Procurement Approval Request - Federal Funds

Procurement Flowchart

TDOT as a direct recipient of federal transit funds from the Federal Transit Administration (FTA) is responsible to see that subrecipients administer FTA funded procurements in accordance with 2 CFR Part 200 and FTA Circular 4220.1f.  TDOT confirms subrecipient compliance with FTA procurement rules and regulations through two oversight activities,

  1. Procurement Transaction Review, and
  2. Periodic oversight reviews of subrecipients.

This section focuses on Federal Procurement Transaction Review. 

Federal Procurement Transaction Reviews are required of TDOT Subrecipients only for procurements to be made with funds from

  • Federal Only or State and Federal Program Contracts (TDOT is the direct recipient of federal funds)

Subrecipients are required to submit small or formal procurement transaction documentation to TDOT for compliance review.  Compliance review is required at two points in the procurement process,

  1. Prior to requesting quotes from vendors or advertising the procurement solicitation, and
  2. Prior to issuing a purchase order or executing a contract with the awarded vendor(s).

After receiving the documentation TDOT will review for compliance with federal and state procurement rules. If the submitted documentation is determined to be in compliance, TDOT will issue the appropriate letter to proceed to the subrecipient.

  1. Letter to proceed with publicity/quotations after the first review, and
  2. Letter to proceed with award after the second review.

If the submitted documentation is determined to be deficient a TDOT Multimodal staff member will be in contact to discuss the deficiency and what is needed to bring the request into compliance. Once the request has been determined to be in compliance the appropriate letter to proceed is issued.

Procurement work path lists are provided on the tabs below that provide information about TDOT’s procurement oversight process and the instructions on determining the documentation needed for the procurement transaction.

This tab explains the two TDOT compliance reviews of subrecipient procurement documentation for small or formal procurements.  TDOT’s two compliance reviews currently consist of three check lists.  TDOT Multimodal completes the check lists to document the review of subrecipient procurement documentation at two central stages of the procurement.  One check list is used in both reviews, as seen in the review content check lists below. 

1st TDOT Procurement Compliance Review

TDOT receives pre-publicity or pre-requesting quotes documentation from subrecipient

2nd TDOT Procurement Compliance Review

TDOT receives pre-award or pre-purchase order documentation from subrecipient

Subrecipients may pre-complete the check lists as part of the procurement submission for review to point TDOT to the  procurement documentation it proposes meets the check list requirements.  The completion of the check lists is not required, however may speed up TDOT Multimodal’s review time.   

The grantee worksheets begin on the following Procurement Transaction Planning tab.

Documentation of a procurement transaction is key to demonstrating that a procurement meets FTA rules and regulations.  While a procurement transaction is not an easy process to navigate TDOT Multimodal’s purposes for creating the following outlines are to simplify the process as much as we think is possible, to guide recipients in an efficient way through their planning and execution of procurement transactions, and to supply the documentation necessary to demonstrate compliance.  To this end, the following outlines are presented which include recipient worksheets on procurement topics to be completed and filed in the procurement transaction file in the hope the recipient is enabled to prepare and execute a compliant procurement.

The first steps in planning for all small or formal procurements are defining the specifications for the product or service, documenting the level of need, and an initial estimate of cost.  The results of these activities guide the subrecipient in the next step of preparing the information or documentation for vendor solicitation.  Work through the following worksheets to determine the next step to take for solicitation design.

Based on the Method of Procurement selected in the Procurement Method Selection and Record Keeping Worksheet (Part 1) choose the corresponding tab for guidance on completion of the preparation, TDOT review, vendor communication, and award process for that procurement method.

The Micro Purchase section provides resources for Micro Purchase review and documentation suggestions.

Welcome to the TDOT Multimodal small purchase procurement documentation process!  Complete this process for a procurement transaction if the result of the planning worksheet, “Procurement Method Selection and Record Keeping Worksheet”, resulted in the selection of the small purchase procurement method.

A small purchase procurement is relieved of some of the requirements of a Formal Purchase procurement.  Small purchase procurements do not need to be advertised and may be accomplished by calling a sufficient number of responsible vendors, discussing and confirming specifications and requirements, and receiving quotes.  The worksheets provided below guide the recipient through preparing the information to communicate with responsible vendors when requesting quotes.  The first set of worksheets are to be completed prior to contacting vendors.

STOP.  Submit all procurement planning worksheets, small purchase worksheets, and a draft contract or purchase order with the required clauses and certifications attached, to TDOT for review before contacting vendors and proceeding with next steps.  Receive TDOT Letter to Proceed with Quotation Requests.

GO.  After receiving TDOT letter to proceed with quotation requests, follow the tasks in the Small Purchase Solicitation section of the Small Purchase Worksheet (Part 2) to vendor(s) selection.

