Procurement Approval Request - Federal Funds
As the direct recipient of federal transit funds from the Federal Transit Administration (FTA), TDOT is responsible for ensuring that subrecipients administer FTA-funded procurements in compliance with 2 CFR Part 200 and FTA Circular 4220.1f. TDOT verifies subrecipient compliance through:
- Procurement Transaction Review
- Periodic Oversight Reviews of Subrecipients
This section focuses on the Federal Procurement Transaction Review.
Federal Procurement Transaction Reviews are required for procurements funded by:
- Federal-Only Programs, or
- State and Federal Program Contracts (where TDOT is the direct recipient of federal funds)
Subrecipients must submit documentation for small or formal procurements to TDOT for compliance review at three key stages:
- Request a Letter to Proceed with Publicity/Quotes: Submit planning and procurement solicitation documents to ensure all federal and state compliance considerations are met before requesting quotes from vendors or advertising the procurement.
- Request to Proceed Prior to Award: Submit documentation covering vendor evaluation and preparation of the agreement document (purchase order or contract) to confirm compliance before issuing a purchase order or executing a contract with the selected vendor.
- Final Post-Award Documentation Submission: Provide a copy of the final, executed procurement documents for TDOT's final review before requesting reimbursement from TDOT.
TDOT will review the submitted documentation for compliance with federal and state procurement rules. If the documentation meets requirements, TDOT will issue the appropriate approval letters:
- Letter to Proceed with Publicity/Quotations after the first review
- Letter to Proceed with Award after the second review
If the documentation is found to be deficient, a TDOT Passenger Transportation Section staff member will contact the subrecipient to address the issues and guide them to achieve compliance. Once compliance is confirmed, the appropriate approval letter will be issued.
Procurement work path lists are available on the tabs below, providing detailed information about TDOT’s procurement oversight process and instructions on the required documentation for each stage of the procurement transaction.
This tab details the three compliance reviews conducted by TDOT for subrecipient procurement documentation related to small or formal procurements. TDOT uses four checklists for these reviews, completed by the Passenger Transportation Section to document compliance at three stages of the procurement process. The checklists are:
1st TDOT Procurement Compliance Review
- Planning and Solicitation Checklist: For pre-publicity or pre-request for quotes documentation.
- Clauses and Certifications Checklist: Ensures required clauses and certifications are included.
2nd TDOT Procurement Compliance Review
- Evaluation and Award Checklist: For pre-award or pre-purchase order documentation.
- Clauses and Certifications Checklist: The second submission should confirm the execution of and match the draft documents reviewed in the first step.
3rd TDOT Procurement Compliance Review
- Contract Administration Checklist: For post-award or pre-reimbursement executed documentation
- Clauses and Certifications Checklist: The third submission should confirm the execution of and match the draft documents reviewed in the first two steps.
Subrecipients may pre-complete the checklists as part of their procurement submission to help TDOT quickly identify compliant documentation. While completing the checklists is not mandatory, it can expedite the review process by highlighting how the procurement documentation meets the checklist requirements.
The grantee worksheets can be found on the next tab: Procurement Transaction Planning.
Documenting a procurement transaction is essential to demonstrate compliance with FTA rules and regulations. Although the procurement process can be complex, TDOT has created outlines and worksheets to simplify this process, guide recipients through planning and execution, and provide necessary documentation for compliance. These tools are designed to help recipients prepare and execute compliant procurements effectively.
Initial Steps for All Small or Formal Procurements:
- Define Specifications: Clearly outline the product or service requirements.
- Document Need: Assess and document the level of need for the procurement.
- Estimate Costs: Provide an initial cost estimate to guide subsequent steps.
- Establish Compliant Records: Document required elements of a procurement transaction.
Worksheets to Complete for Planning:
- Specifications Worksheet: Detail the product or service requirements.
- Necessity Worksheet: Document the need for the procurement.
- Independent Estimate: Provide an estimate of costs.
- Procurement Method Selection and Record Keeping (Part 1): Choose the appropriate procurement method and maintain records.
