1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 | 15 | 16 | 17 | 18 | 19 | 20 | 21 | 22 | 23 | 24 | 25 | 26 | 27 | 28 | 29 | 30 | 31 | 32 | 33 | 34 | 35 | 36 | 37 | 38 | 39 | 40 | 41 | 42 | 43 | 44 | 45 | 46 | 47 | 48 | 49 | 50 | 51 | 52 | 53
CHAPTER
1201
FEDERAL ACQUISITION REGULATIONS SYSTEM
SUBCHAPTER 1201.1--PURPOSE, AUTHORITY, ISSUANCE
1201.101 Purpose.
The Department of
Transportation Acquisition Manual (TAM) is issued by the Senior Procurement
Executive (SPE), Office of the Senior Procurement Executive (OSPE). It
establishes for the Department of Transportation (DOT) uniform internal
operating acquisition procedures, which implement or supplement the Federal Acquisition Regulation (FAR) and
the Transportation
Acquisition Regulation (TAR), other agency regulations and statutory
requirements.
1201.102 Statement of guiding principles
for the Federal Acquisition System.
(a) To create a world class acquisition system that delivers best value
products or services to the customer, each OA must follow DOT's Procurement
Performance Management System (PPMS) including its policy principles. This
system was developed in partnership with and is maintained by the Procurement Management Council (PMC). Implementation of the PPMS is the
responsibility of the Head
of the Contracting Activity (HCA).
1201.103 Authority.
The TAM is issued pursuant to DOT Order 4200.18 series, Establishment of a
Transportation Acquisition Manual.
1201.104 Applicability.
All acquisitions within the Department are to follow this manual unless
otherwise excluded by the FAR, TAR, or this manual.
1201.105 Issuance.
1201.105-170 Publication of TAM.
This manual is issued electronically on the internet at www.dot.gov/ost/m60/earl/tam.htm.
1201.105-270
Arrangement of TAM.
(b) Numbering. (1) This manual
conforms to the arrangement and numbering system prescribed by (FAR) 48 C.F.R. 1.105. The numbering illustrations at (FAR) 48
C.F.R. 1.105-2(b) are equally applicable to this manual. TAM addresses the
specific paragraphs for which supplementation or implementation applies. For
example, this paragraph supplements (FAR) 48
C.F.R. 1.105-2(b)(1); therefore, the only paragraphs cited in TAM
1201.105-270 would be paragraphs (b) and (1).
(2) TAM coverage is identified by the prefix "12" and followed by the
complete TAM cite which may be as specific as the paragraph level (e.g., TAM
1201.105-3(a)).
(3) Coverage in the TAM that supplements the FAR will use chapter, subchapter, section
and subsection numbers ending in "70" through "89" (e.g.,
TAM 1201.105-270).
(4) Coverage in the TAM, other than that identified with a "70" or
higher number, that implements the FAR or TAR will use the identical number
sequence and caption of the FAR or TAR segment being implemented which may be
down to the paragraph level (e.g., TAM 1201.602-3(a)).
(c) References and citations. This
manual may be referred to as the Transportation Acquisition Manual or the TAM.
Cross references to the FAR, TAR, or TAM in this manual will be cited by
"FAR", "TAR", or "TAM" followed by its numbered
cite. As an electronic document, the TAM contains many links (identified by
blue print) to the word or term referenced in the text. An Electronic
Acquisition Reference Library (EARL) is also available to research words or
terms referenced or cited within the TAM. The EARL is internet-based,
maintained by OSPE, and is available via the internet at http://www.dot.gov/ost/m60/elecacq.htm.
1201.105-3 Copies.
(a) The TAM is issued electronically through the E-TAM and available via the
internet at http://www.dot.gov/ost/m60/earl/tam.htm.
Hardcopies can only be obtained by downloading the TAM since
individual hardcopy distribution of the TAM is not made.
1201.106 OMB Approval Under
the Paperwork Reduction Act. Prior to obligating funds and entering into a
contractual agreement for information collection activities, the contracting
officer shall obtain a clearance and approval from OMB. The SF-83, Request for
OMB Review, shall be used to request OMB's review and approval. Operating
administration (OAs) Paperwork Clearance Officers are
available to assist in preparing the information collection justification for
the SF-83.
