT are
not subject to this procurement policy. However, when and where feasible, a
competitive process suitable to the type and scope of the activity involved and
the availability of competition should be conducted. Such contracts shall not
exceed a term of five years unless FTA permits a longer term.
V. METHODS AND PROCEDURES OF PROCUREMENT
A. Micro-Purchases (Purchases less than $3,000)
Micro-purchases are purchases of less than $3,000. Purchases below this
threshold may be made without obtaining competitive price quotes but shall
provide for competition whenever practicable. An award may be made if it is
determined that the price is fair and reasonable and there are no significant
differences in quality or price among available vendors. These purchases
typically involve items sold "off-the-shelf" to the general public in a retail or
wholesale environment. Documentation for non-competitive micro-purchases
must include a notation that the price is fair and reasonable, the reason for
the determination, and the vendor selected. There should be equitable
distribution among qualified suppliers, and procurements may not be split to
avoid a competitive solicitation process. The Davis-Bacon Act applies to
construction micro-purchases exceeding $2,000. Micro-purchases are exempt
from Buy America requirements.
B. Small Purchases (Price Quotes for Purchases of$3,000 - $29,999)
Small purchase procurements are simple and informal solicitations for
services, supplies, or other property that cost $3,000 or more but less than
$30,000. A clear and accurate description of the technical requirements for
the material, product, or service to be procured must be provided with the
solicitation. For these purchases, price or rate quotes shall be solicited from
an adequate number of qualified sources depending upon their availability.
However, in no case shall there be fewer than three (3) quotes obtained. The
solicitation and quotes should ordinarily be written in either hard copy or
electronic form. However, telephone quotes are acceptable so long as
documentation of the call is maintained. Generally, the contract will be in the
form of a purchase order subject to a firm fixed price.
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C. Informal Bids (For Purchases of $30,000-$89,999)
Informal bid procurements involve purchases of $30,000 or more but less
than $90,000 and require the solicitation of written quotes from a minimum of
three (3) bidders. A clear and accurate description of the technical
requirements for the material, product, or service to be procured must be
provided with the solicitation. The written quotes must be in hard copy or
electronic form. A minimum of two (2) quotes must be received, and
documentation of quotes solicited versus quotes received must be kept.
Documentation of vendor selected must be kept. If the vendor with the lowest
price quote is not selected, a basis/reason for the selection and justification
(delivery date, better warranty/service, etc.) must be provided. The award
may only be made to a responsible vendor/contractor and will generally be in
the form of a purchase order subject to a firm fixed price.
D. Competitive Sealed Formal Bids (Purchases $90,000+)
Formal bid purchases involve purchases of $90,000 or more and require the
solicitation through a formal invitation for bids (IFB) with a firm fixed-price
contract (lump sum or unit price) being awarded to the lowest-priced
responsive bid from a responsible bidder. When specified in bidding
documents, factors such as discounts, transportation costs, and life cycle
costs may be considered in determining the lowest bid if specified in the
solicitation. The sealed bid method of procurement is appropriate when no
discussion with bidders is needed. Any or all bids may be rejected if there is a
sound documented business reason, which may include lack of
responsiveness to the solicitation and lack of responsibility of the offeror.
Selection of the successful bidder can be made principally on the basis of
price.
The solicitation must provide written specifications including a clear and
accurate description of the technical requirements for the material, product, or
service to be procured and must be advertised in a newspaper and
electronically on OPT's website at least seven (7) days prior to bid opening. A
minimum of three (3) vendors must be solicited in addition to the posting of
the advertisement. All bids must be sealed and opened at a stated time and
place as prescribed in the IFB. A bid bond guarantee of 5% of the bid price
must accompany each bid (discretionary requirement involving non-
construction bids).
For procurements involving construction, alteration or repair of real property
of $100,000 or more, the following methods apply:
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1. A minimum of three (3) sealed bids must be received. If fewer than three
(3) bids are received, an advertisement soliciting bids will be published
again. If after the second advertisement fewer than three (3) competitive
bids are received from reputable and qualified contractors, OPT may open
the bid(s) and award to the lowest responsible bidder even if only one bid
is received.
2. A bid must be secured by a bond, certified check, or other negotiable
instrument equal to five percent (5%) of the bid price to assure that the
bidder will execute contractual documents as may be required within the
time specified.
3. The execution of a contract for a project must be secured by performance
security through a performance surety bond that is equal to 100 percent
(100%) of the contract.
4. The execution of a contract for a project must be secured by payment
security assuring payment to all persons supplying labor and material for
the project in accordance with the following prescribed amounts:
a. Fifty percent (50%) of the contract price if the contract price is not more
than $1 million;
b. Forty percent (40%) of the contract price if the contract price is more
than $1 million but not more than $5 million; or
c. Two and a half million dollars if the contract price is more than $5
million.
Cost plus a percentage of cost and percentage of construction cost methods
of contracting may not be used.
Contractors awarded construction projects shall give hiring preference, to the
extent practicable, to veterans who have the requisite skills and abilities to
perform the work required under the contract. However, this standard shall
not be understood, construed or enforced in any manner that would require
an employer to give preference to any veteran over an equally qualified
applicant who is a member of any racial or ethnic minority group, female, an
individual with a disability, or former employee.