  • Small Purchase Worksheet (Part 2) – Continuation from Part 1 of worksheet above
  • Responsible Determination Worksheet (Part 2) – Continuation from Part 1 of worksheet above
  • Rolling Stock Worksheet (Part 2) – if applicable, continuation from Part 1 of worksheet above
  • Construction Worksheet (Part 2) – if applicable, continuation from Part 1 of worksheet above
  • Price or Cost Analysis Worksheet
  • Clauses and Certifications Checklist – Should match documentation from first step
  • Procurement Method Selection and Record Keeping Worksheet (Part 2) – Continuation from Part 1 in Planning phase

STOP.  Submit all procurement evaluation worksheets, award worksheets, and a draft contract or purchase order with the required clauses and certifications attached, to TDOT for review before executing contract or issuing purchase order with the selected vendor.  Receive TDOT Letter to Proceed with Award.

GO.  After receiving TDOT Letter to Proceed with Award, execute the contract or issue the purchase order, with all clauses and certifications attached with the selected vendor(s).  Follow the tasks in the Small Purchase Post Award section of the Small Purchase Worksheet (Part 3).

  • Small Purchase Worksheet (Part 3) – Continuation from Part 2 of worksheet above
  • Rolling Stock Worksheet (Part 3) – if applicable, continuation from Part 2 of worksheet above
  • Post Award Contract Administration – Activity, not a worksheet

STOP.  Submit all post award worksheets and documentation to TDOT.  Submit reimbursement request to TDOT for reimbursement.

Welcome to the TDOT Multimodal Invitation to Bid procurement documentation process!  Complete this process for a procurement transaction if the result of the planning worksheet, “Procurement Method Selection and Record Keeping Worksheet”, resulted in the selection of the Invitation to Bid procurement method.

Invitation to Bid procurements must be advertised and select the winning vendor usually based on lowest price.  The worksheets provided below guide the recipient through the information to prepare the Invitation to Bid solicitation to communicate with responsible vendors when requesting bids.  The first set of worksheets are to be completed prior to advertising the bid solicitation.

STOP.  Submit all procurement planning worksheets, Invitation to Bid worksheets, a copy of the Invitation to Bid solicitation, and a draft contract or purchase order with the required clauses and certifications attached, to TDOT for review before advertising the Invitation to Bid and proceeding with next steps.  Receive TDOT Letter to Proceed with Advertisement.

GO.  After receiving TDOT Letter to Proceed with Advertisement, follow the tasks in the Invitation to Bid Solicitation section of the Invitation to Bid Worksheet (Part 2) to vendor(s) selection.

  • Documentation of Bid Results – Activity documentation, not a worksheet
  • Invitation to Bid Worksheet (Part 2) – Continuation from Part 1 of worksheet above
  • Single Response Analysis Worksheet – if only a single response is received
  • Publicity Plan Worksheet (Part 2) – Continuation from Part 1 of worksheet above
  • Responsible Determination Worksheet (Part 2) – Continuation from Part 1 of worksheet above
  • Rolling Stock Worksheet (Part 2) – if applicable, continuation from Part 1 of worksheet above
  • Construction Worksheet (Part 2) – if applicable, continuation from Part 1 of worksheet above
  • Price or Cost Analysis Worksheet
  • Clauses and Certifications Checklist – Should match documentation from first step
  • Procurement Method Selection and Record Keeping Worksheet (Part 2) – Continuation from Part 1 in Planning phase

STOP.  Submit all procurement evaluation worksheets and documentation, award worksheets, and a draft contract or purchase order with the required clauses and certifications attached, to TDOT for review before executing contract or issuing purchase order with the selected vendor.  Receive TDOT Letter to Proceed with Award.

GO.  After receiving TDOT Letter to Proceed with Award, execute the contract or issue the purchase order, with all clauses and certifications attached with the selected vendor(s).  Follow the tasks in the Invitation to Bid Post Award section of the Invitation to Bid Worksheet (Part 3).

  • Invitation to Bid Worksheet (Part 3) – Continuation from Part 2 of worksheet above
  •  Rolling Stock Worksheet (Part 3) – if applicable, continuation from Part 2 of worksheet above
  • Post Award Contract Administration – Activity, not a worksheet

STOP.  Submit all post award worksheets and documentation to TDOT.  Submit reimbursement request to TDOT for reimbursement.

Welcome to the TDOT Multimodal Request for Proposal procurement documentation process!  Complete this process for a procurement transaction if the result of the planning worksheet, “Procurement Method Selection and Record Keeping Worksheet”, resulted in the selection of the Request for Proposal procurement method.

Request for Proposal procurements must be advertised and select the winning vendor usually based on the best value to be received by the recipient.  The worksheets provided below guide the recipient through the information to prepare the Request for Proposal solicitation to communicate with responsible vendors when requesting proposals.  The first set of worksheets are to be completed prior to advertising the proposal solicitation.