(a) Data collection under proposed
contracts. SF-83s must be forwarded to the Office of the Chief Information
Officer (CIO), (S-80), for processing to OMB. Early coordination with Paperwork
Clearance Officers and S-81 prior to release of the solicitation should prevent
delays caused by the requirement to obtain OMB approval.
(b) Data collection under TAR
Supplements. An SF-83, along with the calculations used to derive the
numbers shown on the SF-83, shall be forwarded to the SPE along with the
proposed TAR Supplement coverage (see TAM 1201.304)
for coordination with S-81.
SUBCHAPTER
1201.2--ADMINISTRATION
1201.202-70 Departmental compliance with the FAR, TAR, and TAM.
Personnel with questions concerning the FAR, TAR, and TAM may utilize the
Listing of Responsible SPE Office Personnel for FAR, TAR, and TAM to identify
the appropriate individual to contact within OSPE by Part/Chapter.
SUBCHAPTER
1201.3--AGENCY ACQUISITION REGULATIONS
1201.301 Policy.
(a)(1) Delegations of FAR procurement
authority. The following is applicable with respect to delegations of
procurement authority within DOT:
(i) Agency head
delegations. There are certain (FAR) 48 C.F.R. functions which are
non-delegable and reserved by the Secretary and there are some functions that
can be delegated. All reserved and delegated functions (either to the Office of
the Secretary (OST) or the OAs) to one or more
individuals are reflected in the applicable chapters of this manual usually by
the words “is non-delegable,” “is
authorized” or “is the individual authorized.”
(A) For those functions that are delegated, the chapters indicate the lowest
organizational level for performance of that function. The delegated levels
reflected in this manual may be changed to an equivalent or higher level by the
Assistant Secretary for Administration or other responsible OST official for
OST assigned functions and by the Head of the Operating Administration (HOA)
for OA assigned functions. For example, the HOA may change the “debarring
official” in TAM 1209.403 from the HCA to the higher HOA level.
Any changes by the HOA to the delegated levels reflected in this manual must be
in writing and stored in a centralized location within the OA. A copy of the
delegation must be submitted to the SPE upon request.
(B) Lower organizational levels for FAR and TAR agency head functions must be
authorized by the SPE (who will coordinate with other OST officials as deemed
appropriate).
(ii) Head of the Contracting
Activity (HCA) functions. There are certain (FAR) 48
C.F.R. functions which are non-delegable and reserved for the HCA or equivalent
organizational level; these reserved functions are reflected in the applicable
chapter of this manual. For delegable functions, compliance with the level
reflected in the applicable chapter of this manual or the TAR is required
unless otherwise authorized by the HCA.
(A) Notwithstanding the above, the HOA or designee at an organizational level
equal to or above the HCA may retain both delegable and non-delegable functions
assigned to the HCA.
(B) Approved HCA functional delegations which are different from those
specified in this manual shall be in writing and stored in a centralized
location within the OA. A copy of the delegation shall be submitted to the SPE
within 30 days of issuance.
(iii) Any other authorities of this manual besides those mentioned in TAM
1201.301(a)(1)(i) or
(ii) may be authorized to a higher level
within the OA than that stipulated in this manual unless specified otherwise.
Any authorities assigned or re-delegated pursuant to this paragraph shall be in
writing and stored in a centralized location within the OA. A copy of the
assignment/re-delegation shall be submitted to the SPE upon request.
1201.301-70 Amendment of TAM.
(a) TAM changes may be the result of suggestions by DOT personnel, other
Government agencies, or the public. Proposed changes to this manual, along with rationale for the change, must be
submitted in accordance with the format requirements of Transportation
Acquisition Regulation 1201.301-70 and submitted to the Department of
Transportation, Office of the Senior Procurement Executive (M-60), 400 7th
Street, S.W., Washington, D.C. 20590 or by contacting the responsible SPE staff
member by electronic mail (see TAM 1201.202-70).
(b) Updates to the TAM will be summarized in a TAM NOTE
published via the internet at http://www.dot.gov/ost/m60/.
When the TAM NOTE is issued, the
electronic TAM is simultaneously updated to incorporate the changes.
