**Department of Transportation (DOT)**

**Research and Special Programs Administration (RSPA)**

**Volpe National Transportation Systems Center (VOLPE CENTER)**

**Acquisition Management Division (DTS-85)**

**ACQUISITION MANAGEMENT DIVISION INTERNAL PROCEDURES (ADIP)**

**[NUMBER]{.underline}:** **ADIP/85-5**

**[TITLE]{.underline}:** **PROCEDURES FOR REQUESTING REVIEW AND APPROVAL
OF SOLICITATIONS, CONTRACTS, CONTRACT MODIFICATIONS AND RELATED
DOCUMENTS**

**[ISSUED]{.underline}:** **October 1, 2003**

**[CROSS REFERENCE(S)]{.underline}:** **FAR Parts 6, 13, 15 & 16 and**
**TAM SUBCHAPTER**

> **1204.70**

**[PURPOSE]{.underline}**: This ADIP sets forth policy and procedures to
standardize the review and approval process for Volpe Center
solicitations (including Request for Quotations, and significant
amendments), contracts (including Purchase Orders and Interagency
Agreements under the Economy Act), contract modifications, and related
documents (including Pre/Price Negotiation/Justification Documentation,
Task/Delivery Orders, including modifications, and non-competitive
documents).

**[BACKGROUND]{.underline}**: These procedures, reflect the latest
applicable regulatory requirements and update ADIP/85-5 previously
revised on 12/31/01 to update the following: (1) Add two new legal
sufficiency review requirements, (2) Clarify the approval requirements
for task/delivery order modifications, and (3) document processing of
non-competitive procurements, including SAP purchases, JOTFOC's, and
directed award orders. This ADIP implements those requirements that
either differ from or supplement the review and approval instructions
contained in the FAR or TAM/TAR.

**[OTHER]{.underline}**: All Acquisition Management Division forms or
templates identified in Attachment No. 1 are available electronically in
the AMD Subsite under "PROCEDURAL GUIDANCE" or "SAP GUIDANCE." Hard
copies will not be provided. A summary of the specific review and
approval authority at each dollar level for various procurement related
documents is specified in Attachment No. 2 to this ADIP.

**[ATTACHMENT(S)]{.underline}**:

(1) *VOLPE CENTER ACQUISITION MANAGEMENT DIVISION PROCEDURES FOR
    REQUESTING REVIEW AND APPROVAL OF SOLICITATIONS, CONTRACTS, CONTRACT
    MODIFICATIONS AND RELATED DOCUMENTS*

(2) *SUMMARY CHART OF REVIEW AND APPROVAL OFFICIALS AND DOLLAR
    THRESHOLDS FOR VARIOUS VOLPE CENTER PROCUREMENT RELATED DOCUMENTS*

## ADIP NO. 85-5

**ATTACHMENT (1)**

**Dated: October 1, 2003**

## Page 1 of 10

**[VOLPE CENTER ACQUISITION MANAGEMENT DIVISION]{.underline}**

**[PROCEDURES FOR REQUESTING REVIEW AND APPROVAL]{.underline}**

#### OF SOLICITATIONS, CONTRACTS, CONTRACT MODIFICATIONS 

**[AND RELATED DOCUMENTS]{.underline}**

-   **While these procedures principally apply to procurements expected
    to exceed the Simplified Acquisition Threshold (SAT), all
    Acquisition Management Division Personnel are required to review
    these requirements as there are several circumstances when some of
    these instructions apply to procurements processed under Simplified
    Acquisition Procedures (SAP).**

-   **The Acquisition Management Division Chief requires that
    interagency agreements (IA) and Task/Delivery Orders be reviewed and
    approved prior to award. IA's are to be reviewed and approved
    consistent with the approval requirements stipulated either herein
    or in the Transportation Acquisition Manual (TAM) for contract and
    contract modification awards. Task/Delivery Orders, including
    modifications thereto, are to be reviewed and approved as stipulated
    herein, and as set forth in ADIP No. 85-7.**

-   **The Acquisition Management Division Chief requires that Sole
    Source Explanations processed under SAP that are valued over
    \$10,000 be approved by both the Contracting Officer and a Contracts
    Branch Chief.**

-   **These procedures do not apply to orders placed under Federal
    Supply Schedules (FSS), or Governmentwide Agency Contracts (GWAC)
    orders placed by the GWAC servicing agency.**

**I. [GENERAL REQUIREMENTS.]{.underline}**

**A. EXCEPTIONS**. Exceptions to or deviations from these procedures
must be approved by a Contracts Branch Chief or the Acquisition
Management Division Chief. This approval must be documented in the
official contract file.

**B. CONCURRENT REVIEWS**. If a Contracting Officer (CO) authorizes
concurrent reviews, the CO must contact the applicable reviewing
officials to reach agreement as to what file documentation is needed to
be submitted with the document for review. The CO must document in the
contract file the rationale necessitating this action.

**C. APPLICABLE FORMS AND TEMPLATES**. Below is a list of Acquisition
Management Division forms and templates applicable to these procedures.
All Acquisition Management Division forms and templates identified in
these instructions are available in AMD Subsite ([click here for link to
PROCEDURAL GUIDANCE or SAP GUIDANCE](http://adnet/acq/owa/pub.forms)).