E. Competitive Negotiation (Requests for Proposals)
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The competitive negotiation procurement process is conducted through a
formal Request for Proposals (RFP). This method of procurement is generally
used when conditions are not appropriate for the use of sealed bids and are
commonly used to procure professional services. The competitive negotiation
method of procurement is appropriate when the following conditions exist:
1. A complete, adequate, and realistic specification or purchase description
is not available;
2. Two or more responsible offerors are willing and able to compete
effectively for the award;
3. The selection of the successful offeror requires consideration of factors
other than price; and
4. Discussions with offerors are anticipated to be needed.
For a competitive negotiation procurement, either a fixed price or cost
reimbursable type contract may be awarded. Each RFP will include a
description of the factors, in addition to price, by which proposals will be
evaluated. The RFP must be advertised in a newspaper and electronically on
OPT's website at least seven (7) days prior to the evaluation of any
proposals. Evaluation factors and sub-factors will be listed in order of their
relative importance. Prior to the receipt of proposals, OPT and Orange
County procurement staff will establish the method by which technical and
price evaluations of the proposals received will be conducted and one or
more awardees selected. The evaluation process shall be confidential, and
technical evaluations shall be conducted prior to distribution of pricing
proposals to ensure that non-technical considerations do not affect technical
evaluations.
Unless the technical and price evaluators agree that only one proposer is
capable of receiving an award, discussions and negotiations shall be
conducted with all proposers found to be so capable. Award will be made to
the responsible firm whose proposal is most advantageous to OPT, price and
all other factors considered. Award may be made either to the proposer
whose technically acceptable proposal offers the lowest price or to the
proposer whose proposal offers the "best value" to OPT, defined as the
greatest business value based upon an analysis of a tradeoff of qualitative
technical factors and price/cost to identify the best combination of technical
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merit and price. The solicitation will contain language defining the basis upon
which the award will be made.
F. Procurement of Architectural and Engineering Services (A&E) — Request
for Qualifications
For procurement of architectural and engineering (A&E) services, OPT will
use qualification-based competitive proposal procedures in accordance with
the Brooks Act, Chapter 11 of Title 40 of the United States Code and
49 U.S.C, Section 5325(b). A&E services are defined to include program
management, construction management, feasibility studies, preliminary
engineering, design, architectural, engineering, surveying, mapping, or
related services that are directly in support of, directly connected to, directly
related to or lead to construction, alteration, or repair of real property.
The Brooks Act requires that:
1. An offeror's technical qualifications be evaluated;
2. Price be excluded as an evaluation factor;
3. A pricing proposal be requested from and negotiations be conducted only
with the most qualified offeror; and
4. Failing agreement on price, the proposal must be rejected and
negotiations conducted with the next most qualified offeror until a contract
award can be made to the most qualified offeror whose price is fair and
reasonable.
This qualifications-based procurement method can only be used for the
procurement of A&E services for which any amount of Federal funds is
utilized.
OPT may use either a design-bid-build or a design-build method of
procurement for projects involving both architectural or engineering services
and associated construction activities. When using a design-bid-build method,
OPT will conduct separate solicitations and corresponding procurements for
design services versus construction services. For design services, OPT will
use the qualifications-based competitive proposal procedures based on the
Brooks Act. For construction activities, OPT will use the competitive sealed
formal bid method of procurement explained in Section V.D. of this manual.
When using a design-build method, OPT will conduct a single solicitation and
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procurement combining both the design services and the construction
activities. However, the type of service (design services vs. construction) with
the greatest cost shall determine the procurement method used. When
construction costs are predominant, OPT will use the competitive sealed
formal bid method of procurement explained in Section V.D. of this manual.
When design service costs are predominant, OPT will use qualifications-
based competitive proposal procedures based on the Brooks Act.
G. Non-Competitive Procurements (Sole Source)
Non-competitive (sole source) procurements are accomplished through
solicitation and acceptance of a proposal from only one source when a
contract award is inadequate or infeasible under other procurement methods
and at least one of the following conditions exists:
1. The item or service is only available from a single source;
2. An exigency or emergency situation will not permit a delay from
competitive bidding;
3. FTA authorizes non-competitive negotiations; or
4. Competition is deemed inadequate.
A contract amendment or change order that is not within the scope of the
original contract is considered a sole source procurement. In this case, OPT
must justify why an amendment is the only feasible course of action and must
comply with FTA requirements for cost analysis and profit negotiation. If the
item to be procured is an associated capital maintenance item and is
purchased directly from the original manufacturer or supplier of the item to be
replaced, a sole source procurement is permissible, provided the
manufacturer or supplier is the only source for said item and the price paid is
no higher than the usual price paid for said item by like customers. A cost
analysis is required for each sole source acquisition, except when price
reasonableness of the proposed contract can be justified on the basis of a
catalog or market price of a commercial product sold in large quantities to the
general public, or when a law or regulation has established a price.
H. Options
An option is a unilateral right in a contract by which, for a specified period of
time, OPT may elect to purchase additional equipment, supplies, or services
called for by a contract, or may elect to extend the term of a contract. The use
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of options must be limited to quantities of goods or services that are
reasonably anticipated to be required by OPT during the term of the contract.
Options may not be included solely with the intent of assigning them to
another entity in the future; however, contracts may include a provision
allowing assignment to other agencies in the event of a change in OPT's
anticipated requirements in accordance with FTA regulations and guidance.
The option quantities or periods must be defined in the solicitation, contained
in the offer upon which a contract is awarded, and evaluated as part of the
initial award process. When an option has not been evaluated as part of the
award, the exercise of the option will be considered a sole source
procurement and must be justified as such. The exercise of an option must be
in accordance with the terms and conditions of the option as stated in the
initial contract, and an option may not be exercised unless it is determined
that the option price is better than prices available in the market or that the
option is the more advantageous offer at the time the option is exercised, cost
and other factors considered.
OPT may exercise options in contracts of other public agencies, known as
"piggybacking," in accordance with FTA regulations and guidance.
Piggybacking is an agency's use of another agency's existing contract when
the awarding agency's contract did not originally envision its use by the
piggybacking agency. In this case, agencies piggybacking on another
agency's contract must ensure that the original contract contained an
assignability clause and that the terms and conditions of that contract meet
FTA requirements.
I. Cardinal Changes (Tag-ons)
Cardinal changes (or tag-ons) to a contract are impermissible. Cardinal
changes are significant changes in contract work (property or services) that
cause a major deviation from the original purpose of the work or the intended
method of achievement or causes a revision of contract work so extensive,
significant, or cumulative that, in effect, the contractor is required to perform
very different work from that described in the original contract.
