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This order was canceled on October 6, 2005.

Order
Subject
ADVANCE ACQUISITION PLANNING AND ANNUAL PROCUREMENT PLAN (APP)
Classification Code Date  
4420.3A June 7, 1996  

Par.

  1. Purpose
  2. Cancellation
  3. Reference
  4. Scope
  5. Definitions
  6. Policy
  7. Responsibilities
  8. Prohibition

  1. PURPOSE. To establish procedures within the Federal Highway Administration (FHWA) for:

    1. advance planning, review, and approval of proposed acquisitions prior to initiating action to acquire goods and services,

    2. preparation and approval of planned acquisitions, and

    3. providing to the Office of the Secretary (OST) informational copies of FHWA's Annual Procurement Plan (APP).

  2. CANCELLATION. FHWA Order 4420.3 Advanced Acquisition Planning and Annual Procurement Plan (APP), dated March 8, 1990, is canceled.

  3. REFERENCE. Transportation Acquisition Manual, Chapter 1207.

  4. SCOPE

    1. This Order applies to all proposed FHWA acquisitions submitted to the Office of Acquisition Management (OAM) (including interagency agreements) except:

        (1) intra-agency agreements with another Department of Transportation (DOT) modal administration in which all work is performed by DOT personnel,

        (2) emergency acquisitions (i.e., when the need for the supplies or services is of such an unusual and compelling urgency that the Government would be seriously injured if the goods or services are not immediately acquired),

        (3) actions executed using the simplified acquisition procedures of the Federal Acquisition Regulations (FAR), Part 13, and

    2. The Federal Lands Highway Office has established procedures for the review and approval of proposed Federal lands highway contract programs. These procedures are not affected by this Order, except as they affect the timely submission of the APP.

  5. DEFINITIONS

    1. Annual Procurement Plan,- the compilation of all Planned Acquisitions for a particular fiscal year which are expected to exceed $200,000 as approved by the Research and Technology Executive Board (RTEB); see Attachment 1.

    2. Planned Acquisition - any action which may reasonably be expected to result in a FHWA procurement. Form FHWA-1513A, is used to summarize Planned Acquisitions for the upcoming fiscal years.

    3. Supplemental Procurement Plan, Form FHWA-1513 - the form necessary to document and receive approval for Planned Acquisitions not included in an approved Annual Procurement Plan; see Attachment 2.

  6. POLICY. It is the policy of the FHWA that acquisition planning, procurement planning, and timely managerial involvement are key elements in successfully accomplishing FHWA acquisitions.

  7. RESPONSIBILITIES

    1. Associate Administrators, Staff Office Directors, the Director of the Intelligent Transportation Systems Joint Program Office, Regional Administrators, and the Federal Lands Highway Program Administrator shall submit, by July 1 of each year to the Office of Acquisition Management, Form FHWA-1513A, with information on Planned Acquisitions for the upcoming fiscal year which are expected to equal or exceed $50,000.

    2. The OAM Director shall forward to the Associate Administrator for Research and Development (R&D) these Form FHWA-1513A's. The Associate Administrator for R&D shall submit those Planned Acquisitions expected to equal or exceed $200,000 to the RTEB for review and approval; see FHWA Order 6000.3, dated July 28, 1995. The OAM Director, in cooperation with the Associate Administrator for R&D, shall submit informational copies of the approved Annual Procurement Plan and updates to the Office of the Secretary.

    3. For a Planned Acquisition expected to equal or exceed $200,000 and which is not included in an approved Annual Procurement Plan, the lead office shall complete and approve a Supplemental Procurement Plan, Form FHWA-1513, including concurrence by the appropriate office; see Attachment 2, Exhibit A. The Supplemental Procurement Plan shall be submitted to the OAM immediately following approval.

  8. PROHIBITION. No procurement action shall be taken with respect to any planned acquisition subject to this Order prior to the approval of that planned acquisition by the appropriate official referenced in paragraph 7 of this Order.

Original signed by:

Rodney E. Slater
Federal Highway Administrator

Attachment


Planned Acquisitions, FY __________

PR Number:                                                                                        
Project Title:                                                                                        
Total Government Cost Estimate:                                                                                        
COTR and Office:                                                                                        
Project Description and Product:                                                                                        


INSTRUCTIONS FOR COMPLETING PLANNED ACQUISITIONS
FORM FHWA-1513A

  1. FY: Enter the fiscal year in which the lead office expects to initiate the planned acquisitions.

  2. PR NUMBER: Enter the Procurement Request (PR) number (or a variation of it) which will be retained throughout the life of the procurement for tracking purposes.