1\. The Acquisition Management Division form titled
[SOLICITATION/CONTRACT/CONTRACT MODIFICATION REVIEW CONTROL
FORM](http://adnet/acq/owa/pub.forms) (DTS85F.9) will be attached to
each solicitation (including Request for Quotation (RFQ), and
substantive solicitation and FedBizOpps amendments), contract (including
Purchase Order (PO) and Interagency Agreement (IA)), or contract
modification review request and used to document each review
recommendation in the contract file. ***NOTE: Applies to procurements
which require at least a legal review.***

2\. The Acquisition Management Division form titled [SOLICITATION
APPROVAL CONTROL FORM](http://adnet/acq/owa/pub.forms) (DTS85F.8) will
be attached to each solicitation approval request and used to document
the approval decision in the contract file. ***NOTE: Applies to
solicitations estimated to exceed \$500,000*.**

3\. The Acquisition Management Division form titled [CONTRACT
AWARD/MODIFICATION APPROVAL CONTROL
FORM](http://adnet/acq/owa/pub.forms) (DTS85F.4) will be attached to
each contract (including IA) and contract modification award approval
request and used to document the award approval decision in the contract
file. ***NOTE: Applies to contracts and contract modifications estimated
to exceed \$500,000, except unilateral modifications**.*

## ADIP NO. 85-5

**ATTACHMENT (1)**

## Page 2 of 10

4\. The Acquisition Management Division form titled [TASK/DELIVERY ORDER
APPROVAL CONTROL FORM](http://adnet/acq/owa/pub.forms) (DTS85F.10) will
be attached to each task/delivery order (TO/DO) , and TO/DO
modifications as applicable, approval request and used to document the
approval decision in the contract file. ***NOTE: Applies to orders, and
order modifications, valued in excess of \$500,000, except incremental
funding actions. Also applies to all orders regardless of dollar value
if an exception to the fair opportunity process applies (i.e., directed
orders).***

5\. The Acquisition Management Division template titled [MEMORANDUM
SUMMARIZING PROPOSAL EVALUATION RESULTS AND DOCUMENTING THE SOURCE
SELECTION DECISION WHEN MAKING AWARD WITHOUT DISCUSSIONS]{.underline}
(DTS85T.1) is required to be used for documenting the approval decision
in the contract file of the proposal evaluation results and the source
selection decision for competitive negotiated new contract awards that
are awarded without discussions. ***NOTE. Applies to contracts estimated
to exceed \$100,* 000.**

6\. The Acquisition Management Division template titled [PRENEGOTIATION
MEMORANDUM (PM) TEMPLATE FOR DOCUMENTING PRENEGOTIATION
OBJECTIVES]{.underline} (DTS85T.2) is required to be used for
documenting the approval decision in the contract file of the
prenegotiation objectives if discussions are required for new contract
awards and contract modification awards. ***NOTE. Applies to
acquisitions estimated to exceed* \$100,000.**

7\. The Acquisition Management Division template titled [PRICE
NEGOTIATION MEMORANDUM (PNM) TEMPLATE FOR DOCUMENTING
NEGOTIATIONS]{.underline} (DTS85T.3)is required to be used for
documenting the approval decision in the contract file of price
negotiations if discussions were conducted for new contract award and
contract modification awards. ***NOTE. Applies to* acquisitions
estimated to *exceed \$100,000.***

8\. The Acquisition Management Division template titled [TASK
ORDER/DELIVERY ORDER (TO/DO) SOURCE SELECTION/PRICE JUSTIFICATION
MEMORANDUM]{.underline} (DTS85T.9) is required to be used to document
the approval decision in the TO/DO file of negotiations, price
reasonableness, and/or source selection decisions, as applicable, for
all Task Orders and Delivery Orders issued under Volpe Center
Indefinite-Delivery Type Contracts, including any modifications thereto
which increase the value of the order. ***NOTE. Applies to all
TO/DOS**.*

# 9. The Acquisition Management Division template titled [TEMPLATE FOR PREPARING A JUSTIFICATION FOR OTHER THAN FULL AND OPEN COMPETITION (JOTFOC)]{.underline} (DTS85T.7) is required to be used to justify award of non-competitive contracts or out-of-scope modifications. **NOTE: Applies to acquisitions estimated to exceed \$100,000.**

10\. The Acquisition Management Division template titled [TEMPLATE FOR
PREPARING AN EXPLANATION DOCUMENT FOR SAP NON-COMPETITIVE
PURCHASES]{.underline} (DTS85T.12) is required to be used for justifying
sole source procurements anticipated to be processed using Simplified
Acquisition Procedures (SAP). *Note: Applies to acquisitions estimated
over \$2.5K but not-to-exceed \$100,000. Also, this template can be used
to document a brand name task or delivery order purchase description;
with the signature requirements and title modified accordingly (i.e.,
signatures of PR Initiator and CO only required).*

**ADIP NO. 85-5**

**ATTACHMENT (1)**

## Page 3 of 10

**II. [REVIEW/APPROVAL THRESHOLDS]{.underline}**.

**A.** **GENERAL.** The review/approval thresholds and requirements
prescribed in [TAM
1204.70](http://www.dot.gov/ost/m60/earl/chap1204.htm#%231204.70) are
effective except as described below.

**B. LEGAL SUFFICIENCY REVIEW**. The thresholds for legal sufficiency
review as required by the Volpe Center Chief Counsel are more stringent
than those described in TAM 1204.7003(b). For Volpe Center procurements,
legal sufficiency review is required prior to the issuance of:

1\. Any solicitation or quote, and contract award **[regardless of
dollar amount]{.underline}** which involve --

> \(a\) hazardous materials,
>
> \(b\) research with human subjects,
>
> \(c\) personal services, or

(d) advisory and assistance services (See FAR 37.201 for Definition of
    "Advisory & Assistance Services").

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```
2.  **[Purchase orders estimated under the Simplified Acquisition
    Threshold (SAT)]{.underline}** which are

awarded on other than a fixed-price basis.

3.  Any solicitation and contract award (including IAs) estimated to
    exceed the SAT.

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```
4.  Contract modifications outside the scope of the initial contract
    estimated to exceed the SAT.