J. Time and Materials Contracts
Time and material contracts are to be used only after a documented
determination that no other type of contract is suitable. Such contracts will
specify a ceiling price that the contractor shall not exceed except at its own
risk.
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K. Use of Existing Contracts
In many cases, OPT will use existing contracts between the North Carolina
Department of Transportation — Public Transportation Division and vendors
that supply capital items of interest to OPT in its functional operation. Any
purchase from NCDOT's contracts requires that the contract include all FTA
terms and conditions (contract clauses and required vendor certifications).
The use of a State contract that is not the result of a competitive process
does not meet the FTA requirement for competition. In many cases, these
procurements will be considered joint acquisitions rather than examples of
"piggybacking."
VI. PROTESTS AND DISPUTES
A. Protests
Any interested party wishing to protest a matter involving a proposed
procurement or contract award must submit a written protest to the OPT
Administrator.
1. Submittal Procedures: The protest must be addressed to the OPT
Administrator and must include the following information:
a. Name, address, telephone number, fax number and email of the
protestor;
b. Signature of the protestor or authorized agent;
c. The bid name and number;
d. A detailed statement of the legal and factual grounds of the protest
including copies of relevant documents;
e. Any supporting exhibits, evidence, or documents to substantiate any
claims; and
f. The form of relief requested.
If the procurement uses Federal funds, an informal notice of receipt of a
protest must be given to the appropriate regional office of the Federal
Transit Administration (FTA). The form of notice may be specified by the
regional office.
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2. Protests of the Solicitation Process (Pre-Bid Protest): A protest related to
the technical scope or specification, terms, conditions, or form of a
solicitation must be received no later than five (5) working days prior to the
date established for opening bids or receipt of proposals. In no event may
a protest of this nature be submitted after bids or proposals are received.
Upon receipt of such a protest, the procurement officer shall notify all
prospective offerors and other known interested parties of the receipt and
nature of the protest and shall post a notice of the protest on OPT's
website.
Unless there is a determination that delay will be prejudicial to the interest
of OPT or that the protest lacks merit, the solicitation process will be
extended pending resolution of the protest. Protests will be considered
and either denied or sustained, in part of in whole, by the procurement
officer in writing. A notice of the decision shall be provided to all parties
given notice of the protest and posted to OPT's website.
Should the protest be upheld in whole or substantial part, the OPT
Administrator may either amend the solicitation to correct the solicitation
or process accordingly or cancel the solicitation in its entirety. If the
solicitation is amended, the time for receipt of bids or proposals shall be
equitably extended to permit all participants to revise their bids or
proposals to reflect the decision. If the protest is denied, the solicitation
shall proceed as if the protest had not been filed unless the protester
pursues its protest with the FTA.
3. Protests of the Evaluation Process (Pre- and Post-Award Protest): All
bidders/proposers will be notified of the recommended award. This notice
will be transmitted to each proposer at the address contained in its
proposal form and shall be posted on the OPT website. Any proposer
whose proposal is valid at the time of the staff determination may protest
the recommended award on one or more of the following grounds:
a. That the recommended awardee does not meet the requirements of
the solicitation;
b. That the bid or proposal recommended for acceptance does not meet
the criteria of the solicitation for award; or
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c. That the evaluation process conducted by OPT is improper, illegal, or
the decision to recommend award is arbitrary and capricious.
The protest must be received by OPT at the address specified in the
solicitation no later than five (5) calendar days after the date such
notification is publicly posted or sent to the bidder or proposer, whichever
is earlier. A written decision stating the grounds for allowing or denying the
protest will be transmitted to the protestor and the proposer recommended
for award in a manner that provides verification of receipt. Such decision
shall be final, except as provided by applicable law or regulation.
Upon receipt of a protest of this type, the OPT Administrator shall notify all
offerors and any other known interested parties of the receipt and nature
of the protest and request an extension of the validity period of their offers,
if appropriate. Unless it is determined that delay will be prejudicial to the
interest of OPT or that the protest lacks substantial merit, award will be
withheld pending disposition of the protest. Should one or more offerors
refuse a requested extension of the validity of an offer, the OPT
Administrator may reject such proposal unless it is determined that the
protest can reasonably be resolved and the award process continued
without need for such extension. Should the protest be upheld in whole or
substantial part, the OPT Administrator may either revise the evaluation
process to correct the matter protested or cancel the solicitation in its
entirety.
B. Disputes/Breach/Terminations
For any contract exceeding $100,000, administrative, contractual, or legal
remedies for violations or breach of contract will be included in the subject
contract language. For procurements exceeding $3,000 (small-purchase or
greater procurements), administrative, contractual, or legal remedies for
violations or breach of contract will be included in the subject contract language
and will allow for contract termination. Termination may be based on cause or for
convenience, and such provisions will be included in contract language.
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APPENDIX:
CHECKLISTS AND FORMS
20
23
PROCUREMENT CHECKLIST
Date Initials
Requisition
ICE
Federal Clauses
Advertised
Bid abstract
Cost/Price
Analysis
Bonds:
Bid
Performance
Payment
Responsibility
Determination
Fair& Reasonable
Determination
24
PROCUREMENT CHECKLIST
Date Initials
SAM
Excluded Parties
Buy America
Pre-Award
Post Delivery
Federal Clauses
25
Independent Cost Estimate
Contract Type: Date of Estimate:
Description of Goods/Service:
Method of Obtaining the Estimate:
I have obtained the following estimate from....
O Published Price List/ Past pricing (date)
O Engineering or technical estimate
O Independent Third Party estimate
O Other (specify)
Cost Estimate Details:
Through the method stated above it has been determined that the total cost of the
goods/services is expected to be: $ . Details are shown below.
