Buy America Handbook

CONDUCTING PRE-AWARD AND
POST-DELIVERY AUDITS FOR
ROLLING STOCK PROCUREMENTS
Best practices handbook for recipients, auditors,
manufacturers, and suppliers

Washington, D.C. 20590
January 2017

DEDICATED

…….to our colleague, John G. Bell, who contributed his expertise, untiring
resolve, and boundless passion about Buy America to the development of
this handbook.

TABLE OF CONTENTS
Foreword

1

1. Introduction

2

1.1.

Scope ......................................................................................................................... 2

1.2.

Background ............................................................................................................... 3

1.3.

Organization of Handbook ....................................................................................... 4

1.4.

References ................................................................................................................ 6

1.5.

Definitions ................................................................................................................. 7

1.6.

Acronyms .................................................................................................................. 9

2. Pre-Award Audit

10

2.1.

Requirements for the Pre-Award Audit ................................................................. 10

2.2.

Pre-Award Buy America Certification.................................................................... 12

2.3.

Pre-Award Purchaser's Requirements Certification............................................. 18

2.4. Pre-Award Federal Motor Vehicle Safety Standards (FMVSS) Certification of

Compliance or Inapplicability ........................................................................................... 19

3. Post-Delivery Audit

20

3.1.

Requirements for the Post-Delivery Audit ............................................................ 21

3.2.

Post-Delivery Purchaser's Requirements Certification – 49 CFR § 663.37 ......... 27

3.3. Post-Delivery Federal Motor Vehicle Safety Standards (FMVSS) Certification of

Compliance or Inapplicability ........................................................................................... 31

4. Domestic Content Calculations

32

4.1.

Vehicle Level Domestic Content Calculations ...................................................... 32

4.2.

Domestic Content - Relevant Definitions .............................................................. 33

4.3.

Domestic Content Worksheet ................................................................................ 38

4.4.

Special Considerations .......................................................................................... 47

4.5.

Manufacturer Documentation ................................................................................ 48

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5. Frequently Asked Questions

52

5.1.

General .................................................................................................................... 52

5.2.

Buy America Certification ...................................................................................... 53

5.3.

Purchaser’s Requirements Certification ............................................................... 57

5.4.

FMVSS Certification................................................................................................ 57

Appendix A Checklists ..................................................................................................... 58

Appendix B Certificates and Forms ................................................................................. 65

Appendix C Sample Buy America Audit Reports............................................................ 84

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Foreword
The information contained in this Handbook is based on the 49 CFR part 663 Pre-Award and
Post-Delivery Audits of Rolling Stock Purchases and 49 CFR part 661 Buy America
Requirements.
The guidance in this Handbook does not constitute a determination of compliance with the
Department of Transportation (DOT) standards and rules or with your rights or responsibilities
under the rules and is not binding on the DOT.
This is a best practices Handbook (a non-binding guidance document) for use by auditors as
well as recipients, vendors, and interested members of the public.

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1.

INTRODUCTION

Introduction

The Federal Transit Administration’s (FTA) objective in implementing 49 CFR part 661 Buy
America Requirements and 49 CFR part 663 - Pre-Award and Post-Delivery Audits of Rolling
Stock Purchases is to support U.S. jobs and the U.S. manufacturing industry. 1
As part of the federal grant application for any revenue service rolling stock grant, an agency
that uses federal funds (recipient) to procure vehicles “must certify to FTA that it will conduct or
cause to be conducted pre-award and post-delivery audits” as prescribed by 49 CFR part 663.
By signing the FTA Master Agreement, recipients have certified that they will conduct or cause
to be conducted the requisite pre-award and post-delivery audits. However, 49 CFR part 663
imposes additional requirements on recipients in terms of ensuring and documenting that the
rolling stock to be purchased (pre-award audit) and the rolling stock received (post-delivery
audit) comply with FTA’s Buy America requirements. 2
The purpose of this Handbook is to assist recipients, auditors, rolling stock manufacturers
(manufacturers), and subcontractors and suppliers (suppliers) in understanding and correctly
applying FTA’s pre-award and post-delivery audit requirements for rolling stock vehicle (vehicle)
purchases.
The overall aim is to guide Handbook users through the necessary steps to meet the pre-award
audit and post-delivery audit requirements as well as to bring greater uniformity to the way the
industry conducts and documents pre-award and post-delivery audits of rolling stock purchases.

1.1. Scope

This Handbook applies only to the procurement of rolling stock used in revenue service, which
includes new buses, vans, cars, railcars, locomotives, trolley cars, trolley buses, ferry boats, and
vehicles used for guideways and incline planes, and intended for public transportation of
passengers. 3 This Handbook does not apply to: used vehicles; non-revenue service vehicles;
vehicle rehabilitations, rebuilds, repowers, or overhauls, undertaken on a recipient’s existing
vehicles; vehicle end products, such as traction power distribution, signal and control systems,
and communications; or the provision of services.

1

These requirements are distinct from the Buy American Act of 1933, which governs procurements made
directly by the Federal government.
2
See 49 CFR §§ 663.7, 663.21–27, 663.31–39.
3
FTA also defines rolling stock end products as off-vehicle train control, communication, and traction
power equipment. See, e.g., Appendix A to 49 CFR § 661.3. This Handbook’s guidance is limited to
vehicles and does not address Buy America compliance for rolling stock end products (e.g., off-vehicle
elements such as train control, communication, and traction power equipment) described in Buy America
regulations in 49 CFR § 661.11 (t) through (w).

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INTRODUCTION

The Handbook describes approaches and recommends processes for recipients to consider in
preparing to conduct pre-award and post-delivery vehicle audits from the solicitation phase
through the final acceptance of vehicles. The Handbook also includes examples of how to
calculate domestic content, and verify and document compliance for all participating parties.
The Handbook is designed as a reference tool and a guide that includes recommendations on
auditing and compliance topics. It also provides examples as well as sample forms and
templates.
In 1995, FTA published two separate Handbooks on this subject, one for rail vehicles and one
for buses. This Handbook replaces both of those documents.
Information in this Handbook is subordinate to the regulations in 49 CFR part 661 - Buy America
Requirements and 49 CFR part 663 - Pre-Award and Post-Delivery Audits of Rolling Stock
Purchases.
Recipients, auditors, manufacturers, and suppliers should all be familiar with the most current
revision of both 49 CFR parts 661 and 663. 4 It is important to keep current on FTA guidance
and final decisions affecting these regulations as published in the Federal Register or on the
FTA website. The FTA website has links to the regulations, relevant Federal Register
publications, waivers, and letters of interpretation, frequently asked questions, this vehicle
Handbook, and related Dear Colleague letters.
In case of a conflict between the contents of this Handbook and FTA's Buy America
regulations and decisions, the regulations and decisions shall control.

1.2. Background

FTA’s Buy America requirements apply to third-party procurements by FTA grant recipients.
The first Buy America provision was included in the Surface Transportation Assistance Act and
is currently codified at 49 U.S.C. 5323(j) and implemented under 49 CFR part 661. 5 This
provision prohibits FTA from obligating funds for a project unless the steel, iron, and
manufactured products used in the project are produced in the United States. Recipients are
required to conduct Pre-Award and Post-Delivery audits of rolling stock under 49 U.S.C.
5323(m), as implemented by 49 CFR part 663.
As a condition to receiving FTA grant funds for the purchase of rolling stock, recipients must
certify compliance with Buy America and the pre-award and post-delivery audit requirements.
4

The regulations can be found online on the FTA “Buy America” webpage in the “Regulations” Section.

https://www.transit.dot.gov/regulations-and-guidance/buy-america/buy-america.