(c) The TAM is maintained by OSPE in electronic form. Maintenance of the TAM
will be made through the TAR/TAM change
process.
(1) TAM Chapters. This manual will
contain internal DOT acquisition procedures within chapters that supplement or
implement FAR and TAR material. Chapters are normally coordinated through the
TAR/TAM change process prior to issuance.
(2) TAM Notices.
(i) TAM Chapters will be amended by issuance of a
TAM Notice (also referred to as a TAM NOTE);
(ii) TAM Notices are: (A) used to disseminate information that is relevant to
the TAM; and (B) normally integrated into the TAM. TAM Notices may occasionally
contain new material that must be issued quickly without going through the
TAR/TAM change process before their release. However, subsequent to their
issuance, these TAM NOTES will be disseminated for comment.
(3) TAM Appendices, Attachments, and
Exhibits. At the end of TAM Chapters, Notices, and Bulletins, appendices
may be used to provide supplementary material not suitable for insertion in the
TAM issuance itself (e.g., tables, other agency issuances). Appendices may
contain attachments with or without exhibits. Attachment(s) supplement the
appendix, and exhibit(s) supplement the attachment. Both are made part of the appendix.
TAM appendices do not necessarily follow the format and numbering system of
this manual. Additional information is available on EARL.
1201.301-71 Effective
date.
Unless otherwise stated, the following applies--
(a) Statements in TAM NOTEs to the effect that the
material therein is "effective upon receipt," "upon a specified
date," or that changes set forth in the document are "to be used upon
receipt," mean that any new or revised procedures or forms shall be used
when issuing solicitations, contracts, or modifications thereafter; and
(b) If solicitations are already in process or negotiations complete when the
TAM NOTE is received, the new procedures or forms need not be used if it is
determined by the Chief of the Contracting Office (COCO) that it would not be
in the best interest of the Government.
1201.301-72 TAM NOTE
numbering.
TAM NOTEs will be numbered consecutively on a
fiscal year basis beginning with number "01" prefixed by the last two
digits of the fiscal year.
1201.301-73 TAR/TAM
change process.
(a) General.
The Procurement Management Council
(PMC) is an integral part of the TAR/TAM change process. Changes to this
manual or the TAR that effect more than one OA are
made through coordination with the PMC and other applicable DOT offices.
(b) Process. The TAR/TAM change
process involves the formulation of policies and procedures through a comment
process. The OSPE uses various methods (e.g., electronic media, hard copy, and
discussions) to solicit and resolve comments on proposed TAM revisions.
(1) The PMC is responsible for--
(i) Reviewing proposed TAM changes and providing
comments to the SPE or SPE's staff, or recommending
solutions to the SPE on acquisition issues;
(ii) Recommending policies and procedures to the SPE for consideration; and
(2) The OSPE is responsible for--
(i) Formulating and distributing proposed changes;
(ii) Soliciting comments from the PMC and other interested and affected DOT
offices; and
(iii) Reviewing and resolving all comments or forwarding them to the PMC for
resolution.
1201.304 Agency control and compliance
procedures.
(a) DOT's goal is to ensure the TAR and TAM are
consistent with (FAR) 48 C.F.R. unless (FAR) 48 C.F.R. prescribes otherwise.
Due to the lead-time necessary to implement (FAR) 48 C.F.R. changes, conflict
or inconsistency may momentarily exist. In those cases, the (FAR) 48 C.F.R.
takes precedent over the TAR and TAM.
(b) OA acquisition regulations. OA
acquisition regulations shall:
(1) Be incorporated into the TAR as a supplemental regulation;
(2) Be coordinated in accordance with OA internal procedures (including review
by legal counsel with evidence of such a review)
to ensure compliance with (FAR) 48
C.F.R. 1.301 and DOT's rule-making process before submission to the SPE;
(3) Be submitted to the SPE for review and approval by a transmittal letter
signed by an official with a rank no lower than an Associate Administrator or
Flag Officer, or equivalent, before proceeding to the public comment process at
the initial stages of the regulatory process; include a Paperwork Reduction Act
(see TAM
1201.404(a)(2)) and Regulatory Flexibility Act analysis, as appropriate;
and a justification supporting the need for the regulation;
(4) Be integrated within the TAR and be available via the internet at
http://www.dot.gov/ost/m60; and
(5) Pertain only to that OA.