5.  Contract modifications within the scope of the initial contract
    estimated to exceed \$500,000,

except unilateral modifications (i.e., modifications which do not
require a proposal from or negotiation

with the Contractor, such as exercise of an option or an incremental
funding action).

6.  Justifications for Other Than Full and Open Competition for
    procurements estimated to exceed the SAT.

7.  Substantive amendments to solicitations estimated to exceed SAT.

8.  Substantive amendments to FebBizOpps notices.

**C. INDEPENDENT REVIEW**. The Contracts Branch Chief will perform the
independent review of solicitations, contract awards, and contract
modification awards estimated to exceed \$500,000 for all COs assigned
to their respective branch. If the Contracts Branch Chief is the CO on a
particular contract, then another Branch Chief will carry out the
independent review of that contract. The Contracts Branch Chief will
provide an information copy of all independent reviews to the
Acquisition Management Division Chief. NOTE: An independent review is
not required for substantive solicitation and FedBizOpps amendments.

**D. SOLICITATION APPROVAL**. The Contracts Branch Chief is the
solicitation approving official for acquisitions expected to exceed
\$500,000, except as follows:

1.  If the Contracts Branch Chief is assigned as CO, then the
    Acquisition Management Division Chief is the approving official.

2.  The approval of the Acquisition Management Division Chief is
    required prior to issuance of solicitations for acquisitions
    estimated to exceed \$10,000,000. Upon request, solicitations may
    also require review by the RSPA Director of Contracts and
    Procurement (DMA-30). This RSPA submission will be processed on a
    case-by-case basis as directed by the Acquisition Management
    Division Chief.

### ADIP NO. 85-5

**ATTACHMENT (1)**

####### Page 4 of 10

**E.** **CONTRACT (INCLUDING IAs) OR CONTRACT MODIFICATION AWARD
APPROVAL.** The award approving officials as specified in the Volpe
Center Organization and Functions Handbook (VNTSC 1100.1A) are as
follows:

#  **[Estimated Total]{.underline}**

# **[Approving Official]{.underline} [Value]{.underline}**

> 1\. Associate Administrator for Management & Administration
> \>\$10,000,000
>
> 2\. Chief, Acquisition Management Division ≤\$10,000,000
>
> 3\. Chief, Contracts Branch\* ≤\$ 5,000,000
>
> 4\. Contracting Officer ≤\$ 500,000

*\*If the Contracts Branch Chief is assigned as the CO then the
Acquisition Management Division Chief is the approving official*.

**F. PRICE JUSTIFICATION, PRENEGOTIATION OBJECTIVES AND NEGOTIATIONS
DOCUMENTATION REVIEW/APPROVAL**. Price Justification, Prenegotiation
objectives and negotiations documentation shall be reviewed and approved
by the Contracting Officer for procurement actions valued at or below
\$500,000, and by the Contracts Branch Chief for procurement actions
expected to exceed \$500,000. If the Contracts Branch Chief is the
assigned CO, then the Acquisition Management Division Chief will perform
this function.

**G. TASK/DELIVERY ORDER OR ORDER MODIFICATION APPROVAL**. Except for
orders issued under FAR Part 8 such as orders place under the FSS, or
orders place under GWACs, the Acquisition Management Division Chief
requires that task or delivery orders, and any modification thereto
which increases the value of an order, be approved prior to award. The
following task/delivery order approving officials are hereby designated
by the Chief, Acquisition Management Division:

> ***[Approving Official\*]{.underline}*** ***[Value]{.underline}***
>
> 1\. Chief, Acquisition Management Division \>\$10,000,000
>
> 2\. Chief, Contracts Branch\*\* ≤\$10,000,000
>
> 3\. Contracting Officer\*\*\* ≤\$ 500,000

*\* Directed Award Task Orders regardless of dollar value must be
approved by the Contracts Branch Chief (DTS85T.9) [and]{.underline} the
AMD Chief (DTS85T.10)*

*\*\*If the Contracts Branch Chief is assigned as the CO then the
Acquisition Management Division Chief is the approving official*.

\*\*\* CO approval does not require completion of DTS85F.10
"Task/Delivery Order Approval Control Form". Also, the CO for purposes
of an order is the individual who will sign or award the order.

H. NON-COMPETITIVE DOCUMENTATION APPROVAL. The review and approval
thresholds for non-competitive documents is as follows:

1.  The Explanation Document for SAP Non-Competitive Purchases requires
    the concurrence of the PR Initiator and their supervisor, and the
    approval of the Contracting Officer. For actions over \$10,000 but
    not exceeding \$100,000, a Contracts Branch Chief must also approve
    the justification document. However, if this template is used to
    document a brand name task or delivery order purchase description,
    please note that only the PR Initiator and the Contracting Officer
    need approve and sign the document.

####### ADIP NO. 85-5

**ATTACHMENT (1)**

### Page 5 of 10

2.  The Justification For Other Than Full and Open Competition (JOTFOC)
    document requires review, concurrence and/or approval signatures
    based on the total dollar value of the procurement, including
    options (See below). The signatures of the PR Initiator, their
    immediate supervisor, the contracting officer and the Office of
    Chief Counsel are required on all JOTFOCs. JOTFOCs prepared for the
    approval of the RSPA Head of the Contracting Activity (HCA) require
    the concurrence of the Acquisition Management Division Chief and the
    Volpe Center Deputy Director. JOTFOCs prepared for the approval of
    the DOT Senior Procurement Executive (SPE) require the concurrence
    of the Acquisition Management Division Chief, the Volpe Center
    Deputy Director and the RSPA HCA.