Cost of Standard Items
Cost($/ea) Cost($/ea) Notes/Data
Product Delivered No Freight Source
A
Cost of Services,Repairs,or Non-Standard
Items
Item/Task:
Other
Direct Labor Labor Allocated SG&A Profit
Materials Costs (rate,hours) Class overhead Total
B
Signature of Preparer:
The preceding cost estimate was obtained or prepared by:
[For complex items or tasks, attach detailed spreadsheet(s) explaining rationale.]
26
Responsibility Determination Form
Bid/RFP No:
Supplier:
Date:
For each of the areas described below, check that the appropriate research has been
accomplished and provide a short description of the research and the results.
Acceptable Comment
1. Appropriate financial, equipment, 1 Yes 1 No
facility, and personnel
2. Ability to meet the delivery 1 Yes 1 No
schedule
3. Satisfactory period of 1 Yes 1 No
performance
4. Satisfactory record of integrity, 1 Yes 1 No
not on debarred or suspended
listings
5. Receipt of all necessary data from 1 Yes 1 No
supplier
27
Fair and Reasonable Price Determination
FAIR AND REASONABLE PRICE DETERMINATION
I hereby determine the price to be fair and reasonable based on at least one of the following:
Check one or more:
Found reasonable on recent purchase.
Obtained from current price list.
Obtained from current catalog.
Commercial market sales price from advertisements.
Similar in related industry.
Personal knowledge of item procured.
Regulated rate (utility).
Other.
Comments:
Copy of purchase order, quotes, catalog page, price list, etc. is attached.
Purchasing Agent
Date
28
SOW Template
Statement of Work Title: [Type text]
1.0 Project Background
• Describe the need for the goods or services,the current environment,and the Transit Agency's key
objective(s) as it relates to this requirement. Provide a brief description/summary of the goods or
services sought.
• Short statement of the problem to he resolved
• Expected project duration
• Transit Agency organizational units and/or key individuals involved in managing the project
• Alternative solutions or implementation strategies evaluated
a)Transit Agency requires these products and/or services due to:
b)Transit Agency is attempting to complete a project on and requires
supplier/contractor assistance in the:
c)The completion of this work will help Transit Agency:
Statement of Work Title: [Type text]
1.0 Project Background
Describe the need for the goods or services,the current environment,and the Transit Agency's key
objective(s) as it relates to this requirement. Provide a brief description/summary of the goods or services
sought.
Short statement of the problem to be resolved
Expected project duration
Transit Agency organizational units and/or key individuals involved in managing the project
Alternative solutions or implementation strategies evaluated
a)Transit Agency requires these products and/or services due to:
b)Transit Agency is attempting to complete a project on and requires
supplier/contractor assistance in the:
c)The completion of this work will help Transit Agency:
2.1 Results
Indicate the key end results that the project will achieve when successfully executed. Measurable
performance indicators for anticipated benefits may also be listed here.
29
2.2 Anticipated Benefits
Describe what the organization will gain through completion of this project.
2.3 Business Processes Impacted
Review major changes in the way work will be conducted once the project is complete(if any).
2.4 Customers/ End Users Impacted
Identify the specific individuals or groups whose work will be most affected during and after the project's
execution.
3.0 Applicable Documents
List legal,regulatory,policy,security,and similar relevant documents. Include publication number,title,
version,date and where the document can be obtained. If only certain portions of documents apply,state
this. Indicate the definition of terms,if needed.
30
List any publications,manuals,and regulations that the supplier/ contractor must abide by:
a) [Type text]
b) [Type text]
c) [Type text]
Definitions and Acronyms:
4.0 Summary of Requirements
These are the key tasks expected of the supplier/ contractor according to the Schedule and the Statement of
Work.
List the key technical and functional requirements for the project. Highlight up to 20 requirements that you
consider to be essential to the ultimate success of the project. Include the expected outputs/ outcomes and
performance standards.
Write tasks to be performed in a logical and sequential arrangement of work to the extent possible. Describe
the tasks in terms of outcomes expected,such as response time,cleanliness level,equipment up-time and
functionality. Use"work" words,such as:
1)Review...
2)Analyze...
3)Repair...
4)Install...
5) Construct...
All tasks should have quantifiable or observable results.
5.0 Schedule and Deliverables
List all outputs / outcomes and submittals with specific due dates or time frames. Include type,quantity
and delivery point(s). Include the acceptance criteria for each.
Milestone or Major Project Deliverable Planned Completion Date
6.0 Quality Assurance Plan
31
Explain what the Transit Agency's quality expectations are,how(and how often) deliverables or services
will be monitored and evaluated,and the process to follow when the outputs/ outcomes are below
performance standards.
The following levels of quality are to be judged acceptable under this contract:
a) All milestones or services will be achieved and all reports will be submitted on time in accordance with
Section 5.0 of this SOW.
a) All milestones,services,products or reports will meet the outcomes noted in Section 4.0 of
this document.
c)Supplier/ Contractor work will be monitored by Transit Agency project and Contract Management Staff.
d)Specific quality requirements for this contract are as follows:
1)On time delivery= [Type text]
2)Acceptable quality = [Type textl
3)Responsiveness = [Type textl
4)Service Level = [Type textl
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Sole Source Justification Form
Procurement by noncompetitive proposals may be used only when the award of a contract is
infeasible under small purchase procedures, sealed bids, or competitive proposals and at least
one of the following circumstances applies:
Check one:
The item is available only from a single source (sole source justification is attached).
The public exigency or emergency for the requirement will not permit a delay resulting
from competitive solicitation (documented emergency condition is attached).
FTA authorizes noncompetitive negotiations (letter of authorization is attached).
After solicitation of a number of sources, competition is determined inadequate (record
of source contacts is attached).
The item is an associated capital maintenance item as defined in 49 U.S.C. §5307(a)(1)
that is procured directly from the original manufacturer or supplier of the time to be replaced
(price certification attached).