After completing the Procurement Method Selection and Record Keeping Worksheet (Part 1), refer to the corresponding procurement type tab for detailed guidance on:
- Preparing the procurement documentation
- Submitting for TDOT review
- Communicating with vendors
- Awarding the contract
- Overseeing vendor production and delivery of goods or services
These steps will ensure that you follow the correct procedures for your chosen procurement method.
Welcome to the TDOT small purchase procurement documentation process! Use this process when the "Procurement Method Selection and Record Keeping Worksheet" indicates that the small purchase procurement method is appropriate.
Overview:
A small purchase procurement is less complex than a formal purchase. It does not require public advertisement and can be completed by contacting a sufficient number of responsible vendors, discussing and confirming specifications and requirements, and then requesting and receiving quotes. The worksheets below will guide you through the necessary steps to prepare and communicate with vendors.
Pre-Vendor Contact Steps:
Complete the following worksheets before contacting vendors:
- Small Purchase Worksheet (Part 1)
- Responsible Vendor Determination Worksheet (Part 1)
- Rolling Stock Worksheet (Part 1) – if applicable
- Certification of Equivalent Service Form – if applicable
- Construction Worksheet (Part 1) – if applicable
- Contract Administration Worksheet (Part 1)
- Clauses and Certifications Checklist
STOP: Submit all procurement planning worksheets, including the small purchase worksheets and a draft contract or purchase order with the required clauses and certifications, to TDOT for review before contacting vendors. Wait for the TDOT Letter to Proceed with Quotation Requests before moving forward.
Vendor Selection Steps:
After receiving the TDOT letter to proceed with quotation requests, follow the tasks in the "Small Purchase Worksheet (Part 2)" to select a vendor.
- Small Purchase Worksheet (Part 2) – Continuation of Part 1
- Responsible Vendor Determination Worksheet (Part 2) – Continuation of Part 1
- Rolling Stock Worksheet (Part 2) – if applicable, continuation of Part 1
- Rolling Stock Pre-Award Audit – if applicable
- Construction Worksheet (Part 2) – if applicable, continuation of Part 1
- Price or Cost Analysis Worksheet
- Procurement Method Selection and Record Keeping Worksheet (Part 2) – Continuation of Part 1
- Contract Administration Worksheet (Part 2) – Continuation of Part 1
- Clauses and Certifications Checklist – Should match documentation from the first step
STOP: Submit all procurement evaluation worksheets, award worksheets, and a draft contract or purchase order with the required clauses and certifications to TDOT for review before executing the contract or issuing the purchase order. Wait for the TDOT Letter to Proceed with Award before proceeding.
Post-Award Steps:
After receiving the TDOT Letter to Proceed with Award, execute the contract or issue the purchase order with all clauses and certifications attached to the selected vendor(s). Then, follow the tasks in the "Small Purchase Worksheet (Part 3)."
- Purchase Order/Contract Documentation Results – Activity documentation (not a worksheet)
- Small Purchase Worksheet (Part 3) – Continuation of Part 2
- Rolling Stock Worksheet (Part 3) – if applicable, continuation of Part 2
- Rolling Stock Post-Delivery Audit – if applicable
- Construction Worksheet (Part 3) – if applicable, continuation of Part 2
- Contract Administration Worksheet (Part 3) – Continuation of Part 2
- Clauses and Certifications Checklist – Should match documentation from the second step
STOP: Submit all post-award worksheets and copies of the executed procurement documents to TDOT. Finally, submit a reimbursement request to TDOT for reimbursement.
Welcome to the TDOT Invitation to Bid procurement documentation process! Use this process when the "Procurement Method Selection and Record Keeping Worksheet" indicates that the Invitation to Bid procurement method is appropriate.
Overview:
Invitation to Bid procurements must be publicly advertised, and the winning vendor is typically selected based on the lowest price. The worksheets below will guide you through preparing the Invitation to Bid solicitation and communicating with responsible vendors when requesting bids.
