DOT 49 CFR PART 663-2010 PRE-AWARD AND POSTDELIVERY AUDITS OF ROLLING STOCK PURCHASES.pdf

1、503 Federal Transit Admin., DOT Pt. 663 661.17 Failure to comply with certifi-cation. If a successful bidder or offeror fails to demonstrate that it is in compliance with its certification, it will be re-quired to take the necessary steps in order to achieve compliance. If a bidder or offeror takes

2、these necessary steps, it will not be allowed to change its original bid price or the price of its final offer. If a bidder or offeror does not take the necessary steps, it will not be awarded the contract if the con-tract has not yet been awarded, and it is in breach of contract if a contract has b

3、een awarded. 71 FR 14118, Mar. 21, 2006 661.18 Intentional violations. A person shall be ineligible to receive any contract or subcontract made with funds authorized under the Federal Public Transportation Act of 2005 pur-suant to part 29 of this title if it has been determined by a court or Federal

4、 agency that the person intentionally (a) Affixed a label bearing a Made in America inscription, or an inscription with the same meaning, to a product not made in the United States, but sold in or shipped to the United States and used in projects to which this section applies, or (b) Otherwise repre

5、sented that any such product was produced in the United States. 61 FR 6303, Feb. 16, 1996, as amended at 72 FR 53698, Sept. 20, 2007 661.19 Sanctions. A willful refusal to comply with a certification by a successful bidder or offeror may lead to the initiation of de-barment or suspension proceedings

6、 under part 29 of this title. 71 FR 14118, Mar. 21, 2006 661.20 Rights of parties. (a) A party adversely affected by an FTA action under this subsection shall have the right to seek review under the Administrative Procedure Act (APA), 5 U.S.C. 702 et seq. (b) Except as provided in paragraph (a) of t

7、his section, the sole right of any third party under the Buy America provision is to petition FTA under the provisions of 661.15 of this part. No third party has any additional right, at law or equity, for any remedy includ-ing, but not limited to, injunctions, damages, or cancellation of the Federa

8、l grant or contracts of the grantee. 71 FR 14118, Mar. 21, 2006 661.21 State Buy America provisions. (a) Except as provided in paragraph (b) of this section, any State may im-pose more stringent Buy America or buy national requirements than con-tained in section 165 of the Act and the regulations in

9、 this part. (b) FTA will not participate in con-tracts governed by the following: (1) State Buy America or Buy Na-tional preference provisions which are not as strict as the Federal require-ments. (2) State and local Buy National or Buy America preference provisions which are not explicitly set out

10、under State law. For example, administrative interpretations of non-specific State legislation will not control. (3) State and local Buy Local pref-erence provisions. PART 663PRE-AWARD AND POST- DELIVERY AUDITS OF ROLLING STOCK PURCHASES Subpart AGeneral Sec. 663.1 Purpose. 663.3 Scope. 663.5 Defini

11、tions. 663.7 Certification of compliance to FTA. 663.9 Audit limitations. 663.11 Audit financing. 663.13 Buy America requirements. 663.15 Compliance. Subpart BPre-Award Audits 663.21 Pre-award audit requirements. 663.23 Description of pre-award audit. 663.25 Pre-award Buy America certification. 663.

12、27 Pre-award purchasers requirements certification. Subpart CPost-Delivery Audits 663.31 Post-delivery audit requirements. 663.33 Description of post-delivery audit. 663.35 Post-delivery Buy America certifi-cation. 663.37 Post-delivery purchasers require-ments certification. VerDate Mar2010 10:10 De

13、c 13, 2010 Jkt 220218 PO 00000 Frm 00513 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-504 49 CFR Ch. VI (10110 Edition) 663.1 663.39 Post-delivery audit review. Subpart DC

14、ertification of Compliance With or Inapplicability of Federal Motor Vehicle Safety Standards 663.41 Certification of compliance with Fed-eral motor vehicle safety standards. 663.43 Certification that Federal motor ve-hicle standards do not apply. AUTHORITY: 49 U.S.C. 1608(j); 23 U.S.C. 103(e)(f); Pu

15、b. L. 96184, 93 Stat. 1320; Pub. L. 101551, 104 Stat. 2733; sec. 3023(m), Pub. L. 10959; 49 CFR 1.51. SOURCE: 56 FR 48395, Sept. 24, 1991, unless otherwise noted. Subpart AGeneral 663.1 Purpose. This part implements section 12(j) of the Federal Mass Transit Act of 1964, as amended, which was added b