5
49 U.S.C. 5323(j) (formerly sec.165 of the Surface Transportation Assistance Act of 1982 (Pub. L. 97–

424); as amended by sec. 337, Pub. L. 100–17; sec. 1048, Pub. L. 102–240; sec. 3020(b), Pub. L. 105–

178; sec. 3023(i) and (k), Pub. L. 109–59; sec. 20016, Pub. L. 112-141; sec. 3011, Pub. L. 114-94); 49

CFR 1.91.

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INTRODUCTION

The recipient must either verify that the vehicles will contain the required domestic content, 6
by cost, or request a waiver from FTA. Also, if rolling stock frames or car shells are not
produced in the U.S., but the steel or iron used is domestic, and the average cost of a rolling
stock vehicle in the procurement is more than $300,000, then the steel or iron in the frames or
car shells shall be included in the domestic content calculation. 7 In addition, to comply with Buy
America, final assembly of the vehicles must take place in the United States in accordance
with 49 CFR § 661.11. At each phase in the vehicle procurement cycle, there are specific
actions that a recipient must take to ensure compliance with 49 CFR part 661 Buy America
Requirements and 49 CFR part 663 - Pre-Award and Post-Delivery Audits of Rolling Stock
Purchases.
Recipients purchasing vehicles must ensure that a pre-award audit, as described in 49 CFR §§
663.21 – 27, is completed before the recipient enters into a formal contract to purchase
vehicles. Similarly, those recipients purchasing vehicles must also ensure that a post-delivery
audit, as described in 49 CFR §§ 663.31 – 39, is completed before the title to the vehicle is
transferred to the recipient or before the rolling stock is placed in revenue service, whichever
comes first.

1.3. Organization of Handbook

This Handbook is divided into five major sections addressing the following areas:
•
•
•
•
•
•

Section One – Introduction
Section Two – Pre-Award Audit
Section Three – Post-Delivery Audit
Section Four – Domestic Content Calculations
Section Five – Frequently Asked Questions
Appendices

Each major section presents guidance to
component/subcomponent suppliers.

recipients,

auditors,

manufacturers,

and

6

Effective October 1, 2015, Congress amended 49 U.S.C. 5323(j) to provide a phased increase
in domestic content from more than 60 percent for FY16 & FY17, to more than 65 percent in
FY18 & FY19 and more than 70 percent in FY20 and beyond. On September 1, 2016, FTA
issued final policy guidance on implementing the phased increase in domestic content. This
policy guidance is available at 81 FR 60278 and on FTA’s website at
https://www.transit.dot.gov/buyamerica.

7

See 49 U.S.C. 5323(j)(5). Note that the general Buy America requirements for manufactured products in
49 CFR § 661.5 requiring 100% U.S. steel/iron and 100% of components to be manufactured in the
United States are separate and apart from the 49 CFR § 661.11 requirements for rolling stock. Therefore,
the structural steel requirements in § 661.5 do not apply to the vehicular steel used in rolling stock, as
noted in § 661.5(c).

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A brief overview of each section of the Handbook is provided below.
Section 1 – Introduction
Describes the objectives, purpose, and scope of the Handbook, background, definitions,
relevant references, and acronyms.
Section 2 – Pre-Award Audit
Recommends processes to the recipient for conducting effective pre-award audits. It includes
general guidance on best practices during the vehicle solicitation (i.e., source selection and
contract award), and contract execution phases to facilitate verification of compliance. It also
seeks to clarify requirements and provide guidance to manufacturers and its suppliers about
how to prepare documentation to satisfy pre-award requirements.
Section 3 – Post-Delivery Audit
Provides recommended post-delivery audit processes, including a discussion about PostDelivery Domestic Content Monitoring in Section 3.1.3.4. It includes guidance to clarify the
post-delivery requirements of 49 CFR parts 661 and 663. This section includes guidance to
assist recipients, auditors, vehicle manufacturers, and suppliers with various aspects of the
post-delivery audits. It also describes the information necessary to substantiate compliance.
Section 4 – Domestic Content Calculations
Provides guidance and clarification on methods used to correctly calculate domestic content.
This section discusses the distinctions in the treatment of domestic content for components and
subcomponents and offers clarification on how to determine what is a component versus a
subcomponent. Finally, this section provides an example of calculating domestic content with
step by step instructions.
Section 5 – Frequently Asked Questions (FAQs)
Provides FTA responses to FAQs concerning the pre-award and post-delivery audits of rolling
stock purchases.
The responses also incorporate lessons learned from FTA Project
Management Oversight Contractor’s (PMOC’s) oversight of federally funded projects.
Appendices
The appendices include process checklists, sample certification forms, Buy America waiver
references, and sample Buy America audit reports.

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1.4. References

The principal references for FTA’s Pre-Award and Post-Delivery Audit and Buy America
regulations are:
United States Code
49 U.S.C. Chapter 53, Section 5323(j)
49 U.S.C. Chapter 53, Section 5323(m)
Legislation
Surface Transportation Assistance Act of 1978, Pub. L. 95-599

Surface Transportation Assistance Act of 1982, Pub. L. 97-424

Surface Transportation and Uniform Relocation Assistance Act of 1987, Pub. L. 100-17

Buy America Act of 1988, Pub. L. 100-418

The Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users,

(SAFETEA-LU), Pub. L. 109-59

The Moving Ahead for Progress in the 21st Century Act, (MAP-21), Pub. L. 112-141

Fixing America’s Surface Transportation (FAST) Act, Pub. L. 114-94

Regulations
Buy America Requirements, 49 CFR part 661

Pre-Award and Post-Delivery Audits, 49 CFR part 663

Federal Acquisition Regulation; Foreign Acquisition, Exempted Articles, Materials and Supplies,
48 CFR part 25

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1.5. Definitions

The definitions below are provided to assist the reader with terms used in the manual.
Definitions from the Pre-Award and Post-Delivery Audits of Rolling Stock Purchases Rule (49
CFR part 663) and the Buy America Requirements Rule (49 CFR part 661) are identified in
italics. Non-italicized definitions are provided for clarification to assist the reader in correctly
implementing the requirements.
Audit:

A review resulting in a report containing the necessary
certifications of compliance with Buy America standards,
purchaser's requirements specifications, and, where appropriate,
a manufacturer's certification of compliance with or inapplicability
of the Federal Motor Vehicle Safety Standards. (49 CFR § 663.5).

Auditor:

Person or persons who verify Buy America compliance and
prepare pre-award and post-delivery reports. Pre-award and postdelivery audits may be performed directly by recipient staff or by
qualified independent auditors. An auditor conducting the pre­
award audit must be qualified and independent from the
manufacturer and the manufacturer’s agents.

Component:

Any article, material, or supply, whether manufactured or
unmanufactured, that is directly incorporated into the end product
at the final assembly location (49 CFR § 661.11(c)). Appendices
B and C to section 661.11 provide lists of typical components of
buses and rail rolling stock, respectively.

End product:

Any vehicle, structure, product, article, material, supply, or system,
which directly incorporates constituent components at the final
assembly location, that is acquired for public use under a
federally-funded third-party contract, and which is ready to provide
its intended end function or use without any further manufacturing
or assembly change(s). A list of representative end products is
included in Appendix A to 49 CFR § 661.3 End Products.

Final assembly:

Final assembly is the creation of the end product from individual
elements brought together for that purpose through application of
manufacturing processes. If a system is being procured as the
end product by the grantee, the installation of the system qualifies
as final assembly. 49 CFR 661.11(r). Minimum final assembly
requirements are described in Appendix D to section 661.11.

FMVSS:

Federal Motor Vehicle Safety Standards issued by the National
Highway Traffic Safety Administration under 49 CFR part 571.