Pre-Advertisement Steps:
Complete the following worksheets before advertising the bid solicitation:
- Invitation to Bid Worksheet (Part 1)
- Responsible Vendor Determination Worksheet (Part 1)
- Publicity Plan Worksheet (Part 1)
- Rolling Stock Worksheet (Part 1) – if applicable
- Certification of Equivalent Service Form – if applicable
- Construction Worksheet (Part 1) – if applicable
- Contract Administration Worksheet (Part 1)
- Clauses and Certifications Checklist
STOP: Submit all procurement planning worksheets, the Invitation to Bid Worksheet, a copy of the Invitation to Bid solicitation, and a draft contract or purchase order with the required clauses and certifications to TDOT for review before advertising the Invitation to Bid. Wait for the TDOT Letter to Proceed with Advertisement before moving forward.
Vendor Selection Steps:
After receiving the TDOT Letter to Proceed with Advertisement, follow the tasks in the "Invitation to Bid Worksheet (Part 2)" to select a vendor.
- Documentation of Bid Results – Activity documentation (not a worksheet)
- Invitation to Bid Worksheet (Part 2) – Continuation of Part 1
- Single Response Analysis Worksheet – if only a single response is received
- Publicity Plan Worksheet (Part 2) – Continuation of Part 1
- Responsible Vendor Determination Worksheet (Part 2) – Continuation of Part 1
- Rolling Stock Worksheet (Part 2) – if applicable, continuation of Part 1
- Rolling Stock Pre-Award Audit – if applicable
- Construction Worksheet (Part 2) – if applicable, continuation of Part 1
- Price or Cost Analysis Worksheet
- Procurement Method Selection and Record Keeping Worksheet (Part 2) – Continuation of Part 1
- Contract Administration Worksheet (Part 2) – Continuation of Part 1
- Clauses and Certifications Checklist – Should match documentation from the first step
STOP: Submit all procurement evaluation worksheets, documentation, award worksheets, and a draft contract or purchase order with the required clauses and certifications to TDOT for review before executing the contract or issuing the purchase order. Wait for the TDOT Letter to Proceed with Award before proceeding.
Post-Award Steps:
After receiving the TDOT Letter to Proceed with Award, execute the contract or issue the purchase order with all clauses and certifications attached to the selected vendor(s). Then, follow the tasks in the "Invitation to Bid Worksheet (Part 3)."
- Purchase Order/Contract Documentation Results – Activity documentation (not a worksheet)
- Invitation to Bid Worksheet (Part 3) – Continuation of Part 2
- Rolling Stock Worksheet (Part 3) – if applicable, continuation of Part 2
- Rolling Stock Post-Delivery Audit – if applicable
- Contract Administration Worksheet (Part 3) – Continuation of Part 2
- Clauses and Certifications Checklist – Should match documentation from the second step
STOP: Submit all post-award worksheets and documentation to TDOT. Finally, submit a reimbursement request to TDOT for reimbursement.
Welcome to the TDOT Request for Proposal (RFP) procurement documentation process! Use this process when the "Procurement Method Selection and Record Keeping Worksheet" indicates that the RFP procurement method is appropriate.
Overview:
RFP procurements must be publicly advertised, and the winning vendor is typically selected based on the best value offered. The worksheets below will guide you through preparing the RFP solicitation and communicating with responsible vendors when requesting proposals.
Pre-Advertisement Steps:
Complete the following worksheets before advertising the proposal solicitation:
- Request for Proposal Worksheet (Part 1)
- Responsible Vendor Determination Worksheet (Part 1)
- Publicity Plan Worksheet (Part 1)
- Rolling Stock Worksheet (Part 1) – if applicable
- Certification of Equivalent Service Form – if applicable
- Construction Worksheet (Part 1) – if applicable
- Contract Administration Worksheet (Part 1)
- Clauses and Certifications Checklist
STOP: Submit all procurement planning worksheets, the RFP Worksheet, a copy of the RFP solicitation, and a draft contract or purchase order with the required clauses and certifications to TDOT for review before advertising the RFP. Wait for the TDOT Letter to Proceed with Advertisement before moving forward.
Vendor Selection Steps:
After receiving the TDOT Letter to Proceed with Advertisement, follow the tasks in the "Request for Proposal Worksheet (Part 2)" to select a vendor.