(c) OA acquisition procedures. OA
acquisition procedures shall:
(1) Contain no material which unnecessarily repeats, paraphrases, or is
inconsistent with the contents of the FAR, TAR, and this manual;
(2) Be consistent with the policies and procedures of the FAR, TAR, this
manual, and other Departmental guidance and follow the format, arrangement, and
numbering system specified in TAM
1201.105-270 and TAM 1201.301-70
to the extent practicable; and
(3) Be reviewed, as deemed appropriate, in accordance with internal operating
procedures and the following:
(i) OAs shall advise the
OSPE in writing (by topic) of their intent to promulgate acquisition guidance
implementing or supplementing this manual.
OAs will be advised of any procedures that are
to be provided to the OSPE for review.
(ii) The HCA is responsible for ensuring that OA contracting offices limit
their promulgation of acquisition procedures and, if procedures are necessary,
to ensure they comply with paragraphs (1) and (2) of this section.
SUBCHAPTER 1201.4-70--DEVIATIONS
FROM THE FAR, TAR, AND TAM
1201.403 Individual deviations.
Requests for individual deviations from the FAR, TAR, and this manual can
be granted. The HCA or designee, who must have a rank that is no lower than
that of a Senior Executive Service (SES) official or of a Flag Officer level,
is authorized to approve individual deviations to this manual, except when this
authority has been otherwise assigned by regulation (see (FAR) 48 C.F.R. 1.405 regarding requests for deviations from Treaty requirements),
statute (e.g., most Cost
Accounting Standard (CAS) deviations must be granted by the CAS Board), or this
manual. All deviation requests shall:
(a) Be coordinated with legal counsel with evidence of coordination;
(b) Cite the specific part of the FAR, TAR, or this manual from which a
deviation is required;
(c) Set forth the nature of the deviation(s); and
(d) State the reasons for the action requested.
1201.404 Class deviations.
(a) The SPE is the individual authorized to grant class deviations unless (FAR) 48
C.F.R. 1.405(e) is applicable. Requests for class deviations to the FAR,
TAR, and this manual shall be endorsed by the HCA or designee no lower than the
SES/Flag Officer level, before submitting the request to the SPE for approval.
Requests submitted shall include the same type of information as required for
individual deviations in TAM 1201.403.
(2) Suggested changes to the FAR, TAR, and this manual shall be transmitted
to the SPE after review and approval of the manager of the office requesting
the change (e.g.,
SUBCHAPTER
1201.6--CAREER DEVELOPMENT, CONTRACTING AUTHORITY AND RESPONSIBILITIES
1201.601 General.
The HOA is authorized to establish contracting activities and delegate broad
authority to manage the agency's contracting functions to heads of such
contracting activities (HCA).
Establishing a new contracting activity must be coordinated with DOT’s
SPE. The
Secretary, Deputy Secretary, Assistant Secretary for Administration (OST), SPE,
HOAs and HCAs (see EARL for current HCAs) shall
be considered contracting officers within DOT by virtue of their positions; no
Certificate of Appointment (see TAM 1201.603-3)
is required. All other DOT contracting officers shall be selected and appointed
under TAM
1201.603.
The Clinger-Cohen Act, P.L. 104-106, and the Office of Federal Procurement
Policy, Policy Letter 97-01, direct the implementation of mandatory training,
education, and experience requirements for entry and accession in the
acquisition career field. The Department of
Transportation Acquisition Career Development Policy For Contracting
Professionals establishes
procedures for the implementation of these requirements and other career
development efforts. This document is issued under the authority of TAM 1201.103
as a supplement to TAM Chapter 1201, and is available via the internet at www.dot.gov/ost/m60/workforce/guide.htm. This policy also includes, as Appendix I,
the U.S.
Department of Transportation Contracting Officer Technical Representative
(COTR) Training Standards.
1201.602 Contracting officers.
1201.602-2 Responsibilities.
Contracting officers may only delegate their responsibilities to an authorized
representative(s) such as a Bankcard recipient or a COTR. Any delegation of
responsibility must be in writing to specified individuals (by name, not
position) and clearly enumerate the delegated responsibilities and any
limitations attached thereto. Selection, training, certification, and
appointment of COTRs are discussed in TAM 1242.70 and
in OA policy.