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Manufactured product:

An item produced as a result of the manufacturing process
(49 CFR § 661.3).

Manufacturing process:

The application of processes to alter the form or function of
materials or of elements of the product in a manner adding value
and transforming those materials or elements so that they
represent a new end product functionally different from that which
would result from mere assembly of the elements or materials
(49 CFR § 661.3).

Post-delivery:

The time period 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 (49 CFR § 663.5).

Pre-award:

That period in the procurement process before the recipient enters
into a formal contract with the supplier (49 CFR § 663.5).

Recipient:

Any entity that is a recipient of Federal financial assistance from
FTA (49 CFR § 663.5).

Rolling stock:

Buses, vans, cars, railcars, locomotives, trolley cars and buses,
ferry boats, vehicles used for guideways and incline planes. (49
CFR § 663.5). 8

Subcomponent:

Any article, material, or supply, whether manufactured or
unmanufactured, that is one step removed from a component in
the manufacturing process and that is incorporated directly into a
component, but does not include raw materials produced in the
United States and then exported for incorporation into a
component. (49 CFR § 661.11(f) & (h)-(k)).

Supplier:

Any entity that provides components or subcomponents which are
incorporated into the vehicle, either as part of the manufacturing
process or during final assembly.

United States:

The several States, the Commonwealth of Puerto Rico, the District
of Columbia, Guam, American Samoa, the U.S. Virgin Islands,
and the Commonwealth of the Northern Mariana Islands (49 CFR
§ 661.3)

8

Note that section 661.3 defines rolling stock to include vehicles used for support services. However,
pre-award and post-delivery audit requirements do not apply to vehicles used for support services.

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1.6. Acronyms

CFR

Code of Federal Regulations

DOT

Department of Transportation

FAQ

Frequently Asked Questions

FAST

Fixing America’s Surface Transportation Act

FMVSS

Federal Motor Vehicle Safety Standards

FTA

Federal Transit Administration

OEM

Original Equipment Manufacturer

QA/QC

Quality Assurance/Quality Control

U.S.

United States of America

U.S.C.

United States Code

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2.

PRE-AWARD AUDIT

Pre-Award Audit

A recipient purchasing revenue service rolling stock with FTA funds must ensure that a pre­
award audit under [49 CFR part 663] is complete before the recipient enters into a formal
contract for the purchase of such rolling stock. 49 CFR § 663.21.

The Pre-Award Audit includes making and obtaining required certifications and reviewing the
documentation provided by the manufacturer in support of its certification. The Pre-Award Audit
is undertaken before contract award and is for the purpose of ensuring that the vehicles
delivered by the manufacturer will comply with Buy America and the contract specifications.
This section addresses the requirements for a pre-award audit conducted pursuant to the PreAward and Post-Delivery Audits of Rolling Stock Purchases regulations. 9 This section also
provides some best practices for the recipient, auditor, manufacturer or supplier, when
conducting or participating in a pre-award audit. While FTA does not require the use of these
best practices, FTA does encourage all parties to adopt such procedures and processes to the
extent they will help achieve compliance. Sample forms and certifications are provided in the
appendices.

2.1. Requirements for the Pre-Award Audit

Recipients of FTA financial assistance purchasing rolling stock must complete a pre-award audit
before entering into a formal contract with a manufacturer. Recipients may perform the audit
processes using internal staff or hire third-party auditors to carry out all or some of the review
functions on the recipient’s behalf. In either case, the person(s) conducting the pre-award audit
must be qualified and independent from the manufacturer and the manufacturer’s agents.
Appendix A.2 provides useful pre-award checklists.
There are three certifications that must be included in the pre-award audit:
• Pre-Award Buy America Certification or Pre-Award Buy America Certificate of
Non-Compliance
o Note: To complete this Certification, the recipient must receive the
Manufacturer’s Certification of Compliance or Non-Compliance with Buy America
Rolling Stock Requirements per 49 CFR § 661.12.
• Pre-Award Purchaser’s Requirements Certification, and

9

49 CFR part 663.

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• Pre-Award Certification of Compliance with or Inapplicability of Federal Motor
Vehicle Safety Standards (FMVSS).
Table 1. Pre-Award Audit Certification Responsibilities
Recipient

Manufacturer

SOLICITATION
Pre-Award Buy America
Certification (49 CFR § 663.25)



Pre-Award Buy America
Certificate of Non-Compliance (if
applicable) (49 CFR § 663.25)



Certification of Compliance or
Non-Compliance with Buy
America Rolling Stock
Requirements (49 CFR § 661.12)



Pre-Award Purchaser’s
Requirements Certification (49
CFR § 663.27)



Pre-Award FMVSS Compliance
Certification (49 CFR § 663.41)



Pre-Award Certification of FMVSS
Inapplicability (49 CFR § 663.43)



The recipient is responsible for obtaining the Pre-award Buy America Certification, Purchaser’s
Requirement Certification, and the FMVSS Certification (if applicable) or the Pre-Award
Certification of FMVSS Inapplicability. In order for the recipient to certify Buy America
compliance or that it received a Buy America waiver, the recipient must obtain and keep on file
the bidder’s or the offeror’s (the manufacturer or supplier) Certification of Compliance (or NonCompliance) with Buy America Rolling Stock Requirements. 10

10

See 49 CFR § 663.25 and 49 CFR § 661.12.

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2.2. Pre-Award Buy America Certification

The recipient must keep on file a Pre-Award Buy America Certification that certifies that:
• There is a letter from FTA granting a waiver from the Buy America requirements for the
vehicle procurement, or
• The recipient is satisfied that the rolling stock to be purchased meets the Buy America
requirements after having reviewed itself or through an audit prepared by someone other
than the manufacturer or its agent documentation provided by the manufacturer which
lists—
(1) Component and subcomponent parts of the rolling stock to be purchased
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
description of the activities that will take place at the final assembly point and the
cost of final assembly. 11
This subsection describes the Pre-Award Buy America Certification requirements and
recommends best practices to facilitate compliance with the pre-award audit requirements.

2.2.1. Recipient’s Pre-Award Certification of an Applicable Buy America
Waiver
By statute, the procurement of rolling stock is subject to a waiver from the requirement that
manufactured goods must contain 100 percent domestic content. Section 5323(j)(2)(C) allows
FTA to waive Buy America requirements for rolling stock procurements by permitting domestic
content less than 100 percent. 12 The Buy America statute also includes three additional
waivers: public interest waivers; non-availability waivers; and price differential waivers. 13 The
procedures for each of these statutory waivers are set forth in 49 CFR § 661.7. Only waivers
based on public interest or non-availability may be granted for a component or subcomponent in
the case of the procurement of rolling stock. 14
Generally, recipients, not the manufacturer, must apply for the Buy America waiver. 15 However,
a potential bidder, offeror or supplier may seek a public interest or non-availability waiver for a
component or subcomponent. 16 Waiver requests must be made before contract award and the
process for obtaining a waiver is time-consuming. Therefore, recipients or manufacturers or
11

49 CFR § 663.25.

49 USC § 5323(j)(2)(C).

13
49 U.S.C. § 5323(j)(2)(A), (B), and (D).

14
See 49 CFR § 661.7(f).

15
49 CFR § 661.9(c).

16
49 CFR § 661.9(d).

12

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suppliers who wish to seek a waiver from FTA are encouraged to apply for the waiver as early
as possible in the procurement process.