Comments:
Independent Estimate and Cost Analysis are attached.
Purchasing Agent Senior Manager
Date Date
33
Cost Analysis Form
IPAGE OF PGS
COST ANALYSIS SUMMARY (For New Contracts Including Letter Contracts)
(See Instructions below)
SOLICITATION# SUPPLIES AND/OR SERVICES TO BE FURNISHED
PREPARER'S NAME,DEPARTMENT,TITLE,PHONE
DIVISION(S)AND LOCATION(S)WHERE WORK IS TO BE PERFORMED APPROVAL SIGNATURE
DETAIL DESCRIPTION OF COST ELEMENTS
Vendor A Vendor B Independent
1. DIRECT MATERIAL Proposal Proposal Estimate Analysis
A. PURCHASED PARTS
B. SUBCONTRACTED ITEMS
C. OTHER- (1) RAW MATERIAL
(2) STANDARD COMMERCIAL ITEMS
TOTAL DIRECT MATERIAL
2. MATERIAL OVERHEAD
(RATE %x$BASE*)
ESTIMATED RATE/ Vendor Vendor Independent Variance
3. DIRECT LABOR HOURS HOUR A(5) B(5) Estimate
TOTAL DIRECT LABOR
Il Vendor Vendor Independent Variance
4. LABOR OVERHEAD A S) B 5) Estimate
OH Rate
X BASE(labor total above)
TOTAL LABOR OVERHEAD
Vendor A Independent Variance
5. OTHER DIRECT COSTS (5) Vendor B(5) Estimate
A. SPECIAL TOOLING/EQUIPMENT
TOTAL SPECIAL TOOLING/EQUIPMENT
B. TRAVEL
(1) TRANSPORTATION
(2) PER DIEM OR SUBSISTENCE
TOTAL TRAVEL
34
DETAIL DESCRIPTION OF COST ELEMENTS(continued) Vendor A Vendor Independent Variance
($) B($) Estimate
C. INDIVIDUAL CONSULTANT SERVICES
TOTAL INDIVIDUAL CONSULTANT SERVICES
D. OTHER
TOTAL OTHER
E.SUBTOTAL DIRECT COST AND OVERHEAD
6. GENERAL AND ADMINISTRATIVE(G&A) RATE
X$ BASE(Use 5.E above)
7. ROYALTIES(if any)
8.SUBTOTAL ESTIMATED COST
9. CONTRACT FACILITIES CAPITAL AND COST OF MONEY
10.SUBTOTAL ESTIMATED COST
11. FEE OR PROFIT
12.TOTAL ESTIMATED COST AND FEE OR PROFIT
13.Discounts
14.Option Costs(specify)
15.ADJUSTED COST
ANALYSIS GUIDELINES
1. DIRECT MATERIAL
A. Analyze Purchased Parts: Provide a consolidated price analysis of material quantities included in the various tasks,orders,or
contract line items being proposed and the basis for pricing(vendor quotes,invoice prices,etc.).
B. Subcontracted Items: Analyze the total cost of subcontract effort and supporting written quotations from the prospective
subcontractors
C. Other:
(1) Raw Material:Review any materials in a form or state that requires further processing. Analyze priced quantities of items
required for the proposal. Consider alternatives and total cost impact.
(2) Standard Commercial Items: Analyze proposed items that the offeror will provide,in whole or in part,and review the basis
for pricing.Consider whether these could be provided at lower cost from another source.
2. MATERIAL OVERHEAD
Verify that this cost is not computed as part of labor overhead(item 4)or General and Administrative(G&A)(Item 6).
3. DIRECT LABOR
Analyze the hourly rate and the total hours for each individual(if known)and discipline of direct labor proposed. Determine whether actual
rates or escalated rates are used. If escalation is included,analyze the degree(percent)and rationale used.Compare percentage of total that
labor represents for each bid.
4. LABOR OVERHEAD
Analyze comparative rates and ensure these costs are not computed as part of G&A.Determine if Government Audited rates are available,
5. OTHER DIRECT COSTS
A. Special Tooling/Equipment. Analyze price and necessity of specific equipment and unit prices.
B. Travel. Analyze each trip proposed and the persons(or disciplines)designated to make each trip. Compare and check costs.
C. Individual Consultant Services. Analyze the proposed contemplated consulting. Compare to independent estimate of the amount
of services estimated to be required and match the consultants'quoted daily or hourly rate to known benchmarks.
D. Other Costs. Review all other direct charge costs not otherwise included in the categories described above(e.g.,services of
specialized trades,computer services,preservation,packaging and packing,leasing of equipment and provide bases for pricing.Scan for
duplication or omissions.
35
6. GENERAL AND ADMINISTRATIVE EXPENSE
See notes on labor overhead above and check whether the base has been approved by a Government audit agency for use in proposals.
7. ROYALTIES
If more than$250,analyze the following information for each separate royalty or license fee;name and address of licenser;date of license
agreement;patent numbers,patent application serial numbers,or other basis on which the royalty is payable;brief description(including any
part of model numbers or each contract item or component on which the royalty is payable);percentage or dollar rate of royalty per unit;
unit price of contract item;number of units;and total dollar amount of royalties,
8. SUBTOTAL ESTIMATED COST
Compare the total of all direct and indirect costs excluding Cost of Money and Fee or Profit.Note reasons for differences.
9. CONTRACT FACILITIES CAPITAL AND COST OF MONEY
Analyze the offerors'supporting calculations and compare to known standards.
10. SUBTOTAL ESTIMATED COST
This is the total of all proposed costs excluding Fee or Profit. Determine the competitive range.Question outliers.
11. FEE OR PROFIT
Review the total of all proposed Fees or Profit.