16、y sec-tion 319 of the 1987 Surface Transpor-tation and Uniform Relocation Assist-ance Act (Pub. L. 10017). Section 12(j) requires the Federal Transit Adminis-tration, by delegation from the Sec-retary of Transportation, to issue regu-lations requiring pre-award and post- delivery audits when a recip

17、ient of Federal financial assistance purchases rolling stock with funds made avail-able under the Federal Mass Transit Act, as amended. 663.3 Scope. This part applies to a recipient pur-chasing rolling stock to carry pas-sengers in revenue service with funds made available under sections 3, 9, 18, a

18、nd 16(b)(2) of the Federal Mass Transit Act, as amended; 23 U.S.C. 103(e)(4); and section 14 of the National Capital Transportation Act of 1969, as amend-ed. 663.5 Definitions. As used in this part (a) Pre-award means that period in the procurement process before the re-cipient enters into a formal

19、contract with the supplier. (b) Post-delivery means the time pe-riod in the procurement process from when the rolling stock is delivered to the recipient until title to the rolling stock is transferred to the recipient or the rolling stock is put into revenue service, whichever is first. (c) Recipie

20、nt means a recipient of Federal financial assistance from FTA. (d) Revenue service means operation of rolling stock for transportation of fare- paying passengers as anticipated by the recipient. (e) Rolling stock means buses, vans, cars, railcars, locomotives, trolley cars and buses, ferry boats, an

21、d vehicles used for guideways and incline planes. (f) Audit means a review resulting in a report containing the necessary cer-tifications of compliance with Buy America standards, purchasers re-quirements specifications, and, where appropriate, a manufacturers certifi-cation of compliance with or in

22、applica-bility of the Federal Motor Vehicle Safety Standards, required by section 319 of STURAA and this part. (g) FTA means the Federal Transit Administration. 663.7 Certification of compliance to FTA. A recipient purchasing revenue serv-ice rolling stock with funds obligated by FTA on or after Oct

23、ober 24, 1991, must certify to FTA that it will con-duct or cause to be conducted pre- award and post-delivery audits as pre-scribed in this part. In addition, such a recipient must maintain on file the certifications required under subparts B, C, and D of this part. 663.9 Audit limitations. (a) An

24、audit under this part is lim-ited to verifying compliance with (1) Applicable Buy America require-ments section 165 of the Surface Transportation Assistance Act of 1982, as amended,; and (2) Solicitation specification require-ments of the recipient. (b) An audit under this part includes, where appro

25、priate, a copy of a manu-facturers self certification informa-tion that the vehicle complies with Federal Motor Vehicle Safety Stand-ards or a certification that such stand-ards are inapplicable. (c) An audit conducted under this part is separate from the single annual audit requirement established

26、by Office of Management and Budget Circular A 128, Audits of State and Local Govern-ments, dated May 16, 1985. VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00514 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or

27、networking permitted without license from IHS-,-,-505 Federal Transit Admin., DOT 663.31 663.11 Audit financing. A recipient purchasing revenue roll-ing stock with FTA funds may charge the cost of activities required by this part to the grant which FTA made for such purchase. 663.13 Buy America requ

28、irements. A Buy America certification under this part shall be issued in addition to any certification which may be re-quired by part 661 of this title. Nothing in this part precludes FTA from con-ducting a Buy America investigation under part 661 of this title. 663.15 Compliance. A recipient subjec

29、t to this part shall comply with all applicable require-ments of this part. Such compliance is a condition of receiving Federal finan-cial assistance from FTA. A recipient determined not to be in compliance with this part will be subject to the im-mediate suspension, withholding, or re-payment of Fe

30、deral financial assist-ance from FTA or other appropriate ac-tions unless and until it comes into compliance with this part. Subpart BPre-Award Audits 663.21 Pre-award audit require-ments. A recipient purchasing revenue serv-ice rolling stock with FTA funds must ensure that a pre-award audit under t

31、his part is complete before the recipi-ent enters into a formal contract for the purchase of such rolling stock. 663.23 Description of pre-award audit. A pre-award audit under this part in-cludes (a) A Buy America certification as described in 663.25 of this part; (b) A purchasers requirements cer-t

32、ification as described in 663.27 of this part; and (c) Where appropriate, a manufactur-ers Federal Motor Vehicle Safety cer-tification information as described in 663.41 or 663.43 of this part. 663.25 Pre-award Buy America cer-tification. For purposes of this part, a pre-award Buy America certificat