2.2.2. Documentation for Pre-Award Buy America Certification (PreAward Audit Report)
A recipient’s Pre-Award Audit Report will summarize the process the recipient has used to verify
the proposed manufacturer’s compliance with the Buy America requirements.
The recipient must maintain a file for FTA review that includes the following documentation:
• A copy of the Pre-Award Audit Report;
• The recipient’s Pre-Award Buy America Certification;
• The manufacturer’s certificate of compliance or non-compliance with Buy America rolling
stock requirements (see Appendices B.1 and B.2 for certification templates);
• The pre-award purchaser’s requirements certification; and
• The manufacturer’s FMVSS certification, if appropriate.
A sample Pre-Award Audit Report is included in Appendix C.1.
The recipient, or an auditor acting on the recipient’s behalf, will review the supporting cost
documents in order to verify the estimated domestic content, especially if the manufacturer
provides such domestic content only as a percentage. Manufacturers may provide estimated
domestic content by cost either in dollar figures or as percentages of total materials cost.
Therefore, auditors will verify that the manufacturer’s pre-award audit documentation supports
all costs used in developing the domestic content list (worksheet) and request any additional
information necessary in order to verify and certify compliance with Buy America. In the
absence of purchase orders or supplier quotes, this verification may be based on, among other
things, estimates or other sources used in developing the bid.
Manufacturers may have concerns about recipients’ review of cost data. The manufacturer and
recipient may agree that the recipient will contract with an external auditor to conduct the
manufacturer’s Buy America certification review—and assure the manufacturer that the cost
data will be kept confidential. Alternatively, a recipient may be able to keep its Buy America
audit function independent by using a “firewall” and assuring the manufacturer that those
employees of the recipient performing the Buy America audit are prohibited from disclosing any
of the manufacturer's proprietary data. Further, the review of documents may occur at the
manufacturer’s place of business; there is no requirement that the recipient or its auditors obtain
copies of the documents; they need simply to review them. Whether conducted by a contractor
or the recipient’s employees, the manufacturer may require the auditor to sign a non-disclosure
agreement prior to reviewing the documents.

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2.2.3. Best Practices for Pre-Award Buy America Certifications
This subsection describes best practices to aid recipients, auditors, manufacturers, and
suppliers in achieving compliance with the Pre-Award Buy America Certification
requirements. This subsection includes descriptions of recommended processes and special
considerations, beginning with key steps that recipients may take early in the solicitation
process, as well as processes to verify compliance with domestic content and U.S. final
assembly requirements.
Throughout the vehicle procurement process recipients should be alert to conditions that could
pose challenges for Buy America compliance. Examples of these conditions include:
•
•
•
•
•
•

Manufacturers who are inexperienced with the U.S. market and regulations.
A new subcomponent/component supplier.
Vehicles with the domestic content close to the minimum threshold.
Components with the domestic content close to the minimum threshold.
Manufacturers creating new U.S. final assembly facilities.
Engineering changes, field modifications or contract change orders causing changes in
project scope (completed projects must comply with Buy America requirements after all
change orders have been implemented for all vehicles).

Recipients may adopt practices to lessen the risks of non-compliance. It is important to clearly
define and communicate the recipients’ processes and expectations about verifying compliance
to manufacturers throughout the procurement and production periods. Another useful tool that
recipients may use is intermediate audits (see Section 3.1.3.4 for a discussion of Post-Delivery
Domestic Content Monitoring). Some recipients also consider a requirement that vehicles have
domestic content percentages even greater than the required domestic content percentage for
vehicles and/or components to prevent inadvertent noncompliance with Federal requirements.
Further, recipients may provide incentives for bidders to increase domestic content as long as
those incentives are consistent with Federal and local law.
The following are some recommended best practices for the pre-award audit stage.
2.2.3.1

Solicitation Phase

As the pre-award audit must be completed prior to the recipient entering into a formal
contract with a manufacturer or supplier, there are several steps that the recipient may
take during the procurement process to help ensure Buy America compliance.

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Table 2. Recommended Discussion Topics During the Solicitation Phase of the
Procurement.

Recommended Discussion Topics During the Solicitation Phase of the
Procurement
Buy America requirements, e.g., domestic content requirements, supply chain
implications, manufacturer’s certification, etc.
Recipient & Manufacturer or Supplier’s (Bidder or Offeror) monitoring responsibilities
of the status of compliance during production (e.g., the Resident Inspector program).
Recipient’s processes for conducting Pre-Award, Intermediate and Post-Delivery
Audit reviews.
Manufacturer’s procedures for collecting, reviewing, and maintaining supporting
documentation.
Recipient’s procedures and requirements for collecting, reviewing, and maintaining
supporting documentation.
Recipient’s procedures for managing requests for waivers from Buy America
requirements.
Recipient’s process for selecting a Buy America auditor.
A pre-proposal conference is a good opportunity for recipients to highlight important
Buy America requirements and identify specific Buy America related documentation that
manufacturers will be expected to include in their bids or produce at the pre-award audit
phase. For example, recipients may want to emphasize that in a competitive sealed
procurement, a bidder must submit a signed certification with the bid. If a bidder
submits the wrong certification, or certifies both compliance and non-compliance, the
bid generally will be deemed non-responsive. 17
Also during the solicitation period, recipients will communicate to manufacturers their
expectations for periodic status reporting on Buy America compliance from the
manufacturer(s), including if there are any changes to Buy America content or final
assembly that may occur during vehicle production due to modifications or substitutes
of component or subcomponent suppliers. Periodic reporting helps prevent postdelivery surprises in changes in domestic content and potential issues regarding
compliance. For reference, a Proposal Compliance Checklist can be found in Appendix
A.1.

17

49 CFR § 661.13(b).

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2.2.3.2.

PRE-AWARD AUDIT

Verifying Domestic Content Compliance

Preparing and verifying domestic content compliance is a key element of the pre-award
audit process. Errors and misinterpretations during the calculation process can
undermine the overall domestic content percentage and jeopardize the vehicle’s
compliance with Buy America requirements. Please see Section 4, Domestic Content
Calculations, for detailed instructions on calculating domestic content.
While conducting a pre-award audit, auditors should pay close attention to components
with the highest dollar or percentage values. The impact on the vehicle’s overall
domestic content may be impacted significantly if a high-dollar component is no longer
considered to be of domestic origin under 49 CFR § 661.11(g). Section 661.11(g)
provides that a component may be considered of domestic origin, if “more that 60
percent of the subcomponents of that component, by cost, must be of domestic origin,
and the manufacture of the component must take place in the United States. If, under
the terms of this part, a component is determined to be of domestic origin, its entire cost
may be used in calculating the cost of domestic content of an end product.” 18 If a
component’s domestic content falls below the minimum threshold at any point during the
production cycle, it could reduce the vehicle’s domestic content percentage and
potentially cause the entire vehicle to fall out of compliance. Therefore, components
with domestic content percentages that are close to the minimum domestic content
threshold should be noted and followed up with during and at the end of the production
cycle.
Similarly, when reviewing the manufacturer’s pre-award documentation, auditors should
pay particular attention to vehicles that are expected to have a total domestic content
that is close to the minimum domestic content threshold. Subsequent change orders or
errors in the calculations or documentation (even to smaller value components) could
potentially alter the total domestic content and result in noncompliance.
Finally, auditors should confirm that labor costs for final assembly are not included in the
domestic content by cost calculations. 19
2.2.3.3.

Verifying U.S. Final Assembly

Another essential step in the pre-award audit process is to verify that the proposed
procurement would comply with the U.S. final assembly requirements. In order to
verify that the proposed final assembly activities comply with Buy America
requirements, the recipient must review documentation provided by the manufacturer
to determine whether the manufacturer’s planned final assembly activities in the United

18

Note that under the September 1, 2106 FTA Policy Guidance, increase in the required domestic

content (i.e., more than 65% or 70%), requires a similar increase in domestic content under 49 CFR §

661.11(g).