12. TOTAL ESTIMATED COST AND FEE OR PROFIT
Analyze the range of total estimated costs including Fee or Profit,and explain variance to independent estimate.Identify areas for
negotiation or areas to be challenged. Explain your conclusions regarding fair and reasonable pricing.
13.DISCOUNTS
Review basis for Discounts and range between offers.
ATTACH NARRATIVE COST ANALYSIS MEMO ADDRESSING ITEMS AS INSTRUCTED ABOVE.
36
Price Analysis
PO/Contract:
The evidence compiled by a price analysis includes:
• Developing and examining data from multiple sources whenever possible that prove or strongly suggest the proposed
price is fair.
• Determining when multiple data consistently indicate that a given price represents a good value for the money.
• Documenting data sufficiently to convince a third party that the analyst's conclusions are valid.
The pricing quoted on the attached sheet(s) is deemed to be fair and reasonable based on the
following type of analysis:
Comparison with competing suppliers' prices or catalog pricing for the same item. (Complete comparison
matrix and attach supporting quotes or catalog pages.)
Comparison of proposed pricing with in-house estimate for the same item. (Attach signed in-house
estimate and explain factors influencing any differences found. Complete summary matrix.)
Comparison of proposed pricing with historical pricing from previous purchases of the same item, coupled
with market data such as Producer Price Index or Inflation Rate over the corresponding time period. (Attach data
and historical price record).
Analysis of price components against current published standards, such as labor rates,
dollars per pound etc. to justify the price reasonableness of the whole. (Attach analysis to
support conclusions drawn.)
SUMMARY MATRIX
Item Proposed Average Competitor Competitor In-House Other
Pricing Market A B Estimate
Price
DATE: PREPARED BY:
Attachments:
37
Procurement Summary
PROCUREMENT MEMORANDUM
Date: Completed by:
PO/Contract No.
Source of Funding:
Method of Procurement
Micro Purchase: Competitive RFP: Competitive Bid:
Small Purchase: A&E Services: Sole Source:
Justification if Non-Competitive:
Reason for the Procurement
Contract Type:
Rationale for contract type:
Reason for Contractor selection or rejection: Lowest responsive,responsible bidder:
Evaluation results were:
Basis for Contract Price:
Accepted contractor's proposed pricing:
Negotiated Price(attached memorandum)
Other:
Cost/Price Analysis:
The price offered by the supplier was within %of the independent estimate, and variance between
the offerors constituted a range of . The competitive range was determined to be from$
Pricing discrepancies between the offers was attributed to
Other sources/data used to affirm price reasonableness were
Summary of Responsibility and Responsiveness Checks
Award Date of contract award:
Board Approval(Attach Meeting Minutes):
Change Orders
Identify each and summarize reason for change, dates, cost analysis,time impact, and modification number.
38
Procurement Decision Matrix
Micro- Competitive Procurement Sole Source
purchase
Amount <
$3,000 Amount > $3,000 Approved by FTA
Multiple Multiple Sources OEM, Custom Item OR
Sources _
Not an Emergency Only One Source OR _
Competition Inadequate
after Solicitation OR _
Small Purchase Emergency/Public
Exigency
Amount < $100,000 _
Complete and Adequate
Specification or Description _
Two or more quotes available
Sealed Bid (IFBs) _ Type of Contract _
Complete and Adequate
Specification or Description Fixed price
Two or more responsible
bidders willing to compete Firm fixed unit prices
Selection can be made on the
basis of price alone Cost plus fixed fee
Firm Fixed Price Contract Time and materials _
No discussion with bidders
required after receipt of bids Blanket purchase order
Indefinite Delivery
Indefinite Quantity (IDIQ) _
Competitive Proposals (RFPs) _
Complete Specifications Not
Feasible _
Bidder Input Needed _
Two or more responsible
bidders willing to compete _
Discussion needed with
bidders after proposals _
Fixed price can be set after
discussions OR
39
Change Order Review Checklist
Date
Contract Number
Contractor
Contract Title
Reviewer
New Contract Total
Change Order Number
Dollar Value Increase
Length of Time Extension Granted
New Performance Period End Date
Change Order Checklist INCLUDED NSA Comment
1. In-House Estimate Prepared
2. Project Manager Approval
3.AWO Scope Meeting Held
3a. Scope of Change Adequate for Bidding
4. Contractor Proposal Includes Impact
Costs, Price
5. Cost Analysis Conducted
5a. If Price>10%of ICE, Evidence of MTA
President Approval
6. Negotiation Memorandum
7. Written Record of Change
7a. Signed Change Order in File
8. Evidence of Board Approval Prior
Initiation of Changed Work
9. Notice to Proceed in file
10. Work Authorized within Contract Scope
11. No Evidence of Arbitrary Action
Other Comment
40
Piggybacking Checklist
Definition: Piggybacking is the post-award use of a contractual document/process that allows someone who was
not contemplated in the original procurement to purchase the same supplies/equipment through that original
document/process. ("FTA Dear Colleague" letter, October 1, 1998).
In order to assist in the performance of your review, to determine if a situation exists where you may be able to
participate in the piggybacking (assignment) of an existing agreement, the following considerations are provided.
Ensure that your final file includes documentation substantiating your determination.
WORKSHEET YES NO
1. Have you obtained a copy of the contract and the solicitation document, including
the specifications and any Buy America Pre-award or Post- Delivery audits?
2. Does the solicitation and contract contain an express"assignability" clause that
provides for the assignment of all or part of the specified deliverables?
3. Did the Contractor submit the "certifications' required by Federal regulations?
See BPPM Section 4.3.3.2.
4. Does the contract contain the clauses required by Federal regulations? See BPPM
Appendix Al.
5. Were the piggybacking quantities included in the original solicitation; i.e.,were
they in the original bid and were they evaluated as part of the contract award
decision?
6. If this is an indefinite quantity contract, did the original solicitation and resultant
contract contain both a minimum and maximum quantity, and did these
represent the reasonably foreseeable needs of the parties to the contract?