33、ion is a certifi-cation that the recipient keeps on file that (a) There is a letter from FTA which grants a waiver to the rolling stock to be purchased from the Buy America re-quirements under section 165(b)(1), (b)(2), or (b)(4) of the Surface Transpor-tation Assistance Act of 1982, as amended; or

34、(b) The recipient is satisfied that the rolling stock to be purchased meets the requirements of section 165(a) or (b)(3) of the Surface Transportation Assist-ance Act of 1982, as amended, after hav-ing reviewed itself or through an audit prepared by someone other than the manufacturer or its agent d

35、ocumenta-tion provided by the manufacturer which lists (1) Component and subcomponent parts of the rolling stock to be pur-chased identified by manufacturer of the parts, their country of origin and costs; and (2) The location of the final assembly point for the rolling stock, including a descriptio

36、n of the activities that will take place at the final assembly point and the cost of final assembly. 663.27 Pre-award purchasers re-quirements certification. For purposes of this part, a pre-award purchasers requirements certification is a certification a recipient keeps on file that (a) The rolling

37、 stock the recipient is contracting for is the same product de-scribed in the purchasers solicitation specification; and (b) The proposed manufacturer is a responsible manufacturer with the ca-pability to produce a vehicle that meets the recipients specification set forth in the recipients solicitat

38、ion. Subpart CPost-Delivery Audits 663.31 Post-delivery audit require-ments. A recipient purchasing revenue serv-ice rolling stock with FTA funds must ensure that a post-delivery audit under this part is complete before title to the VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00515 Fm

39、t 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-506 49 CFR Ch. VI (10110 Edition) 663.33 rolling stock is transferred to the re-cipient. 663.33 Description of post-delivery aud

40、it. A post-delivery audit under this part includes (a) A post-delivery Buy America cer-tification as described in 663.35 of this part; (b) A post-delivery purchasers re-quirements certification as described in 663.37 of this part; and (c) When appropriate, a manufactur-ers Federal Motor Vehicle Safe

41、ty Standard self-certification information as described in 663.41 or 663.43 of this part. 663.35 Post-delivery Buy America certification. For purposes of this part, a post-de-livery Buy America certification is a certification that the recipient keeps on file that (a) There is a letter from FTA whic

42、h grants a waiver to the rolling stock re-ceived from the Buy America require-ments under sections 165 (b)(1), or (b)(4) of the Surface Transportation Assist-ance Act of 1982, as amended; or (b) The recipient is satisfied that the rolling stock received meets the re-quirements of section 165 (a) or

43、(b)(3) of the Surface Transportation Assistance Act of 1982, as amended, after having reviewed itself or by means of an audit prepared by someone other than the manufacturer or its agent documenta-tion provided by the manufacturer which lists (1) Components and subcomponent parts of the rolling stoc

44、k identified by manufacturer of the parts, their coun-try of origin and costs; and (2) The actual location of the final assembly point for the rolling stock in-cluding a description of the activities which took place at the final assembly point and the cost of the final assem-bly. 663.37 Post-delive

45、ry purchasers re-quirements certification. For purposes of this part, a post-de-livery purchasers requirements certifi-cation is a certification that the recipi-ent keeps on file that (a) Except for procurements covered under paragraph (c) in this section, a resident inspector (other than an agent o

46、r employee of the manufacturer) was at the manufacturing site throughout the period of manufacture of the roll-ing stock to be purchased and mon-itored and completed a report on the manufacture of such rolling stock. Such a report, at a minimum, shall (1) Provide accurate records of all ve-hicle con

47、struction activities; and (2) Address how the construction and operation of the vehicles fulfills the contract specifications. (b) After reviewing the report re-quired under paragraph (a) of this sec-tion, and visually inspecting and road testing the delivered vehicles, the vehi-cles meet the contra

48、ct specifications. (c) For procurements of: (1) Ten or fewer buses; or (2) Procurements of twenty vehicles or fewer serving rural (other than ur-banized) areas, or urbanized areas of 200,000 people or fewer; or (3) Any number of primary manufac-turer standard production and unmodi-fied vans, after v

49、isually inspecting and road testing the vehicles, the vehicles meet the contract specifications. 56 FR 48395, Sept. 24, 1991, as amended at 71 FR 14118, Mar. 21, 2006 663.39 Post-delivery audit review. (a) If a recipient cannot complete a post-delivery audit because the recipi-ent or its agent cannot certify Buy America compliance or that the rolling stock meets the purchasers req