19
49 CFR § 661.11(p).

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States are adequate to meet the requirements of 49 CFR § 661.11 and Appendix D to
§ 661.11 (required documentation is discussed in Section 2.2.2).
The specific scope of final assembly activities may vary from manufacturer to
manufacturer and even from vehicle to vehicle. Therefore, in order to verify
compliance, the auditor may perform due diligence through a variety of methods,
including, among other things, reviewing:
o The manufacturer’s flow chart(s) or detailed drawing(s) of the
production work station,
o The manufacturer’s work instructions,
o The manufacturing plans, and
o The assembly drawings (usually kept or posted on a production (shop)
floor).
Final assembly costs include the proposed direct labor associated with the U.S. final
assembly production line. For the pre-award audit, costs may be established from the
manufacturer’s estimate of hours, subcontractors’ labor quotes, and actual costs from
similar projects. Auditors must collect as much information as needed to determine
whether the final assembly costs reflect the minimum requirements for final assembly
as described in Appendix D to 49 CFR § 661.11.
2.2.3.4.

Supplier Buy America Certificate at Pre-Award

The manufacturer is responsible for ensuring that suppliers and subcontractors comply
with Buy America requirements. At the pre-award audit state, manufacturers will need
to deomonstrate their process for verifying suppliers’ compliance with Buy America.
This may take the form of obtaining certifications and other documentation or
information from suppliers. 20 A suggested template that captures relevant information
is discussed in Section 4.5 and a sample is provided in Appendix B.6, “Sample
Supplier Buy America Certification.”
In order to certify compliance, manufacturers and suppliers must be knowledgeable
about the correct method of calculating a component’s percentage of domestic
content. Section 4, “Domestic Content Calculations,” provides detailed instructions for
calculating domestic content.

20

While not required, to verify compliance with the pre-award audit and Buy America requirements, the
manufacturer may consider conducting supplier qualification reviews (e.g., via site visits), detailed reviews
of supplier documents, first article inspections, qualification testing, and source/pre-shipment inspections
to verify suppliers’ certifications.

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2.3. Pre-Award Purchaser's Requirements Certification

A recipient of FTA financial assistance purchasing revenue service vehicles must certify pre­
award that:
(1) The r olling stock it is purchasing is the same product described in its solicitation
specification, and
(2) The proposed manufacturer is a responsible manufacturer with the capability to produce
a vehicle that meets the recipient’s specification (Purchaser’s Requirements). 21
A sample Pre-Award Purchaser’s Requirements Certification is provided in Appendix B.5.
This certification must be retained by the recipient and available for FTA inspection.

2.3.1. Best Practices for Purchaser’s Requirements Certification at PreAward
Verficiation of the information required in the Pre-Award Purchaser’s Requirements
Certification typically is conducted by the recipient’s procurement office and the technical
evaluation team before contract award.
To verify that the proposed manufacturer’s bid complies with the recipient’s specification, the
recipient will compare the solicitation specification for the vehicle with the proposed
manufacturer’s technical bid. A manufacturer’s technical information can include documentation
submitted with the manufacturer’s bid proposal, including, but not limited to, specifications,
product brochures, technical data sheets, bills of material, drawings, etc.
Recipients also need to assess a proposed manufacturer’s capacity and capability to produce
the specific vehicles. The scope and depth of the assessment will vary depending on the size
and complexity of the procurement and the past performance of the manufacturer. The
solicitation should include requirements that bidders provide information about their
manufacturing capacity and capability to produce the specified vehicles. This information may
include the following:
•
•
•
•
•
•
•
•
21

Past performance on previous vehicle orders;
Qualifications of key personnel;
Facility layouts/drawings, production line layout/flowchart;
Plant output capacity (i.e., max. production rate per week);
Staffing counts by craft;
Readiness of fixtures for carbody construction;
Quality assurance and control plan; and
Other items necessary to execute the work.

49 CFR § 663.27.

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Additionally, recipients should verify a manufacturer’s financial viability as part of the
review to certify compliance with the pre-award purchaser’s requirements. At a
minimum, recipients should review the proposed manufacturer’s public financial
statements (if available).

2.4. Pre-Award

Federal

Motor

Vehicle

Safety

Standards

(FMVSS) Certification of Compliance or Inapplicability
The Pre-Award FMVSS Certification is a requirement for most, if not all, motor vehicle
procurements. The National Highway Traffic Safety Administration (NHTSA) has a legislative
mandate under title 49 U.S.C., chapter 301, Motor Vehicle Safety, to issue FMVSS regulations.
The term “motor vehicle” is defined for the purpose of the statute and regulations that NHTSA
administers as “a vehicle that is driven or drawn by mechanical power and manufactured
primarily for use on public streets, roads, and highways, but does not include a vehicle operated
only on a rail line.” 22 These Federal safety standards are the minimum safety performance
requirements for motor vehicles.
Recipients purchasing motor vehicles, such as buses, must keep on file its certification that it
received, both at the pre-award and post-delivery stage, a copy of the manufacturer’s selfcertification information that the vehicle complies with the relevant FMVSS or a copy of the
manufacturer’s self-cerfication that the vehicle is not subject to the FMVSS. 23 (See Appendix
B.6 and B.7 for sample certifications).

22
23

See 49 U.S.C. § 30102(a)(7).
49 CFR §§ 663.41, 663.43(a).

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3.

POST-DELIVERY AUDIT

Post-Delivery Audit

A recipient purchasing revenue service rolling stock with FTA funds must ensure that a postdelivery audit under this part is complete before title to the rolling stock is transferred to the
recipient, or before the rolling stock is put into service, whichever is first. 49 CFR § 663.31
and § 663.5(b).
This section describes the processes, certifications, and documentation required to validate the
post-delivery audit. Appendix A.3 provides useful post-delivery checklists.
This section also provides best practices to assist in complying with the regulations.
The post-delivery audit is similar to the pre-award audit and follows the same multi-step process
as the pre-award audit described in Section 2. In the post-delivery audit, however, recipients
verify that the manufacturer complied with applicable Buy America requirements in the
production of the rolling stock and this verification therefore must be based on actual data rather
than plans and proposals. The conclusions of this review are captured in a Post-Delivery Audit
Report.
Recipients continue to have the ultimate responsibility for ensuring compliance with all Federal
requirements, post-delivery. As discussed in Section 2, Buy America requirements flow down
from the FTA recipients to the manufacturers through the contract documents.
In turn, the manufacturer has the responsibility to document the domestic content and the
responsibility to maintain documentation that demonstrates compliance with Buy America
regulations. 24
Post-delivery, a manufacturer certifies that the requirements of the Buy America provisions were
satisfied for the total vehicle(s) and all of its components, which includes collecting and
evaluating suppliers’ documentation. The manufacturer will ensure that any Supplier Buy
America Certificates (See Appendix B.6) are valid and can provide to auditors the supplier
information necessary to demonstrate compliance.
Because all parties have a responsibility to ensure compliance by verifying domestic content
percentages and domestic manufacturing locations, manufacturers will communicate Buy
America requirements to their component suppliers and expect suppliers to perform due
diligence of their subcomponent suppliers.

24

49 CFR § 661.15(d).

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3.1. Requirements for the Post-Delivery Audit

The post-delivery audit period is the “time period 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.” 25 As in the pre­
award phase, recipients may perform the audit processes, or use third-party auditors to perform
the review functions on the recipients’ behalf.
The purpose of the post-delivery audit is for recipients to verify that the built vehicle(s) comply
with Buy America requirements, meet the recipient’s solicitation specification requirements, and
if applicable, FMVSS.
Recipients must maintain contract files for the post-delivery phase that include certifications and
supporting documentation. The required certifications are:
• Post-Delivery Buy America Certification;
• Post-Delivery Purchaser’s Requirements Certification (based upon a review of the
Resident Inspector’s Report); and,
• Post-Delivery Certification of FMVSS Compliance or Inapplicability, when
appropriate.
The findings of the post-delivery audit process must be described in the Post-Delivery Audit
Report.