7. If this piggybacking action represents the exercise of an option in the contract, is
the option provision still valid or has it expired?
8. Does your State law allow for the procedures used by the original contracting
agency: e.g., negotiations vs. sealed bids?
9. Was a cost or price analysis performed by the original contracting agency
documenting the reasonableness of the price? Obtain a copy for your files. Have
you performed a market analysis of the prices to be paid and have you
determined the price to be fair and reasonable and in the best interests of the
Agency?
10. If the contract is for rolling stock or replacement parts, does the contract term
comply with the five-year term limit established by FTA? See FTA Circular 4220.1F,
Chapter IV, 2 (14) (i).
11. Was there a proper evaluation of the bids or proposals? Include a copy of the
analysis in your files.
12. If you will require changes to the vehicles (deliverables), are they"within the
scope" of the contract or are they"cardinal changes"? See BPPM Section 9.2.1.
Note:This worksheet is based upon the policies and guidance expressed in(a) the FTA Administrator's "Dear
Colleague"letter of October 1,1998, (b)the Best Practices Procurement Manual,Section 6.3.3—Joint Procurements of
Rolling Stock and "Piggybacking,"
41
Contract Clause Matrix
APPLICABILITY OF THIRD PARTY CONTRACT PROVISIONS
(excluding micro-purchases, except Davis-Bacon requirements apply to contracts exceeding$2,000)
PROVISION Professional Operations/ Rolling Stock Construction Materials&
Services/A&E Management Purchases Supplies
No Federal Government
Obligations to Third Parties All All All All All
(by Use of a Disclaimer)
False Statements or Claims All All All All All
Civil and Criminal Fraud
Access to Third Party All All All All All
Contract Records
Changes to Federal All All All All All
Requirements
>$10,000 if 49 >$10,000 if 49 >$10,000 if 49 >$10,000 if 49 >$10,000 if 49
Termination CFR Part 18 CFR Part 18 CFR Part 18 CFR Part 18 CFR Part 18
applies. applies. applies. applies. applies.
Civil Rights(Title VI,EEO,
>$10,000 >$10,000 >$10,000 >$10,000 >$10,000
ADA)
Disadvantaged Business All All All All All
Enterprises(DBEs)
Incorporation of FTA Terms All All All All All
Debarment and Suspension >$25,000 >$25,000 >$25,000 >$25,000 >$25,000
Buy America >$100,000 >$100,000 >$100,000
Resolution of Disputes,
Breaches,or Other >$100,000 >$100,000 >$100,000 >$100,000 >$100,000
Litigation
Lobbying >$100,000 >$100,000 >$100,000 >$100,000 >$100,000
Clean Air >$100,000 >$100,000 >$100,000 >$100,000 >$100,000
Clean Water >$100,000 >$100,000 >$100,000 >$100,000 >$100,000
For property For property For property
Cargo Preference transported by transported by transported by
ocean vessel. ocean vessel. ocean vessel.
For foreign air For foreign air For foreign air For foreign air For foreign air
Fly America transport or transport or transport or transport or transport or
travel. travel. travel. travel. travel.
17
42
PROVISION Professional Operations/ Rolling Stock Construction Materials&
Services/A&E Management Purchases Supplies
>$2,000
Davis-Bacon Act (including ferry
vessels)
>$100,000
Contract Work Hours and (except >$100,000
Safety Standards Act transportation >$100,000 (including ferry
services)
vessels)
Copeland Anti-Kickback All
Act All exceeding
Section 1 $2,000
Section 2 (including ferry
vessels)
Bonding $100,000
A&E for New
Seismic Safety Buildings& New Buildings
Additions
Transit Employee Protective Transit
Arrangements Operations
Charter Service Operations All
School Bus Operations All
Drug Use and Testing Transit
Operations
Alcohol Misuse and Testing Transit
Operations
Patent Rights Research&
Development
Rights in Data and Research&
Copyright Requirements Development
Energy Conservation All All All All All
Contracts for Contracts for Contracts for
items designated items designated items designated
Recycled Products by EPA,when by EPA,when by EPA,when
procuring procuring procuring
$10,000 or more $10,000 or more $10,000 or more
per year per year per year
Conformance with ITS
ITS Projects ITS Projects ITS Projects ITS Projects ITS Projects
National Architecture
ADA Access A&E All All All All
Notification of Federal
Limited to States Limited to States Limited to States Limited to States Limited to States
Participation for States
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43
Name of Bidder
Contract/Invitation/Request Number:
Date Last Updated:April,2014
PRE-AWARD COMPLIANCE CERTIFICATIONS
(In compliance with the federal requirements of 49 U.S.C. section 5323(m))
PRE-AWARD BUY AMERICA COMPLIANCE CERTIFICATION
As required by 49 CFR 663(b), the (the recipient) is satisfied that
the buses to be purchased, (number and description of buses) from
(the manufacturer), meet the requirements of Section 165(b)(3)
of the Surface Transportation Assistance Act of 1982, as amended. The (the
recipient) has reviewed the documentation provided by the manufacturer, which lists: (1)
proposed component and subcomponent parts of the buses identified by manufacturer, country
of origin, and cost as a percentage; and (2) the proposed location of the final assembly point for
the buses, including a description of the activities that will take place at the final assembly point
and cost of final assembly.
PRE-AWARD PURCHASER'S REQUIREMENTS CERTIFICATION
As required by 49 CFR 663(b), the (the recipient) certifies that the
buses to be purchased, (number and description of buses) from
(the manufacturer), are the same product described in the
recipient's solicitation specification and that the proposed manufacturer is a responsible
manufacturer with the capability to produce a bus that meets the specifications.