- Documentation of Proposal Negotiation Results – Activity documentation (not a worksheet)
- Request for Proposal Worksheet (Part 2) – Continuation of Part 1
- Single Response Analysis Worksheet – if only a single response is received
- Publicity Plan Worksheet (Part 2) – Continuation of Part 1
- Responsible Vendor Determination Worksheet (Part 2) – Continuation of Part 1
- Rolling Stock Worksheet (Part 2) – if applicable, continuation of Part 1
- Rolling Stock Pre-Award Audit – if applicable
- Construction Worksheet (Part 2) – if applicable, continuation of Part 1
- Price or Cost Analysis Worksheet
- Procurement Method Selection and Record Keeping Worksheet (Part 2) – Continuation of Part 1
- Contract Administration Worksheet (Part 2) – Continuation of Part 1
- Clauses and Certifications Checklist – Should match documentation from the first step
STOP: Submit all procurement evaluation worksheets, documentation, award worksheets, and a draft contract or purchase order with the required clauses and certifications to TDOT for review before executing the contract or issuing the purchase order. Wait for the TDOT Letter to Proceed with Award before proceeding.
Post-Award Steps:
After receiving the TDOT Letter to Proceed with Award, execute the contract or issue the purchase order with all clauses and certifications attached to the selected vendor(s). Then, follow the tasks in the "Request for Proposal Worksheet (Part 3)."
- Purchase Order/Contract Documentation Results – Activity documentation (not a worksheet)
- Request for Proposal Worksheet (Part 3) – Continuation of Part 2
- Rolling Stock Worksheet (Part 3) – if applicable, continuation of Part 2
- Rolling Stock Post-Delivery Audit – if applicable
- Contract Administration Worksheet (Part 3) – Continuation of Part 2
- Clauses and Certifications Checklist – Should match documentation from the second step
STOP: Submit all post-award worksheets and documentation to TDOT. Finally, submit a reimbursement request to TDOT for reimbursement.
A&E Services procurements must be advertised and are specifically used for consulting services that lead to construction. The selection of the winning vendor is based on a two-round process:
- Round 1: Vendors are evaluated based on qualifications and approach to the project, without consideration of price.
- Round 2: Price negotiations begin with the highest-rated vendor from Round 1. If an agreement cannot be reached, negotiations proceed to the next highest-rated vendor.
Complete the following worksheets before advertising the A&E Services solicitation:
- A&E Services Proposal Worksheet (Part 1)
- Responsible Determination Worksheet (Part 1)
- Publicity Plan Worksheet (Part 1)
- Contract Administration Worksheet (Part 1)
- Clauses and Certifications Checklist
Once the TDOT Letter to Proceed with Advertisement is received, follow the tasks outlined in the A&E Services Proposal Worksheet (Part 2) to select the vendor(s):
- Documentation of Qualifications-Based Negotiation Results – Activity documentation (not a worksheet)
- A&E Services Proposal Worksheet (Part 2) – Continuation of Part 1
- Single Response Analysis Worksheet – if only a single response is received
- Publicity Plan Worksheet (Part 2) – Continuation of Part 1
- Responsible Determination Worksheet (Part 2) – Continuation of Part 1
- Price or Cost Analysis Worksheet
- Procurement Method Selection and Record Keeping Worksheet (Part 2) – Continuation of Part 1
- Contract Administration Worksheet (Part 2) – Continuation of Part 1
- Clauses and Certifications Checklist – Should match documentation from the first step
- Purchase Order/Contract Documentation Results – Activity documentation (not a worksheet)
- A&E Services Proposal Worksheet (Part 3) – Continuation from Part 2
- Contract Administration Worksheet (Part 3) – Continuation from Part 2
- Clauses and Certifications Checklist – Should match documentation from the second step
Welcome to the TDOT Two-Step procurement documentation process! Use this process when the "Procurement Method Selection and Record Keeping Worksheet" indicates that the Two-Step procurement method is appropriate.
Overview:
Two-Step procurements must be advertised. This method is used when:
- Specifications are not definite or complete.
- Specifications are too restrictive without technical evaluation and discussion to ensure mutual understanding of the technical requirements.
- There is a need or desire to evaluate technical approaches and qualifications to limit lengthy discussions to viable vendors.
Two-Step Procurement is a process that can be used in either sealed bid or competitively negotiated procurements, provided full and open competition is maintained.