*[Approving Official]{.underline}* *[Estimated Total Value]{.underline}*

1\. DOT SPE \>\$50,000,000

2\. RSPA HCA \>\$500,000 but not exceeding \$50,000,000

3\. Volpe Center Contracting Officer Not exceeding \$500,000

**III. [REVIEW PROCEDURES FOR SOLICITATIONS (INCLUDING RFQs AND
SUBSTANTIVE SOLICITATION & FEDBIZOPPS AMENDMENTS), CONTRACTS (INCLUDING
POs AND IAs) AND CONTRACT MODIFICATIONS.]{.underline} These procedures
apply to procurements which require at least a legal review. See Section
II above titled "REVIEW/APPROVAL THRESHOLDS". *NOTE: References to the
"Contract Specialist" may also mean "Contracting Officer" for those
procurements which do not have a Contract Specialist assigned separate
from the Contracting Officer. ***

**A. CONTENT OF REVIEW REQUEST.** These instructions apply to the
Contract Specialist or Purchasing Agent assigned to the procurement.

1\. **[Control Form]{.underline}**. Complete the "Identifier
Information" section of the Acquisition Management Division form titled
"SOLICITATION/CONTRACT/CONTRACT MODIFICATION REVIEW CONTROL FORM".

2\. **[Review Request Package]{.underline}**. Unless concurrent reviews
are authorized (see Section I.B. above), include in the review request
package the following documents:

(a) A completed "SOLICITATION/CONTRACT/CONTRACT MODIFICATION REVIEW
    CONTROL FORM";

(b) The solicitation or award document requiring review; and

(c) The entire contract file, including any supporting documentation, up
    to the point of solicitation issuance or contract/modification
    award, as applicable.

**B. REVIEW PROCESS**. The Contract Specialist or Purchasing Agent will
ensure that the following required reviews are obtained and responses to
any comments or recommendations in those reviews are documented in the
contract file prior to either issuance of the solicitation or award of
the contract or contract modification.

1\. **[Contracting Officer Review]{.underline}**. The CO is the first
reviewing official in the review cycle. All review request packages
require the review and signature of the contracting officer.

2\. **[Independent Review]{.underline}**. If an independent review is
required, this review will be performed [prior to]{.underline} legal
review (unless concurrent reviews are authorized). Allow five (5)
working days for the independent review to be accomplished. Extensions
to this schedule will be discussed with the Contracts Branch Chief and
approved on a case-by-case basis.

**ADIP NO. 85-5**

**ATTACHMENT (1)**

## Page 6 of 10

3\. **[Legal Sufficiency Review]{.underline}**. If an independent review
is not required, then the legal sufficiency review will be performed
after the review by the CO. Allow five (5) working days for the legal
review to be accomplished. Extensions to this schedule should be
discussed with the cognizant Contracts Branch Chief and agreed to on a
case-by-case basis. The legal office will forward the completed review
package to the assigned contract specialist.

4\. **[Contract Specialist/Purchasing Agent Review
Response]{.underline}**. Unless the review request package is determined
to be unacceptable and returned by a reviewing official for rework prior
to completion of the review cycle, the Contract Specialist/Purchasing
Agent is responsible for resolving the issues raised and responding to
each comment in writing in the contract file, only after all reviews are
completed. The Contract Specialist/Purchasing Agent response should be
signed and dated and correlated with the review comments that are being
addressed. If the Contract Specialist/Purchasing Agent does not agree
with any of the comments, the issue should be discussed with the
reviewer. If the differences cannot be resolved, an explanation should
be clearly stated in the contract file, including any regulatory/policy
citations, as applicable. The Contract Specialist/Purchasing Agent shall
complete and sign the review control form once all comments are
addressed.

**C. REVIEWING OFFICIAL REQUIREMENTS.** These instructions apply to all
persons who perform review functions stipulated in these instructions or
in TAM 1204.70.

1\. Each reviewing official is responsible for ensuring their
comments/recommendations neither conflict with nor duplicate a previous
review official's comments.

2\. Upon completion of the review, unless a package is determined to be
unacceptable, each reviewing official will complete their section of the
control form and forward the review request package to the next
reviewing official until all reviews are completed. The last reviewing
official in the review cycle (usually the Legal Office) will return the
review request package to the assigned Contract Specialist/Purchasing
Agent.

3\. If a review request package is determined to be unacceptable, the
reviewing official will retain the right to return the solicitation or
award file to the assigned Contract Specialist/Purchasing Agent for
rework and possible resubmission.

**IV. [APPROVAL PROCEDURES FOR SOLICITATIONS, CONTRACT AWARDS (INCLUDING
IAs) AND CONTRACT MODIFICATION AWARDS.]{.underline} These procedures
apply to procurements estimated to exceed \$500,000 which require either
solicitation or contract/modification award approval. See Section II
above titled "REVIEW/APPROVAL THRESHOLDS". *NOTE: References to the
"Contract Specialist" may also mean "Contracting Officer" for those
procurements which do not have a Contract Specialist assigned separate
from the Contracting Officer.***

**A. CONTENT OF APPROVAL REQUEST**. These instructions apply to the
Contract Specialist assigned to the procurement.

1.  **[Control Form.]{.underline}** Complete the applicable Acquisition
    Management Division Approval Control Form as follows:

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(a) [For actions requiring solicitation approval]{.underline} --
    Complete Block No.s 1 through 8 of the Acquisition Management
    Division form titled "SOLICITATION APPROVAL CONTROL FORM".

\(b\) [For actions requiring award approval]{.underline} -- Complete
Block No.s 1 through 10 of the Acquisition

Division form titled "CONTRACT AWARD/MODIFICATION APPROVAL CONTROL

FORM".

**ADIP NO. 85-5**

**ATTACHMENT (1)**

## Page 7 of 10

2\. **[Approval Request Package]{.underline}**. The contents of the
approval request package is different depending on whether the approving
official is located within the Acquisition Management Division or at
RSPA/Washington, DC.