3.1.1. Post-Delivery Buy America Certification Requirements
A review for the Post-Delivery Buy America Certification must be completed before the
vehicle title is transferred to the recipient or before the rolling stock is placed in revenue service,
whichever comes first.
A recipient’s Post-Delivery Buy America Certification certifies either that the recipient:
• Obtained a letter from FTA granting a waiver from Buy America requirements for the
vehicle procurement; or
• Confirmed, on the basis of an audit prepared by someone other than the manufacturer
or the manufacturer’s agent, that:
o The vehicle(s) contain components that meet or exceed the required percentage
of domestic content, by cost;
o Final assembly of the vehicles took place in the U.S.; and
o Final assembly activities were compliant with Buy America requirements.
The review period begins when the rolling stock is delivered to the recipient and ends before the
title transfer or before the rolling stock is placed in revenue service, whichever comes first. If a
25

49 CFR § 663.5(b).

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waiver was not requested, or the request was denied, the auditor will verify that the
manufacturer has provided enough detail in its documentation to demonstrate that FTA’s Buy
America requirements have been met.
The recipient must confirm that the manufacturer has complied with U.S. final assembly
requirements and that the cost of components and subcomponents is greater than the required
domestic content percentage of the aggregate cost for all components. If the manufacturer
does not provide sufficient information, the recipient must seek additional information.
• Buy America-Exempt Rolling Stock Vehicles
If a vehicle is eligible for a waiver, the recipient must:
o Obtain a Buy America waiver letter from FTA before a contract is awarded;
o Complete a Post-Delivery Buy America Certificate of Non-Compliance (see
Appendix B.9 for sample certification); and
o Keep the Pre-Award Buy America Certificate of Non-Compliance on file for future
FTA reviews.

3.1.2. Documentation for Post-Delivery Buy America Certification
A recipient’s Post-Delivery Audit Report summarizes the process the recipient used to verify the
manufacturer’s compliance with the Buy America requirements.
At the conclusion of the audit, the recipient must maintain a file for FTA reviews that includes:
o
o
o
o
o

A copy of the Post-Delivery Audit Report;
The recipient’s Post-Delivery Buy America Certificate;
The post-delivery purchaser’s requirement certification;
A manufacturer’s FMVSS certification, when appropriate;
The manufacturer’s certificate of compliance or non-compliance with Buy
America rolling stock requirements.

A sample Post-Delivery Audit Report is included in Appendix C.2.
The manufacturer provides the following documents for the Post-Delivery Buy America
Certification:
• A detailed list of components and subcomponents which
manufacturer/supplier and country of origin;
• Cost of each component and corresponding subcomponents;
• Both domestic and foreign content, in dollars or as a percentage;
• The final assembly location;
• Description of all work performed at the final assembly location; and
• Cost of the work performed at the final assembly location.

includes

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Although the manufacturer can provide its domestic content worksheet in terms of percentages
rather than dollars, the recipient or its auditor needs to review supporting actual cost documents
in order to verify compliance. The manufacturer must be able to support all the costs depicted
in the domestic content worksheet and final assembly scope of work. The Post-Delivery Audit
Report should not include confidential data provided to the recipient or an auditor but should
summarize the data reviewed to support the conclusions in the report.
Manufacturers may have concerns about recipients’ review of cost data. The manufacturer and
recipient may agree that the recipient will contract with an external auditor to conduct the
manufacturer’s Buy America certification review—and assure the manufacturer that the cost
data will be kept confidential. Alternatively, a recipient may be able to keep its Buy America
audit function independent by using a “firewall” and assuring the manufacturer that those
employees of the recipient performing the Buy America audit are prohibited from disclosing any
of the manufacturer's proprietary data. Further, the review of documents may occur at the
manufacturer’s place of business. There is no requirement that the recipient or its auditors
obtain copies of the documents they review. Whether conducted by a contractor or the
recipient’s employees, the manufacturer may require the reviewer to sign a non-disclosure
agreement prior to reviewing the documents.

3.1.3. Additional Information for Post-Delivery Buy America
Certifications
This subsection provides guidance to assist recipients, auditors, manufacturers, and suppliers in
achieving compliance with the post-delivery certification requirements.

3.1.3.1. Verifying Domestic Content
As discussed for the pre-award audit, preparing and verifying domestic content
compliance is fundamental to the audit process. Recipients will review and verify
the stated domestic content, by cost; and verify that the final assembly location
and costs confirm that the minimum activities for final assembly are performed in
the U.S.
Auditors will obtain current information on the cost of components and
subcomponents from manufacturers, as illustrated in Section 4.
The
manufacturers’ worksheets will note any changes in component suppliers and
component percent domestic content, by cost.
Auditors may validate manufacturers’ worksheets by reviewing paid invoices,
purchase orders, or other source documents. Auditors may link the costs
presented by the manufacturer to the specific source documents. Some auditors
find it useful to add a column to the domestic content worksheet and track costs
associated with specific paid invoices or purchase orders so they can more easily
monitor changes over time.

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Auditors will verify that the manufacturer is accounting for all components in its
domestic content calculation and that all components and subcomponents are
properly classified. See Section 4.2.1, “Component/Subcomponent,” for further
discussion on classifying components and determining their classification as
being of domestic or foreign origin.

3.1.3.2.
Components with Domestic Content Percentages
Close to the Minimum Threshold
During a post-delivery audit, auditors should direct specific attention to
components with the highest dollar (or percentage) values as well as to
components with domestic content percentages close to the minimum threshold.
Similarly, auditors should also pay particular attention to vehicles with total
domestic content that is very near the minimum threshold. Change orders and
errors (even to smaller value components) could potentially slip the total
domestic content percentage below the requirements.
As discussed in Section 2 Pre-Award Audit, auditors may also need to examine
component suppliers to evaluate whether or not the suppliers have satisfied Buy
America requirements.

3.1.3.3. Reasonableness of Component and Subcomponent
Costs
Auditors should compare costs for components and subcomponents listed on the
manufacturers’ domestic content worksheet to comparable vehicle procurement
costs. The purpose of this comparison is to check that the manufacturers’
domestic content worksheet appropriately depicts costs, so that component costs
are not under- or over-valued in an effort to meet the domestic content
requirement for rolling stock procurements. Please see Section 4 for more
information on domestic content calculations.

3.1.3.4. Verification of U.S. Final Assembly
In order to verify that final assembly activities comply with Buy America
requirements, recipients must review documentation provided by the
manufacturer that demonstrates:
•
•
•

That the final assembly site is located in the U.S.;
That the final assembly activities meet the minimum requirements listed in
Appendix D to 49 CFR § 661.11; and
The total cost of final assembly, including labor and overhead costs.

Appendix D to 49 CFR § 661.11 provides the minimum requirements for final
assembly of vehicles that manufacturers must meet to comply with Buy America
regulations. The manufacturer’s documentation will provide enough detail to

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allow a recipient to determine that its final assembly activities would constitute
adequate final assembly under Buy America requirements.
The scope of final assembly activities may vary from manufacturer to
manufacturer and even from vehicle to vehicle. During a post-delivery audit,
auditors will review the manufacturer’s activities and verify that the manufacturer
performed the final assembly activities in the U.S. This may be accomplished by
reviewing the Resident Inspector Report, when such a report is required.
An auditor may verify compliance through a variety of methods at the postdelivery stage, including, but not limited to:
•
•
•
•
•

Reviewing the manufacturer’s flow chart(s) of the production work station;
Work instructions;
QC/QA inspections (hold points);
Manufacturing plans; and
Assembly drawings (as would be kept or posted on a shop floor).