1201.602-3
Ratification of unauthorized commitments.
(a) Definitions.
(1) "Ratifying official" means the official who may authorize a
contract award, purchase order, or other procurement instrument providing for
the ratification of an unauthorized commitment.
(2) "Unauthorized commitment", as defined in (FAR) 48
C.F.R. 1.602-3, includes, but is not limited to, any action by a person
other than the contracting officer that results in: (i)
continued performance by a contractor beyond the expiration date or the price
established by the procurement instrument; or (ii) the commencement of
performance of work in advance of issuance of a formal procurement instrument
properly executed by a duly authorized contracting officer.
(b) Policy.
(2) The authority of the HCA under (FAR) 48
C.F.R. 1.602-3(b)(2) to ratify an unauthorized commitment remains with the
HCA unless re-delegated to an organizational level no lower than the COCO in
accordance with (FAR) 48
C.F.R. 1.602-3(b)(3).
(c) Limitations.
(7) The following procedures shall be used for ratification of an
unauthorized commitment:
(i) The individual who is responsible for actions
that result in an unauthorized commitment must provide the following
information to the ratifying official:
(A) A description of the circumstances that resulted in an unauthorized
commitment;
(B) The reasons why normal procurement procedures were not followed;
(C) A description of the bona fide
Government requirement that made the commitment necessary;
(D) The benefit(s) received by the Government;
(E) The dollar value of the commitment and whether the costs were reasonable in
relation to the contractor's effort, the hours expended, the services or
supplies received, type of labor used, and other costs, as appropriate;
(F) The basis for selecting the contractor and identify other sources
considered, if any;
(G) Status of performance;
(H) Any other pertinent facts regarding the circumstances that resulted in an
unauthorized commitment;
(I)
Any invoices, receiving report, or other documentary evidence related to this
transaction;
(J) The signature, following the above information, of the individual
responsible for the unauthorized commitment certifying that the information
provided is accurate;
(J) Any recommendations regarding corrective action that will preclude the
situation from recurring; signed by the responsible individual’s Division
Director (or equivalent); and
(K) A complete procurement request, Form DOT F 4200.1, Procurement Request,
that includes a certification stating that the purchase request funds for the
ratifying action were available at the time the unauthorized commitment
occurred as well as the time the unauthorized commitment is ratified.
(ii) If the individual responsible for the unauthorized commitment is not
available, the office to which the responsible individual was assigned shall
provide the information described in paragraph (i)
above with the name (vice signature) of the individual responsible for the
unauthorized commitment.
(iii) A written contract, as defined under (FAR) 48
C.F.R. 2.101, is not required to confirm the ratification of an
unauthorized commitment. The contracting officer shall decide if a contract or
other written means would be appropriate for a particular situation on a
case-by-case basis. Factors such as furnishing Government property, promise of
product delivery, dispute over invoiced prices, etc., are to be considered when
determining whether or not a contract is appropriate.
(A) Before ratification of an action, a letter requesting payment or an invoice
from the contractor who provided the supply or service must be received.
(B) The complete ratification file shall be submitted for legal review before
it is submitted to the ratifying official.
Secretarial offices shall submit the file to the Office of the General
Counsel (C-10); OAs shall submit the file to their
respective Chief Counsels.
(C)
The ratifying official shall determine whether ratification is appropriate
based on a complete file containing all the ratification documentation
requirements of paragraph (c)(7)(i).
(D) A memorandum signed by the contracting officer that approves the invoice
shall be sent to the finance office along with the invoice. The original
certified Form DOT F 4200.1, Procurement Request, (covering the total amount of
the invoice), a copy of the ratifying official's ratification, and the document
confirming the ratification (see paragraph (iii) of this section), shall be
attached to the memorandum.
(E) A copy of the memorandum, Form DOT F 4200.1, invoice, and original
ratification documentation shall be retained in the contract office file.
(F) A letter explaining the disposition of the unauthorized commitment shall be
sent to the contractor by the contracting officer if payment will not be made.