- Step 1: Evaluate each vendor's technical approach and qualifications. Select at least three vendors with the best qualifications and approach to move on to Step 2.
- Step 2: Solicit and review complete bids or proposals, including price, from the vendors selected in Step 1.
Note: Ensure that at least three qualified, responsible vendors will respond to the procurement solicitation before initiating the Two-Step process.
Pre-Advertisement Steps:
Complete the following worksheets before advertising the Two-Step solicitation:
- Two-Step Procurement Worksheet (Part 1)
- Responsible Determination Worksheet (Part 1)
- Publicity Plan Worksheet (Part 1)
- Rolling Stock Worksheet (Part 1) – if applicable
- Certification of Equivalent Service Form – if applicable
- Construction Worksheet (Part 1) – if applicable
- Contract Administration Worksheet (Part 1)
- Clauses and Certifications Checklist
STOP: Submit all procurement planning worksheets, Two-Step Procurement Worksheet (Part 1), 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. Await the TDOT Letter to Proceed with Advertisement before moving forward.
Vendor Selection Steps:
Once the TDOT Letter to Proceed with Advertisement is received, follow the tasks outlined in the Two-Step Procurement Worksheet (Part 2) to select the vendor(s):
- Documentation of Two-Step Negotiation Results – Activity documentation (not a worksheet)
- Two-Step Procurement Worksheet (Part 2) – Continuation from Part 1
- Single Response Issue – if less than 2 responses are received, stop and restart other procurement method
- Publicity Plan Worksheet (Part 2) – Continuation from Part 1
- Responsible Determination Worksheet (Part 2) – Continuation from Part 1
- Rolling Stock Worksheet (Part 2) – if applicable, continuation from Part 1
- Rolling Stock Pre-Award Audit – if applicable
- Construction Worksheet (Part 2) – Continuation from Part 1
- Price or Cost Analysis Worksheet
- Procurement Method Selection and Record Keeping Worksheet (Part 2) – Continuation of Part 1
- Clauses and Certifications Checklist – Should match documentation from the first step
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. Await the TDOT Letter to Proceed with Award before executing the contract or issuing the purchase order with the selected vendor(s).
Post-Award Steps:
Once the TDOT Letter to Proceed with Award is received, execute the contract or issue the purchase order with the selected vendor(s) and complete the following tasks:
- Purchase Order/Contract Documentation Results – Activity documentation (not a worksheet)
- Two-Step Procurement Worksheet (Part 3) – Continuation from Part 2
- Rolling Stock Worksheet (Part 3) – if applicable, continuation from Part 2
- Rolling Stock Post-Delivery Audit – if applicable
- Construction Worksheet (Part 3) – Continuation from Part 2
- Clauses and Certifications Checklist – Should match documentation from the second step
STOP: Submit all post-award worksheets and documentation to TDOT. Finally, submit a reimbursement request to TDOT for processing.
Welcome to the TDOT Statewide Contract Purchase procurement documentation process! Use this process when the "Procurement Method Selection and Record Keeping Worksheet" indicates that the Statewide Contract Purchase procurement method is appropriate.
Overview:
Statewide Contract Purchase procurements can save time as contracts with vendors have already been advertised, evaluated, and executed. Therefore, you can skip the step of requesting a Letter to Proceed with Quotation Requests or Advertisement. However, before utilizing a statewide contract purchase, you must confirm and document the following:
- The state permits others to use its schedules.
- The statewide contract procurement was completed competitively.
- All FTA requirements, required clauses, and certifications were followed and included. If any clauses or certifications are discovered to be missing, they can be remedied by including the missing elements in the purchase agreement (purchase order or contract) with the vendor.
An initial set of oversight worksheets is provided below to review the Statewide Contract for FTA compliance. This oversight review is only required for the first purchase from the statewide contract and can be used for successive purchases until the contract expiration date. Upon the procurement of a new contract by the state, a new review will need to be completed. Note: TDOT has completed the compliance review of some statewide contracts. Check with TDOT to see if the statewide contract you intend to use has already been reviewed.