In the event an on-site inspector is not required by 49 CFR § 663.37, recipients
will consider whether auditor(s) should make on-site visits to verify final assembly
activities. Site visits may be merited if a final assembly facility is new or if there
are concerns about the manufacturer’s capacity.
If a recipient determines that a manufacturer’s final assembly processes do not
include all the activities that are typically considered the minimum requirements,
it can request an FTA determination of compliance. FTA will review these
requests on a case-by-case basis to determine compliance with Buy America.
Buy America regulations also require that the manufacturer provide the cost of
U.S. final assembly.
While reviewing a manufacturer’s final assembly
documentation, auditors consider the following:
•
•

Whether the manufacturer has provided sufficient documentation for the
cost of final assembly; and
Whether the manufacturer’s actual total cost for final assembly includes all
costs consistent with the minimum requirements for final assembly
contained in Appendix D to 49 CFR 661.11.

If necessary, auditors should obtain a breakdown of the labor hours and hourly
rates by craft (or a composite rate based on the ratio of the associated skill sets
and supervisory personnel). The auditor should verify that the information the
manufacturer provided is commensurate with the labor actually employed for the
final assembly activity.

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3.1.3.5. Supplier Buy America Certificate Documentation for
Buy America Certification at Post-Delivery
The manufacturer is responsible for ensuring that suppliers and subcontractors
comply with Buy America requirements.
Suppliers must provide sufficient
documentation to manufacturers that demonstrates compliance with post-delivery
audit requirements.
It also is recommended, but not required, that manufacturers obtain executed
(signed and dated) certifications from all their suppliers for the post-delivery audit. A
suggested template that captures the relevant information is provided in Appendix
B.6, “Sample Supplier Buy America Certification.”
In order to certify compliance, manufacturers and suppliers must be knowledgeable
about the correct method of calculating a component’s percentage of domestic
content. Section 4, “Domestic Content Calculations,” provides detailed instructions
for calculating domestic content.
Manufacturers will conduct due diligence when documenting the location of a
supplier’s manufacturing facility for each component (and ideally for each
subcomponent). Manufacturers may perform supplier qualifications, which include
site visits, detailed reviews of supplier documents, first article inspections,
qualification testing, and source/pre-shipment inspection to verify suppliers’
certifications.
Component suppliers executing the certificate have additional
responsibility to verify that subcomponents conform to specified standards.

3.1.3.6. Post-Delivery Domestic Content Monitoring
Post-Delivery Domestic Content Monitoring, or intermediate review, is a
recommended best practice that occurs after the vehicle manufacturer delivers the
first vehicle to the recipient and until the vehicle manufacturer transfers title to the
last vehicle to the recipient or the recipient puts the last vehicle into revenue service,
whichever is first. The recipient will complete the Post-Delivery Audit as described in
49 CFR § 663.5(f) and 49 CFR § 663.33 on the first vehicle delivered.
The resident inspector, or an agent or employee of the recipient, would perform the
Post-Delivery Domestic Content Monitoring. The purpose of the Post-Delivery
Domestic Content Monitoring is to ensure that all vehicles after the first vehicle are
compliant with the regulations.
The personnel performing the Post-Delivery Domestic Content Monitoring monitor all
of the following for changes to determine that any changes detected do not affect the
compliance of any vehicle:
•
•

Change Orders
Changes to the Bill of Materials

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• Changes to the assembly or manufacturing processes
• Changes to the final assembly location
• Any changes to the cost or origin of any components and
subcomponents
• Any change that would affect the domestic content of the vehicle
If the recipient (or its agent) detects any changes, the recipient (or its agent) would
perform an evaluation to determine if the domestic content of the vehicles has
changed. If the domestic content is below the minimum requirement, then the
recipient should notify the manufacturer of non-compliance and require the
manufacturer to comply with Buy America. If the manufacturer is unable or unwilling
to comply with Buy America on the production vehicles, the recipient should contact
its Regional Office regarding the non-compliance.

3.2. Post-Delivery Purchaser's Requirements Certification – 49
CFR § 663.37
This subsection describes the process that recipients will follow in order to demonstrate
compliance with the Post-Delivery Purchaser’s Requirements Certification in 49 CFR
§ 663.37.
The Post-Delivery Purchaser’s Requirements Certification certifies that the delivered
vehicles meet the contract specifications, based on the recipient’s visual inspections, road tests,
monitoring of the final assembly process and the Resident Inspector’s Report of manufacturing
activities.
The intent of the Post-Delivery Purchaser’s Requirements Certification is to safeguard
recipients by ensuring that the delivered vehicles comply with contract specifications.

3.2.1. Post-Delivery Purchaser’s Requirements Certification
Requirements
Recipients must keep a Post-Delivery Purchaser’s Requirements Certification on file that
certifies:
• When required by 49 CFR § 663.37, a resident inspector (other than an agent or
employee of the manufacturer) was at the manufacturing site throughout the period of
manufacture and completed a report on the manufacture of the vehicles; AND
• After reviewing the Resident Inspector’s Report, and visually inspecting and road
testing the delivered vehicles, the vehicles meet the contract specifications.

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With certain exceptions described below, recipients are required to have an on-site resident
inspector at the manufacturing site throughout the manufacturing period. The resident inspector
must:
• Remain full-time at, or periodically visit, the final assembly location during the period of
manufacture; and
• Visually inspect, participate in, and witness performance tests of the vehicles.
Further, the resident inspector may visit component manufacturing sites, as necessary, during
the period of manufacture of the rolling stock.
The resident inspector must prepare the Resident Inspector’s Report that, at a minimum,
provides:
• Accurate records of all vehicle construction activities (e.g., component manufacturing
processes, final assembly activities, and collected quality control data); and
• A summary of how the construction and operation of the vehicles meet (or do not meet)
the contract specifications. The report will reference the above cited manufacturing
processes, final assembly activities, and quality control data.
It is the recipient’s responsibility to verify that the vehicles comply with the contract
specifications and to identify areas of noncompliance. The purpose of the Resident Inspector’s
Report is to assist the recipient in verifying that the vehicles meet the contract specifications.
Upon delivery of the vehicles and following receipt and review of the Resident Inspector’s
Report, the recipient must visually inspect and road test the vehicles to ensure the vehicles
meet the contract specifications.
Exceptions for on-site resident inspector. An on-site resident inspector is not required for (1)
procurements of 10 or fewer buses; or (2) procurements of 20 or fewer vehicles serving rural
(other than urbanized) areas, or urbanized areas of 200,000 people or fewer; or (3)
procurements of any number of primary manufacturer standard production and unmodified
vans. 49 CFR § 663.37. For such procurements, only visual inspection and road testing upon
delivery to the recipient are required to certify compliance with the contract specifications.

3.2.2. Required Purchaser’s Requirements Documentation at PostDelivery
Once the recipient has reviewed the Resident Inspector’s Report, successfully inspected and
tested the delivered vehicles, and is satisfied the Purchaser’s Requirements have been met, the
recipient will then:
• Complete a Post-Delivery Purchaser’s Requirements Certification (See Appendices
B.10 and B.11 for sample certifications).

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Recipients must maintain a file for future FTA reviews that includes:
• The Post-Delivery Purchaser’s Requirements Certification,
• A copy of the Resident Inspector’s Report and any associated supporting
documentation,
• The solicitation specification,
• The manufacturer’s bid specification,
• Authorizations of approved equals, and
• Any other supporting documentation.