STOP.  Submit all procurement planning worksheets, Request for Proposal worksheets, a copy of the Request for Proposal solicitation, and a draft contract or purchase order with the required clauses and certifications attached, to TDOT for review before advertising the Request for Proposal and proceeding with next steps.  Receive TDOT Letter to Proceed with Advertisement.

GO.  After receiving TDOT Letter to Proceed with Advertisement, follow the tasks in the Request for Proposal Solicitation section of the Request for Proposal Worksheet (Part 2) to vendor(s) selection.

  • Documentation of Proposal Negotiation Results – Activity documentation, not a worksheet
  • Request for Proposal Worksheet (Part 2) – Continuation from Part 1 of worksheet above
  • Single Response Analysis Worksheet  – if only a single response is received
  • Publicity Plan Worksheet (Part 2) – Continuation from Part 1 of worksheet above
  • Responsible Determination Worksheet (Part 2) – Continuation from Part 1 of worksheet above
  • Rolling Stock Worksheet (Part 2) – if applicable, continuation from Part 1 of worksheet above
  • Construction Worksheet (Part 2) – if applicable, continuation from Part 1 of worksheet above
  • Price or Cost Analysis Worksheet
  • Clauses and Certifications Checklist – Should match documentation from first step
  • Procurement Method Selection and Record Keeping Worksheet (Part 2) – Continuation from Part 1 in Planning phase

STOP.  Submit all procurement evaluation worksheets and documentation, award worksheets, and a draft contract or purchase order with the required clauses and certifications attached, to TDOT for review before executing contract or issuing purchase order with the selected vendor.  Receive TDOT Letter to Proceed with Award.

GO.  After receiving TDOT Letter to Proceed with Award, execute the contract or issue the purchase order, with all clauses and certifications attached with the selected vendor(s).  Follow the tasks in the Request for Proposal Post Award section of the Request for Proposal Worksheet (Part 3).

  • Request for Proposal Worksheet (Part 3) – Continuation from Part 2 of worksheet above
  • Rolling Stock Worksheet (Part 3) – if applicable, continuation from Part 2 of worksheet above
  • Post Award Contract Administration – Activity, not a worksheet

STOP.  Submit all post award worksheets and documentation to TDOT.  Submit reimbursement request to TDOT for reimbursement.

Welcome to the TDOT Multimodal Architectural & Engineering Services procurement documentation process!  Complete this process for a procurement transaction if the result of the planning worksheet, “Procurement Method Selection and Record Keeping Worksheet”, resulted in the selection of the Architectural & Engineering Services procurement method.

Architectural & Engineering Services procurements must be advertised, only used for procurements of consulting services that lead to construction, and the selection of the winning vendor based on two process rounds.  In the first round the vendors are rated based on qualifications and approach to the project, without consideration of price.  The second round consists of negotiating price first with the highest rated vendor selected from the first round, and not proceeding to the next rated vendors unless an agreement cannot be reached with the highest rated vendor.

The worksheets provided below guide the recipient through the information to prepare the Architectural & Engineering Services solicitation to communicate with responsible vendors when requesting proposals.  The first set of worksheets are to be completed prior to advertising the proposal solicitation.

STOP.  Submit all procurement planning worksheets, Architectural & Engineering Services Proposal worksheets, a copy of the Architectural & Engineering Services Proposal solicitation, and a draft contract or purchase order with the required clauses and certifications attached, to TDOT for review before advertising the Architectural & Engineering Services Proposal and proceeding with next steps.  Receive TDOT Letter to Proceed with Advertisement.

GO.  After receiving TDOT Letter to Proceed with Advertisement, follow the tasks in the Architectural & Engineering Services Proposal Solicitation section of the Architectural & Engineering Services Proposal Worksheet (Part 2) to vendor(s) selection.

  • Documentation of Qualifications Based Negotiation Results – Activity documentation, not a worksheet
  • Architectural & Engineering Services Proposal Worksheet (Part 2) – Continuation from Part 1 of worksheet above
  • Single Response Analysis Worksheet – if only a single response is received
  • Publicity Plan Worksheet (Part 2) – Continuation from Part 1 of worksheet above
  • Responsible Determination Worksheet (Part 2) – Continuation from Part 1 of worksheet above
  • Price or Cost Analysis Worksheet
  • Clauses and Certifications Checklist – Should match documentation from first step
  • Procurement Method Selection and Record Keeping Worksheet (Part 2) – Continuation from Part 1 in Planning phase

STOP.  Submit all procurement evaluation worksheets and documentation, award worksheets, and a draft contract or purchase order with the required clauses and certifications attached, to TDOT for review before executing contract or issuing purchase order with the selected vendor.  Receive TDOT Letter to Proceed with Award.