\(a\) [Acquisition Management Division Approving Official]{.underline}.
Unless concurrent reviews are authorized (see Section I.B. above),
include the following documents in the approval request package:

(1) DOT F 4220.35 "Cover Page Source Selection Information", and DOT F
    4220.36 " Cover Page Proprietary Information" if applicable;

(2) A completed Approval Control Form;

(3) The solicitation or award document requiring approval;

(4) The contract award cover letter and COTR designation memo for
    contract awards; and

(5) The entire contract file, including any supporting documentation, up
    to the point of solicitation issuance or contract award, as
    applicable.

### 

\(b\) [RSPA/Washington, DC Approving Official]{.underline}. Include only
the following documents in the approval request package:

(1) DOT F 4220.35 "Cover Page Source Selection Information", and DOT F
    4220.36 " Cover Page Proprietary Information" if applicable;

(2) A cover memo from the Director, Office of Administrative Services,
    DTS-80, to the Associate Administrator for Management and
    Administration, DMA-1 (See the Division Secretary for a current
    Sample Memo);

(3) A completed Approval Control Form;

(4) A copy of the solicitation or award document;

(5) A copy of the Solicitation/Contract/Contract Modification Review
    Control form including the CO, Independent and Legal Review
    comment(s), as applicable and the Contract Specialist's response(s)
    thereto; and

(6) Documentation of the award decision for award documents -- For
    negotiated procurements, documentation of the award decision is
    usually contained in either (i) the Price Negotiation Memorandum
    (see AMD Subsite Template) or (ii) the Memorandum Summarizing
    Proposal Evaluation Results and Documenting the Source Selection
    Decision (see AMD Subsite Template), as applicable. *\[Reminder:
    Include a copy of any referenced documents if needed for a clear
    understanding of the award decision.\]*

**B. APPROVAL PROCESS**. The Contract Specialist will ensure that all
required approvals are obtained and documented in the contract file
prior to either issuance of the solicitation or award of the contract or
contract modification.

1\. **[Contracting Officer (CO) Signature]{.underline}**. The Contract
Specialist will forward the approval request package to the CO, who is
the first signatory official in the approval cycle.

(a) All approval request packages require the signature of the
    contracting officer and completion of either:

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(1) Block No. 11 on the "CONTRACT AWARD/MODIFICATION APPROVAL CONTROL
    FORM" for [award approval requests]{.underline}, or