PRE-AWARD FMVSS COMPLIANCE CERTIFICATION
As required by 49 CFR 663(d), the (the recipient) certifies that it
received, at the pre-award stage, a copy of (the manufacturer's)
self-certification information stating that the buses, (number and
description of buses), will comply with the relevant Federal Motor Vehicle Safety Standards
issued by the National Highway Traffic Safety Administration in 49 CFR 571.
Name of Committee/Recipient (Signature of Representative)
(Date of Signature) (Type or Print Name&Title of Representative)
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Name of Bidder
Contract/Invitation/Request Number:
Date Last Updated:April,2014
POST-DELIVERY COMPLIANCE CERTIFICATIONS
(In compliance with the federal requirements of 49 U.S.C. section 5323(m))
POST-DELIVERY BUY AMERICA COMPLIANCE CERTIFICATION
As required by 49 CFR 663(c), the (the recipient) certifies that it is
satisfied that the buses received, (description of buses) from
(the manufacturer), meet the requirements of Section165(b)(3)
of the Surface Transportation Assistance Act of 1982, as amended. The
(the recipient) has reviewed the documentation provided by the manufacturer, which lists (1)
the actual component and subcomponent parts of the buses identified by manufacturer, country
of origin, and cost; and (2) the actual location of the final assembly point for the buses, including
a description of the activities that took place at the final assembly point and the cost of final
assembly.
POST-DELIVERY FMVSS COMPLIANCE CERTIFICATION
As required by 49 CFR 663(d), the (the recipient)certifies that it received,
at the post-delivery stage, a copy of (the manufacturer's) self-certification
information stating that the buses, (description of buses), comply with the
relevant Federal Motor Vehicle Safety Standards issued by the National Highway Traffic Safety
Administration in 49 CFR571.
Name of Committee/Recipient (Signature of Representative)
(Date of Signature) (Type or Print Name&Title of Representative)
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Contract/Invitation/Request Number:
Date Last Updated:April,2014 Name of Bidder
POST-DELIVERY PURCHASER'S REQUIREMENT
(ON-SITE INSPECTION REPORT) CERTIFICATION
(In compliance with the federal requirements of 49 U.S.C. section 5323(m))
ON-SITE MANUFACTURER INSPECTION COMPLIANCE CERTIFICATION
(Rolling Stock Procurements for more than 10 vehicles for areas >200,000 in population)
As required by 49 CFR 663(c), the (the recipient)certifies that a
resident inspector, (name of inspector not an agent or employee of
the manufacturer), was at (the manufacturer's) manufacturing site
during the period of manufacture of the buses, (description of
buses). The inspector visually inspecting the buses, the (the recipient)
has reviewed the inspection documentation, maintains a copy of this report, and certifies that
the buses meet the contract specifications.
ON-SITE MANUFACTURER INSPECTION COMPLIANCE CERTIFICATION
(Rolling Stock Procurements for more than 20 vehicles for areas <200,000 in population)
As required by 49 CFR 663(c), the (the recipient)certifies that a
resident inspector, (name of inspector not an agent or employee of
the manufacturer), was at (the manufacturer's) manufacturing site
during the period of manufacture of the buses, (description of
buses). The inspector visually inspecting the buses, the (the recipient)
has reviewed the inspection documentation, maintains a copy of this report, and certifies that
the buses meet the contract specifications.
Name of Bidder/Company Name (Signature of Representative)
(Date of Signature) (Type or Print Name&Title of Representative)
(Signature of Notary&Seal)
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Sub recipient Monitoring Check List
Date Report Completed: FTA Grant
GRANT MONITORING GUIDELINES
Number:
Project Subrecipient Name
Name:
Project Description: Capitai/Operating/Mobility Management
Project Duration; Date Sub-Recipient Agreement Executed:
Topic Area Yes No N/A Recommendations/Comments
A. Program Operation
1.Is the project progressing on schedule?
2.Is the project functioning as described in
agreement?
3. Has there been a change in Primary Contacts?
4.Do Progress Reports describe project activities?
5.1s data provided to support project
goals/outcomes"?
6.Is compliance with required training documented?
7.Is sub-recipient involved in lobbying activities?
8.Have all Special Conditions of the agreement been
met?
9.Is there evidence of a change in project scope?
B. Budget
1.Will Project Meet Budget Time Frame?If not,why?
2.Have Budget Adjustments Been Needed?
3.Do expenses have supporting documentation?
C. Personnel
1.Are there Job Descriptions for ALL Grant-funded
Positions?
2.Are Time Sheets Maintained For ALL Grant
Employees?
D. Travel
1.Is Travel Documented by date,distance,locations,
purpose&rates?
2.Is mileage reimbursement paid at the State rate or
less?
E. Supplies/Operating Expenses
1.Have these been purchased according to budget?
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F. Equipment
1.Has approved equipment been purchased?
2.Was competitive bidding used to obtain equipment?
3.Is equipment being used appropriately?
4.Does grantee have current property control record
on file?
5,Does agency have physical inventory control
procedures?
6.Does agency have a maintenance program in place?
G. Reports
1,Are ALL required reports on file with Palm Tran?
--Financial Report
--Progress Report
--Annual Progress Report
H. Professional and Contractual Services
1.Have all contracts been received PRIOR execution
And approval?
2.Does Contract outline work to be performed and
does it comply with program objectives?
3. Was copy of RFP&list of bidders provided?
4.Was competitive bidding used to obtain contract(s)?
5.1f Sole Source used,is approval on file?
6. Es"Contractor"making regular&accurate billing?
I. Federal Regulations
1. Does sub-recipient have a Title VI Program in place?
2. Agency has a policy on how to handle
discrimination complaints from employees and
agency beneficiaries.
3. Have there been any discrimination complaints
within the past 3 years?
4. Is sub-recipient suspended/debarred from
participation?
5. Does sub-recipient maintain a drug-free workplace?
6.Are DBE requirements included in documents?
7.Are Vehicles ADA Compliant?
J. Specific Issues
K. SUMMARY INFORMATION