GO.  After receiving TDOT Letter to Proceed with Award, execute the contract or issue the purchase order, with all clauses and certifications attached with the selected vendor(s).  Follow the tasks in the Architectural & Engineering Services Proposal Post Award section of the Request for Proposal Worksheet (Part 3).

  • Architectural & Engineering Services Proposal Worksheet (Part 3) – Continuation from Part 2 of worksheet above
  • Post Award Contract Administration – Activity, not a worksheet

STOP.  Submit all post award worksheets and documentation to TDOT.  Submit reimbursement request to TDOT for reimbursement.

Welcome to the TDOT Multimodal Statewide Contract Purchase procurement documentation process!  Complete this process for a procurement transaction if the result of the planning worksheet, “Procurement Method Selection and Record Keeping Worksheet”, resulted in the selection of the Statewide Contract Purchase procurement method.

Statewide Contract Purchase procurements can save a recipient time in that a contract with vendors has already been advertised, evaluated, and executed, so the step to request a Letter to Proceed with Quotation Requests or Advertisement can be skipped.  Before a recipient can use a statewide contract purchase procurement it must confirm and document that the state permits others to use its schedules and that the statewide contract procurement was completed competitively and that all FTA requirements, required clauses, and certifications were followed and included.  An initial set of oversight worksheets is included in the task list below for review of the Statewide Contract for FTA compliance.

The worksheets provided below guide the recipient through the information to prepare the Statewide Contract Purchase procurement and to communicate with responsible vendors when requesting quotes for products or services.  The worksheets are to be completed prior executing the award with the vendor.

Obtain a copy of the Statewide Contract and procurement process documentation from the state procurement agency.  Review the state procurement process and complete the TDOT oversight documents for the Statewide Contract procurement.  This oversight review need only to be completed with the first purchase from the statewide contract and can be used with successive purchases off of the same contract thereafter until the contract expiration date.  Upon the procurement of a new contract, a new review will need to be completed. TDOT has completed the compliance review of some statewide contracts.  Before completing these worksheets check with TDOT to see if the statewide contract to be used is already completed.

After reviewing and documenting oversight of the statewide contract, complete the following worksheets regarding the current purchase from the contract.  Worksheets are to be completed prior to executing an award with the vendor.

STOP.  Submit all procurement worksheets and documentation, award worksheets, and a draft contract or purchase order with the required clauses and certifications attached, to TDOT for review before executing contract or issuing purchase order with the selected vendor.  Receive TDOT Letter to Proceed with Award.

GO.  After receiving TDOT Letter to Proceed with Award, execute the contract or issue the purchase order, with all clauses and certifications attached with the selected vendor(s).  Follow the tasks in the Statewide Contract Purchase Post Award section of the Statewide Contract Purchase Worksheet (Part 3).

  • Statewide Contract Purchase Worksheet (Part 3) – Continuation from Parts 1 & 2 of worksheet above
  • Rolling Stock Worksheet (Part 3) – if applicable, continuation from Parts 1 & 2 of worksheet above
  • Post Award Contract Administration – Activity, not a worksheet

STOP.  Submit all post award worksheets and documentation to TDOT.  Submit reimbursement request to TDOT for reimbursement.

Welcome to the TDOT Multimodal Statewide Contract Purchase procurement documentation process!  Complete this process for a procurement transaction if the result of the planning worksheet, “Procurement Method Selection and Record Keeping Worksheet”, resulted in the selection of the Sole Source Purchase procurement method.

Sole Source Purchase procurements must have a written justification that meets a compliant reason.  Extra diligence should be taken in using this procurement method as it will receive increased attention from compliance reviewers.  

The worksheets provided below guide the recipient through the issues of the Sole Source Purchase.  Sole Source Purchases require only a review for a Letter to Proceed with Award, as documentation is required for justification to bypass advertising under a competitive procurement.  The worksheets are to be completed prior to executing the award with the vendor.

STOP.  Submit all procurement worksheets and documentation, award worksheets, and a draft contract or purchase order with the required clauses and certifications attached, to TDOT for review before executing contract or issuing purchase order with the selected vendor.  Receive TDOT Letter to Proceed with Award.

 GO.  After receiving TDOT Letter to Proceed with Award, execute the contract or issue the purchase order, with all clauses and certifications attached with the selected vendor(s).  Follow the tasks in the Sole Source Purchase Post Award section of the Statewide Contract Purchase Worksheet (Part 3).

  • Sole Source Purchase Worksheet (Part 3) – Continuation from Parts 1 & 2 of worksheet above
  • Rolling Stock Worksheet (Part 3) – if applicable, continuation from Parts 1 & 2 of worksheet above
  • Rolling Stock Post-Delivery Audit - if applicable
  • Post Award Contract Administration – Activity, not a worksheet

 

STOP.  Submit all post award worksheets and documentation to TDOT.  Submit reimbursement request to TDOT for reimbursement.