(2) Block No. 9 on the "SOLICITATION APPROVAL CONTROL FORM" for
    [solicitation approval requests]{.underline}.

```{=html}
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```
1.  Unless the approval request package is determined to be unacceptable
    and returned to the Contract Specialist for rework, the CO will
    forward the signed approval request package to the applicable award
    approving official(s).

2\. **[Solicitation or Award Approval Signature]{.underline}**. The
procedure for processing the approval request package is slightly
different depending on whether the approving official is located within
the Acquisition Management Division or at RSPA/Washington DC.

### ADIP NO. 85-5

**ATTACHMENT (1)**

## Page 8 of 10

(a) [Acquisition Management Division Approving Official]{.underline}:
    When the approving official is either a Contracts Branch Chief or
    the Acquisition Management Division Chief, the CO will forward the
    package directly to the approving official for action. Unless
    approval is denied, the Approving Official will sign/date the
    approval control form and return it to the CO.

(b) [RSPA/Washington DC Approving Official]{.underline}: When the
    approving official is the Associate Administrator for Management and
    Administration, DMA-1, the CO will forward the package to the
    Acquisition Management Division Chief. The Acquisition Management
    Division Chief will sign/date the control form. The Division
    secretary will ensure coordination/signature of cover memo by the
    Director, Office of Administrative Services, DTS-80, as well as
    ensure proper coordination/mailing of the package to the Office of
    Contracts and Procurement Director, DMA-30, for submission to the
    Associate Administrator for Management and Administration for
    approval. Approved packages will be returned through the Acquisition
    Management Division Chief to the CO. *\[NOTE: Washington approval is
    usually required for award packages. Solicitation packages rarely
    require Washington approval.\]*

**V. [REVIEW AND APPROVAL PROCEDURES FOR RELATED DOCUMENT(S)-PRICE
JUSTIFICATION, PRENEGOTIATION OBJECTIVES AND NEGOTIATIONS
DOCUMENTATION]{.underline}. These procedures apply to documents that are
related to proposed contract/contract modification awards estimated to
exceed \$100,000 (See TAM 1204.70) and all Task/Delivery Orders, and
modifications thereto (excluding incremental funding actions), issued
under Volpe Center Indefinite-Delivery Type Contracts. *NOTE: References
to the "Contract Specialist" may also mean "Contracting Officer" for
those procurements which do not have a Contract Specialist assigned
separate from the Contracting Officer.***

**A. CONTENT OF REVIEW/APPROVAL REQUEST.** These instructions apply to
the Contract Specialist assigned to the procurement. A separate control
form is not required for forwarding these documents for signature.

**1. [Required Templates]{.underline}**. Proposal evaluation results,
prenegotiation objectives, negotiations, price justification and/or
source selection decisions must be documented using at least one of the
following templates, as applicable:

(a) Memorandum Summarizing Proposal Evaluation Results and Documenting
    the Source Selection Decision;

(b) Prenegotiation Memorandum (PM);

(c) Price Negotiation Memorandum (PNM); and

(d) Task Order/Delivery Order (TO/DO) Source Selection/Price
    Justification Memo (See ADIP No. 85-7).

\[See [AMD SUBSITE/PROCEDURAL GUIDANCE/SAMPLES &
TEMPLATES](http://adnet/acq/owa/pub2.templates) for the required
templates.\]

**2. [Review/Approval Request Package]{.underline}**. Include the
following documents in the review/approval request package:

(a) A customized template document (see "Required Templates" above); and

(b) The entire contract or TO/DO file, including any supporting
    documentation.

## ADIP NO. 85-5

**ATTACHMENT (1)**

####### Page 9 of 10

**B. REVIEW/APPROVAL PROCESS.** The Contract Specialist will ensure that
all required approvals are obtained and documented in the contract file.
See Section II above titled "REVIEW/APPROVAL THRESHOLDS".

1.  **[Contracting Officer (CO) Signature]{.underline}**. Upon
    completion of the price justification, the prenegotiation objectives
    or the documentation of negotiations (see **AMD SUBSITE/PROCEDURAL
    GUIDANCE/SAMPLES & TEMPLATES**), the Contract Specialist will
    forward the review/approval request package to the CO for review and
    approval. Unless the CO returns the documentation to the Contract
    Specialist for rework, the CO will sign and date the document and
    forward the package to the Acquisition Management Division approving
    official (if other than the CO).

## 

2.  **[Level Above the CO Approval Signature]{.underline}**. For actions
    estimated to exceed \$500,000, or directed orders, the Acquisition
    Management Division approving official will either deny approval or
    sign and date the document and return the entire package to the CO.

**VI. [APPROVAL PROCEDURES FOR RELATED DOCUMENT(S)-TASK/DELIVERY
ORDERS]{.underline}. These procedures apply to orders and order
modifications (excluding incremental funding actions) estimated to
exceed \$500,000 or directed orders regardless of dollar value. *NOTE:
References to the "Contract Specialist" may also mean "Contracting
Officer" for those procurements which do not have a Contract Specialist
assigned separate from the Contracting Officer. Also, the Contracting
Officer for purposes of processing an order is the individual who will
sign the order, not necessarily the same individual that signed the
contract. ***

**A. CONTENT OF APPROVAL REQUEST**. These instructions apply to the
Contract Specialist assigned to the procurement.

1.  **[Control Form.]{.underline}** Complete Block No.s 1 through 9 of
    the Acquisition Management Division form titled "TASK/DELIVERY ORDER
    APPROVAL CONTROL FORM".

2\. **[Approval Request Package]{.underline}**. Include the following