  3. PROJECT TITLE: Enter a descriptive title for the procurement.

  4. TOTAL GOVERNMENT COST ESTIMATE: Enter the total cost estimate for completing the procurement. If the procurement will be split funded over more than one year, enter the sum of estimated costs.

  5. COTR AND OFFICE: Enter the name, routing code and phone number of the Contracting Officer's Technical Representative (COTR) for the procurement. Also, indicate the office initiating the procurement if it differs from the COTR's office. The COTR and phone number will be published as part of the DOT/FHWA procurement forecast, which is distributed to all interested parties.

  6. PROJECT DESCRIPTION AND PRODUCT: In non-technical terms provide a brief description of the work to be completed and products or services to be delivered. Do not limit this to a description of the end product, but describe what will be accomplished (e.g., a field study using Government equipment to record and analyze the impact of vehicle axle weights on pavement performance).


SUPPLEMENTAL PROCUREMENT PLAN

  1. Project Title:





  2. Total Government Cost Estimate:





  3. PR Number:





  4. COTR and Office:





  5. Project Description and Product:





  1. APPROVAL:
                                                                                                    
(Program Office Director)
            
(Date)
  1. APPROVAL:
                                                                                                    
(Associate Administrator, Staff Office Director, Regional Administrator)
(required for $200,000 and over)
            
(Date)
  1. CONCURRENCE:
                                                                                                    
(Associate Administrator, Staff Office Director, Regional Administrator)
(required for $200,000 and over)
            
(Date)


INSTRUCTIONS FOR COMPLETING SUPPLEMENTAL PROCUREMENT PLAN
FORM FHWA-1513

  1. PROJECT TITLE: Enter a descriptive title for the procurement.

  2. TOTAL GOVERNMENT COST ESTIMATE: Enter the total cost estimate for completing the procurement. If the procurement will be split funded over more than one year, enter the sum of estimated costs.

  3. PR NUMBER: Enter the Procurement Request (PR) number (or a variation of it) which will be retained throughout the life of the procurement for tracking purposes.

  4. COTR AND OFFICE: Enter the name, routing code and phone number of the Contracting Officer's Technical Representative (COTR) for the procurement. Also, indicate the office initiating the procurement if it differs from the COTR's office. The COTR and phone number will be published as part of the DOT/FHWA procurement forecast, which is distributed to all interested parties.

  5. PROJECT DESCRIPTION AND PRODUCT: In non-technical terms provide a brief description of the work to be completed and products or services to be delivered. Do not limit this to a description of the end product, but describe what will be accomplished (e.g., a field study using Government equipment to record and analyze the impact of vehicle axle weights on pavement performance).

  6. APPROVAL: Signature of the Program Office Director providing the funding for this requirement. Required for all planned acquisitions.

  7. APPROVAL: Signature of the responsible Associate Administrator, Staff Office Director, or Regional Administrator whose budget will be used to fund this requirement is required for all planned acquisitions of $200,000 and above. For planned acquisitions between $50,000 and $200,000 the signature of the person redelegated approval authority is required.

  8. CONCURRENCE: Signature of the Associate Administrator of the affected office; see Exhibit A.


Exhibit A

Sign-Offs for Form FHWA-1513, Acquisition Plans (>$200,000)
Not in an Approved Annual Procurement Plan

R&T Program Lead Office* Concurring Office
Safety HRD HST
Pavements HRD HPD
Structures HRD HPD
Environment HPD HPL
Right-of-Way HPD HPL
Policy HPL HPD
Planning HPD HPL
Motor Carriers HMT Another appropriate AA or HVH
Technology Applications HST Another appropriate AA or HVH
National Highway Institute HRD Another appropriate AA or HVH
ITS HRD, HMT, or HST
HVH
Another appropriate AA or HVH
Administration HAD Another appropriate AA or HVH

__________

*HAD: Associate Administrator for Administration
HMT: Associate Administrator for Motor Carriers
HPD: Associate Administrator for Program Development
HPL: Associate Administrator for Policy
HRD: Associate Administrator for Research & Development
HST: Associate Administrator for Safety and Systems Applications
HVH: Director, Intelligent Transportation Systems Joint Program Office

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