Pre-Award Steps:
Obtain a copy of the Statewide Contract and procurement process documentation from the state procurement agency. Review the state procurement process and complete the following TDOT oversight documents:
- TDOT Procurement Planning & Solicitation Preparation Phases Checklist
- TDOT Procurement Evaluation & Award Phases Checklist
- TDOT Procurement Clauses & Certifications Checklist
After completing the oversight review of the statewide contract, fill out the following worksheets regarding the current purchase from the contract. These worksheets must be completed before executing an award with the vendor:
- Statewide Contract Purchase Worksheet (Part 1 (skipped) & Part 2)
- Responsible Determination Worksheet (Part 1 & Part 2)
- Rolling Stock Worksheet (Part 1 & Part 2) – if applicable
- Certification of Equivalent Service Form – if applicable
- Rolling Stock Pre-Award Audit – if applicable
- Construction Worksheet (Part 1 & Part 2) – if applicable
- Price or Cost Analysis Worksheet
- Procurement Method Selection and Record Keeping Worksheet (Part 2) – Continuation of Part 1
- Contract Administration Worksheet (Part 1 & Part 2)
- Clauses and Certifications Checklist
STOP: Submit all procurement worksheets, award worksheets, and a draft contract or purchase order with the required clauses and certifications attached to TDOT for review. Await the TDOT Letter to Proceed with Award before executing the contract or issuing the purchase order with the selected vendor(s).
Post-Award Steps:
Once the TDOT Letter to Proceed with Award is received, execute the contract or issue the purchase order with the selected vendor(s). Complete the following tasks in the Statewide Contract Purchase Post Award section:
- Purchase Order/Contract Documentation Results – Activity documentation (not a worksheet)
- Statewide Contract Purchase Worksheet (Part 3) – Continuation from Parts 1 & 2
- Rolling Stock Worksheet (Part 3) – if applicable, continuation from Parts 1 & 2
- Rolling Stock Post-Delivery Audit – if applicable
- Contract Administration Worksheet (Part 3) – Continuation from Parts 1 & 2
- Clauses and Certifications Checklist – Should match documentation from the previous step
STOP: Submit all post-award worksheets and documentation to TDOT. Finally, submit a reimbursement request to TDOT for processing.
Sole Source Purchase procurements must have a written justification that meets a compliant reason. Extra due diligence should be taken when using this procurement method, as it will receive increased attention from compliance reviewers.
The worksheets provided below guide the recipient through the Sole Source Purchase process. Sole Source Purchases require only a review for a Letter to Proceed with Award, as documentation is needed to justify bypassing advertising under a competitive procurement. The worksheets must be completed before executing the award with the vendor.
Complete the following worksheets before executing the award:
- Sole Source Purchase Worksheet (Part 1 (skipped) & Part 2)
- Responsible Determination Worksheet (Part 1 & Part 2)
- Rolling Stock Worksheet (Part 1 & Part 2) – if applicable
- Certification of Equivalent Service Form – if applicable
- Rolling Stock Pre-Award Audit – if applicable
- Construction Worksheet (Part 1 & Part 2) – if applicable
- Price or Cost Analysis Worksheet
- Procurement Method Selection and Record Keeping Worksheet (Part 2) – Continuation from Part 1
- Contract Administration Worksheet (Part 1 & Part 2)
- Clauses and Certifications Checklist
STOP: Submit all procurement worksheets, award worksheets, and a draft contract or purchase order with the required clauses and certifications attached to TDOT for review. Receive the TDOT Letter to Proceed with Award before executing the contract or issuing the purchase order with the selected vendor(s).
Once the TDOT Letter to Proceed with Award is received, execute the contract or issue the purchase order with the selected vendor(s). Follow the tasks in the Sole Source Purchase Post Award section of the Statewide Contract Purchase Worksheet (Part 3):
- Purchase Order/Contract Documentation Results – Activity documentation (not a worksheet)
- Sole Source Purchase Worksheet (Part 3) – Continuation from Parts 1 & 2
- Rolling Stock Worksheet (Part 3) – if applicable, continuation from Parts 1 & 2
- Rolling Stock Post-Delivery Audit – if applicable
- Contract Administration Worksheet (Part 3) – Continuation from Parts 1 & 2
- Clauses and Certifications Checklist – Should match documentation from the previous step
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