documents in the approval request package:

\(a\) A completed Approval Control Form;

\(b\) The task or delivery order and/or modification document requiring
review; and

\(c\) The entire contract file related to the order and/or order
modification, including any supporting documentation, up to the point of
order or modification issuance (See ADIP No. 85-7).

**B. APPROVAL PROCESS**. The Contract Specialist will ensure that all
required approvals are obtained and documented in the order file prior
to award of an order or order modification. See Section II above titled
"REVIEW/APPROVAL THRESHOLDS".

1\. **[Contracting Officer (CO) Signature]{.underline}**. The Contract
Specialist will forward the approval request package to the CO, who is
the first signatory official in the approval cycle.

\(a\) All approval request packages require the signature of the CO and
completion of Block No. 10 on the "TASK/DELIVERY ORDER APPROVAL CONTROL
FORM".

\(b\) Unless the approval request package is determined to be
unacceptable and returned to the Contract Specialist for rework, the CO
will forward the signed approval request package to the applicable award
approving official(s).

2\. **[Task/Delivery Order or Order Modification Approval
Signature]{.underline}**. The CO will forward the package directly to
the applicable approving official(s) for action (See Section II.
REVIEW/APPROVAL THRESHOLDS). The Approving Official(s) will either deny
approval or sign/date the approval control form and return the package
to the CO.

## ADIP NO. 85-5

**ATTACHMENT (1)**

####### Page 10 of 10

VII\. [REVIEW AND APPROVAL PROCEDURES FOR RELATED DOCUMENT(S) --
NON-COMPETITIVE DOCUMENTS.]{.underline} These procedures apply to
non-competitive documents for actions estimated to exceed \$2,500 .
*NOTE: References to the "Contract Specialist" or "Buyer" may also mean
"Contracting Officer" for those procurements which do not have a
Contract Specialist or Buyer assigned separate from the Contracting
Officer.*

A. CONTENT OF REVIEW/APPROVAL REQUEST. These instructions apply to the
Contract Specialist or Buyer assigned to the procurement.

1\. [Required Templates.]{.underline} Non-competitive procurements,
unless otherwise noted, must be documented and approved using one of the
following templates, as applicable:

\(a\) Template For Preparing A Justification For Other Than Full And
Open Competition (JOTFOC); and

\(b\) Template For Preparing An Explanation Document For SAP
Non-Competitive Purchases.

\[See the AMD Subsite/PROCEDURAL GUIDANCE OR SAP GUIDANCE/SAMPLES &
TEMPLATES for the required templates.\]

2\. [Review/Approval Request Package]{.underline}. Include the following
documents in the review /approval request package:

a)  A customized template document (See "Required Templates" above); and

b)  A cover memorandum if the approving official is either a RSPA or
    DOT/Washington DC official as follows: (1) A memorandum from the
    Volpe Center Deputy Director if the approving official is at RSPA;
    or (2) A memorandum from the RSPA HCA if the approving official is
    at DOT. (See the Division Secretary for a current Sample
    Memorandum.)

**B. REVIEW/APPROVAL PROCESS**. The Contract Specialist or Buyer will
ensure that all required signatures are obtained and documented in the
award file. See Section II above titled "REVIEW/APPROVAL THRESHOLDS" and
follow the instructions included on the applicable template.

**VIII. [PERIODIC COMPLIANCE REVIEWS.]{.underline}**

The Acquisition Management Division Chief is responsible for ensuring
oversight reviews are conducted periodically of a sampling of contract
(including purchase order and blanket purchase agreements) and contract
modification files either by conducting an internal review with
Acquisition Management Division resources or requesting an external
review, i.e., Procurement Management Review (PMR) be carried out by the
Office of the Secretary.

###### SUMMARY CHART

**OF REVIEW AND APPROVAL OFFICIALS AND DOLLAR THRESHOLDS**

###### FOR VARIOUS VOLPE CENTER PROCUREMENT RELATED DOCUMENTS

<table>
<colgroup>
<col style="width: 17%" />
<col style="width: 0%" />
<col style="width: 6%" />
<col style="width: 8%" />
<col style="width: 0%" />
<col style="width: 19%" />
<col style="width: 12%" />
<col style="width: 1%" />
<col style="width: 6%" />
<col style="width: 0%" />
<col style="width: 9%" />
<col style="width: 3%" />
<col style="width: 13%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="6"><strong><u>SOLICITATIONS¹</u></strong></td>
<td colspan="7" rowspan="2"><h1
id="price-jusitification-prenegotiation-objectives"><strong><u>PRICE
JUSITIFICATION, PRENEGOTIATION OBJECTIVES &amp;</u></strong></h1>
<h1 id="negotiations-documentation"><strong><u>NEGOTIATIONS
DOCUMENTATION</u></strong></h1></td>
</tr>
<tr class="even">
<td colspan="2" rowspan="2"><p id="threshold"
class="heading">THRESHOLD</p></td>
<td colspan="3" rowspan="2"><p id="review"
class="heading">REVIEW</p></td>
<td rowspan="2"><p id="approval" class="heading">APPROVAL</p></td>
</tr>
<tr class="odd">
<td colspan="4" rowspan="2"><strong>THRESHOLD</strong></td>
<td colspan="3" rowspan="2"><blockquote>
<p><strong>REVIEW &amp;</strong></p>
<p><strong>APPROVAL</strong></p>
</blockquote></td>
</tr>
<tr class="even">
<td colspan="2" rowspan="2">≤ $100K</td>
<td colspan="3" rowspan="2"><blockquote>
<p>CO</p>
</blockquote></td>
<td rowspan="2"><blockquote>
<p>CO</p>
</blockquote></td>
</tr>
<tr class="odd">
<td colspan="4" rowspan="2">≤ $500K</td>
<td colspan="3" rowspan="2"><blockquote>
<p>CO</p>
</blockquote></td>
</tr>
<tr class="even">
<td colspan="2">&gt;$100K ≤ $500K</td>
<td colspan="3"><blockquote>
<p>CO, DTS-14</p>
</blockquote></td>
<td><blockquote>
<p>CO</p>
</blockquote></td>
</tr>
<tr class="odd">
<td colspan="2">&gt;$500K ≤ $10M</td>
<td colspan="3"><blockquote>
<p>CO, Br. Chief,</p>
<p>DTS-14</p>
</blockquote></td>
<td><blockquote>
<p>Br. Chief*</p>
</blockquote></td>
<td colspan="4" rowspan="2">&gt; $500K</td>