(iv)
Each contracting
office shall establish a file to ensure those actions for which ratification
was requested can be identified and the documentation listed in (A) through (G)
of this paragraph (iv) can be located. The
contracting office shall establish appropriate administrative, technical and
physical safeguards to insure the security and confidentiality of these
files. Each ratification request must be retained for 6 years and 3 months
after final payment or after the ratifying official determines that the action
will not be ratified. The file
pertaining to a ratification action must contain the following:
(A) The name of the individual
responsible for the unauthorized commitment and the name of the office to which
he or she was assigned;
(B) A brief description of the commitment, the amount of the action, and a
written determination, with supporting documentation, that either the request
should not be ratified or that the ratified price is fair and reasonable;
(C) The name of the firm or person to whom the commitment was made (if not in
the ratification document);
(D) The date the commitment was either ratified (if not in the ratification
document) or not ratified;
(E) A copy of the ratification document as applicable;
(F) Evidence of legal counsel concurrence with any ratification that is 10
percent or more of the small purchase limitation; and
(G) Any disciplinary action taken or an explanation as to why none was
considered necessary.
(d) Nonratifiable
commitments. If an unauthorized
commitment is disapproved for ratification, the contracting officer shall
promptly notify the individual responsible for the unauthorized commitment, in
writing, stating the reasons for disapproval and recommending the individual
obtain legal advice. The contracting
officer must also advise the employee that the Government will not pay for the nonratifiable
commitment. The responsible individual
may be held personally liable for the full amount of the unauthorized
commitment. If the unauthorized
commitment involves the Purchase Card or payment has already been
made via the SMART PAY program, the Government may bill the responsible
employee or take other reimbursement action.
1201.603 Selection, appointment, and
termination of appointment.
1201.603-1 General.
The HCA shall appoint COCOs for the OA. Individuals designated as COCOs
are considered contracting officers and shall be appointed by their respective
HCA. The HCA is authorized to select,
appoint, and terminate the appointment of contracting officers. The HCA may re-delegate this authority to a
level no lower than that of the
1201.603-2 Selection.
Personnel shall be selected as contracting officers using the guidance
under the DOT Acquisition Career Development Policy for Contracting
Professionals issued as a supplement to TAM Chapter 1201 and available via
the internet on the DOT Acquisition and Grants Homepage at www.dot.gov/ost/m60/.
1201.603-3
Appointment.
(a) The delegation of contracting authority is by formal contracting
officer appointments under a Certificate of Appointment, SF 1402.
(b) The appointing authority shall maintain information on the limits of
contracting officer authority.
1201.603-4
Termination.
The appointing authority (see TAM 1201.603-1)
may terminate the appointment of a contracting officer at any time by giving a
written notice stating the reasons for, and the effective date of, the termination.
1201.670 Responsibility of other
Government personnel.
(a) Responsibility for the decision of what to buy and when to buy rests
mainly with program and certain staff offices. Responsibility for determining
how to buy, the conduct of the buying process, and execution of the contract
rests with the contracting officer.
(b) Program personnel, using the contracting process to accomplish their
programs, must support the contracting officer by ensuring that:
(1) Requirements are clearly defined and specified;
(2) Competitive sources are solicited, evaluated, and selected;
(3) Quality standards are prescribed and met;
(4) Performance or delivery is timely;
(5) Prices, estimated costs, and fees are reasonable; and
(6) Files are documented to substantiate the judgments, decisions, and actions
taken.
1201.671 DOT's procurement performance
assessment role.
The performance of DOT contracting activities shall be assessed periodically to
determine how they are performing their fiduciary responsibility and if they
are achieving the primary goal of the acquisition system—to deliver best value
products and services on a timely basis to meet the needs of the transportation
systems. The OSPE utilizes DOT's Procurement Performance
Management System (PPMS) to gauge the Department's performance progress.
SUBCHAPTER
1201.7--DETERMINATIONS AND FINDINGS
1201.704 Content.
The format and content requirements for determinations and findings (D&Fs) are specified in the associated subject text of
this manual as considered necessary. The contracting officer is responsible for
preparing D&Fs, and requirements and technical
personnel are responsible for the accuracy and adequacy of the supporting
factual information, which shall be furnished to the contracting officer.