<td colspan="3" rowspan="2"><blockquote>
<p>Br. Chief *</p>
</blockquote></td>
</tr>
<tr class="even">
<td colspan="2">&gt;$10M</td>
<td colspan="3"><blockquote>
<p>CO, Br. Chief,</p>
<p>DTS-14</p>
</blockquote></td>
<td><blockquote>
<p>COCO</p>
</blockquote></td>
</tr>
<tr class="odd">
<td colspan="6" rowspan="2"><u><strong>CONTRACT AWARDS¹</strong>
<strong>&amp; CONTRACT MODIFICATION AWARDS (INCLUDING IA’s)
</strong></u></td>
<td colspan="7"><h1
id="taskdelivery-orders-mods"><strong><u>TASK/DELIVERY ORDERS &amp;
MOD’S</u></strong> </h1></td>
</tr>
<tr class="even">
<td colspan="3" rowspan="2"><h2 id="threshold-1">THRESHOLD</h2></td>
<td colspan="4" rowspan="2"><h2 id="review-approval-5">REVIEW &amp;
APPROVAL <sup>5</sup></h2></td>
</tr>
<tr class="odd">
<td rowspan="2"><h2 id="threshold-2"> THRESHOLD</h2></td>
<td colspan="3" rowspan="2"><h2 id="review-1">REVIEW</h2></td>
<td colspan="2" rowspan="2"><h2 id="approval-1">APPROVAL</h2></td>
</tr>
<tr class="even">
<td colspan="3" rowspan="2">≤ $ 500K</td>
<td colspan="4" rowspan="2"><blockquote>
<p>CO</p>
</blockquote></td>
</tr>
<tr class="odd">
<td>≤$100K</td>
<td colspan="3"><blockquote>
<p>CO</p>
</blockquote></td>
<td colspan="2"><blockquote>
<p>CO</p>
</blockquote></td>
</tr>
<tr class="even">
<td>&gt; $100K ≤ $500K</td>
<td colspan="3"><blockquote>
<p>CO, DTS-14 ²</p>
</blockquote></td>
<td colspan="2"><blockquote>
<p>CO</p>
</blockquote></td>
<td colspan="3" rowspan="2">&gt; $ 500K ≤$10M</td>
<td colspan="4" rowspan="2"><blockquote>
<p>Br. Chief*</p>
</blockquote></td>
</tr>
<tr class="odd">
<td>&gt; $500K ≤ $10M</td>
<td colspan="3"><blockquote>
<p>CO, Br. Chief,</p>
<p>DTS-14³</p>
</blockquote></td>
<td colspan="2"><blockquote>
<p>≤ $5M Br. Chief*</p>
<p>≤ $10M COCO</p>
</blockquote></td>
</tr>
<tr class="even">
<td>&gt;$10M</td>
<td colspan="3"><blockquote>
<p>CO, Br. Chief,</p>
<p>DTS-14³</p>
</blockquote></td>
<td colspan="2"><blockquote>
<p>COCO, HCA</p>
</blockquote></td>
<td colspan="3">&gt;$10M</td>
<td colspan="4"><blockquote>
<p>COCO</p>
</blockquote></td>
</tr>
<tr class="odd">
<td colspan="6"><strong><u>PROCUREMENT REQUESTS (<em>SEE VNTSC
1100.1A</em>)</u></strong></td>
<td colspan="7"><h3 id="other-than-fixed-price-purchase-orders"><u>OTHER
THAN FIXED PRICE PURCHASE ORDERS</u></h3></td>
</tr>
<tr class="even">
<td colspan="3"><h2 id="approval-4"> APPROVAL 4</h2></td>
<td colspan="3"><h2 id="threshold-3">THRESHOLD</h2></td>
<td colspan="2"><h4 id="threshold-4">THRESHOLD</h4></td>
<td colspan="3"><h4 id="review-2">REVIEW</h4></td>
<td colspan="2"><h4 id="approval-2">APPROVAL</h4></td>
</tr>
<tr class="odd">
<td colspan="3">Deputy Director</td>
<td colspan="3"><blockquote>
<p>Unlimited</p>
</blockquote></td>
<td colspan="2">≤ $100K</td>
<td colspan="3"><blockquote>
<p>CO, DTS-14</p>
</blockquote></td>
<td colspan="2"><blockquote>
<p>CO</p>
</blockquote></td>
</tr>
<tr class="even">
<td colspan="3">Office Directors &amp; Deputies</td>
<td colspan="3"><blockquote>
<p>≤ $1,000,000</p>
</blockquote></td>
<td colspan="7"><p id="non-competitive-document-approval"
class="heading">NON-COMPETITIVE DOCUMENT APPROVAL</p></td>
</tr>
<tr class="odd">
<td colspan="3" rowspan="6"><p>Division Chiefs</p>
<p>Code 80 Branch Chiefs</p>
<p>Heads of Directorates</p>
<p>Staff Offices</p></td>
<td colspan="3" rowspan="6"><blockquote>
<p>≤ $100,000</p>
</blockquote></td>
<td><p id="threshold-5" class="heading">THRESHOLD</p></td>
<td colspan="5"><p id="reviewconcurrence"
class="heading">REVIEW/CONCURRENCE</p></td>
<td><p id="approval-3" class="heading">APPROVAL</p></td>
</tr>
<tr class="even">
<td>&gt;$2.5K <u>&lt;</u>$10K</td>
<td colspan="5"><blockquote>
<p>PR, PR Mgr</p>
</blockquote></td>
<td><blockquote>
<p>CO</p>
</blockquote></td>
</tr>
<tr class="odd">
<td>&gt;$10K <u>&lt;</u>$100K</td>
<td colspan="5"><blockquote>
<p>PR, PR Mgr, CO</p>
</blockquote></td>
<td><blockquote>
<p>Br. Chief</p>
</blockquote></td>
</tr>
<tr class="even">
<td>&gt;$100K <u>&lt;</u>$500K</td>
<td colspan="5"><blockquote>
<p>PR, PR Mgr, DTS-14</p>
</blockquote></td>
<td><blockquote>
<p>CO</p>
</blockquote></td>
</tr>
<tr class="odd">
<td>&gt;$500K <u>&lt;</u>$50M</td>
<td colspan="5"><blockquote>
<p>PR, PR Mgr, CO, DTS-14, COCO,DTS-2</p>
</blockquote></td>
<td><blockquote>
<p>HCA</p>
</blockquote></td>
</tr>
<tr class="even">
<td>&gt;$50M</td>
<td colspan="5"><blockquote>
<p>PR, PR Mgr, CO, DTS-14, COCO, DTS-2, HCA</p>
</blockquote></td>
<td><blockquote>
<p>SPE</p>
</blockquote></td>
</tr>
</tbody>
</table>

**¹** Legal Sufficiency Review is required for any solicitation, quote
or contract award regardless of dollar amount which involve: (a)
Hazardous Materials, (b) Research with human subjects, (c) Personal
Services, or

\(d\) Advisory and Assistance Services. Also, Legal Sufficiency Review
is required for Purchase Orders under the Simplified Acquisition
Threshold (SAT) awarded on other than a fixed-price basis; & Substantive
solicitation and FedBizOpps Amendments.

**²** Legal Sufficiency Review is not required for modifications within
the scope of the initial contract estimated not-to-exceed \$500K.

**³** Legal Sufficiency Review is not required for unilateral
modifications (no proposal(s) from or negotiations with the
contractor(s)).

4Technical Initiator approves PR if sole purpose is to provide funds to
increase sum allotted under incrementally funded contract/order and
PPA/Tech. Initiator is unchanged from initial award.

**^5^** The Contracts Branch Chief and the AMD Chief approves all
directed award orders regardless of dollar value.

**Note: HCA = Associate Administrator for Management & Administration,
DMA-1**

**COCO = Chief, Acquisition Management Division, DTS-85**

#####  Br. Chief = Contracts Branch Chiefs, either DTS-852 or DTS-853

**IA = Interagency Agreements**

**PR = PR Initiator**

#########  PR Mgr = PR Initiator's immediate Supervisor

**SPE = Director, Office of Acquisition and Grant Management, M-60**

**\* = If the Branch Chief is the assigned CO, then the COCO will
perform this function.**