3.2.3. Best Practices for Purchaser’s Requirements Certification at
Post-Delivery
While various approaches can be used to verify and document compliance for the PostDelivery Purchaser’s Requirements Certification, the following best practices are presented
to assist recipients.
3.2.3.1 Assignment of Resident Inspector to Manufacturing/Final
Assembly Site
The intent of the regulation is to help recipients verify that the vehicles will comply with
its contract specifications. It is not meant to require that a resident inspector remain
“full-time” at the manufacturer’s site throughout the period of manufacture. Although
this may be recommended for some vehicle procurements, the resident inspector
requirements may be fulfilled with periodic visits.
3.2.3.2. Resident Inspector’s Report for Purchaser’s Requirements at
Post-Delivery
As previously mentioned, the Resident Inspector’s Report includes, at a minimum,
accurate records of all vehicle construction activities (e.g., component manufacturing
processes, final assembly activities, and collected quality control data) and a
description of how the construction and operation of the vehicles meet (or do not meet)
the contract specifications. Manufacturers will provide the necessary documentation to
complete the review.
As a best practice, the Resident Inspector’s Report and supporting documentation may
include,
•

•

A summary of the Resident Inspector’s Report describing the scope of work
performed on behalf of the recipient. The report would identify all activities that
verify that the vehicle(s) comply with the contract specifications, and would
include inspection qualification, and production testing.
Recipient’s independent inspections, in addition to the manufacturer’s quality
control (QC). This may be demonstrated by signed inspection reports (usually by

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•

•

•

•

•

POST-DELIVERY AUDIT

hold point inspections where the manufacturer cannot proceed with work until the
resident inspector’s approval is obtained).
The vehicle history books provided by the manufacturer and reviewed by the
resident inspector prior to authorization for shipment of the vehicle(s). The
resident inspector would briefly summarize the content of the vehicle history
books provided by the manufacturer and include samples or excerpts that
demonstrate accurate record of vehicle construction activities and adherence to
quality control processes.
Sample(s) of the Authorization-for-Shipment forms. The forms would include a
sign-off signature by the resident inspector for each vehicle. The forms would list
any open action items at the time of shipment.
A summary describing how the manufacturer adequately implemented its QC
processes throughout the manufacturing process. The summary would also
address how the manufacturer adhered to appropriate FTA elements of quality. 26
For example, a sample Closed Nonconformance Report would be included that
identifies any corrective rework/repairs that were made and approved by the
recipient or its designated representative. Note that nonconforming material that
was repaired (that is, not fully conforming to OEM/specification requirements), or
that is permitted to be used “as is” must be approved by the recipient.
Verification that the manufacturer has maintained complete records of
construction for each vehicle. These documents (typically called car files) would
likely contain details beyond the scope of the Resident Inspector’s Report such
as all of the manufacturer’s quality control (QC) inspections.
Evidence that delivered vehicles have been inspected and road tested to confirm
they meet contract specifications. The report would include a summary list of
static, dynamic, and performance tests performed on each vehicle. A sample of
key test report results that show sign-offs for completed tests, failed tests, and
any corrective action will also be included. This summary list of test results
would be compared to the contract specifications to validate that the vehicles
meet (or do not meet) contact specifications. Any elements that do not meet
specification requirements must be accompanied by a contract modification
approved by the recipient and identified in the Resident Inspector’s Report
summary.

26

See FTA Quality Management System Guidelines,
https://www.transit.dot.gov/funding/procurement/project-management-oversight-pmo.

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POST-DELIVERY AUDIT

3.3. Post-Delivery Federal Motor Vehicle Safety Standards
(FMVSS) Certification of Compliance or Inapplicability
Recipients purchasing motor vehicles must demonstrate that the vehicles comply with FMVSS
as part of the requirement for the post-delivery audit. The recipient must keep on file the
certification that it received a copy of the manufacturer’s self-certification information that the
vehicle complies with FMVSS. 27
For FMVSS compliant motor vehicles, the recipient must:
• Obtain the FMVSS self-certification sticker information from the motor vehicle
manufacturer;
• Confirm the manufacturer’s FMVSS sticker is affixed to each motor vehicle. [The sticker
is usually located in the interior front curbside of the motor vehicle (see Appendix B.15 –
B.19 for sample FMVSS stickers)]; and
• Complete a Post-Delivery FMVSS Compliance Certification (see Appendix B.12 for a
sample certification).
The recipient must keep the manufacturer’s Post-Delivery FMVSS self-certification information
with the FMVSS Compliance Certification in its file.
There are instances when motor vehicles are not subject to FMVSS. Consider, for example, 49
CFR § 571.7 (Applicability of FMVSS Regulation) and 49 CFR part 555 (Temporary Exemptions
from Motor Vehicle Safety Standards). In such cases, recipients must keep on file certification
that the contracted motor vehicles are not subject to FMVSS. 28
If the contracted motor vehicles are not subject to FMVSS, the recipient must:
• Obtain the manufacturer’s certified statement indicating that the contracted motor
vehicles are not subject to FMVSS;
• Complete a Post-Delivery Certification of FMVSS Inapplicability (see Appendix B.14
for a sample certification).
The recipient must keep the manufacturer’s Post-Delivery FMVSS exemption statement with the
Pre-Award Certification of FMVSS Inapplicability in its file.

27
28

49 CFR § 663.41.
49 CFR § 663.43.

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4.

DOMESTIC CONTENT CALCULATIONS

Domestic Content Calculations

This section provides guidance and clarification on how to calculate domestic content correctly.
It clarifies the distinctions in the treatment of domestic content for components and
subcomponents and offers clarification on how to determine what is a component versus what is
a subcomponent for rolling stock. The intent is to assist recipients in the verification and
validation of domestic content calculations to verify compliance with the Buy America
requirements.
In order to verify compliance with Buy America’s domestic content requirements, the recipient
will need to undertake an analysis that accounts for the costs of all components and
subcomponents, both foreign and domestic, consistent with 49 CFR § 661.11and
subcomponents. The Domestic Content Calculation must demonstrate compliance with the
requirement that the cost of components and subcomponents produced in the United States
equals or exceeds the required minimum percentage of the cost of all components and
subcomponents. 29 Section 4.3.3 provides guidance to calculate the Vehicle Material Total Cost,
which is the summation of all component costs and is the proper value that must be used in
calculating the percentage of domestic content of the vehicle consistent with 49 CFR § 661.11.
FTA has observed that some recipients and vendors, or their agents or auditors, are calculating
the domestic content amount by dividing the total costs of the domestic components by the
estimated value of the vehicle, found by subtracting certain costs from the Contract Total Price
of the vehicle. This calculation is not consistent with 49 CFR § 661.11 and fails to demonstrate
compliance.

4.1. Vehicle Level Domestic Content Calculations

Calculation of the domestic content is conducted at two levels: the vehicle level, and the
component level. Each is somewhat different in nature.
a)

At the vehicle level – The rolling stock manufacturer must demonstrate that the cost of
components produced in the U.S. is equal to or more than the required minimum
percentage of the cost of all components on the vehicle. 30 The recipient must verify the
manufacturer’s information.

b)

At the component level – For a component to be of domestic origin, more than 60
percent 31 of its subcomponents, by cost, must be manufactured in the United States,

29

49 U.S.C. 5323(j)(2).

49 U.S.C. § 5323(j)(2).

31
As the domestic content percentage increases in FY 2018 and FY 2020, the minimum domestic content

of subcomponents will also increase, to more than 65 percent in FY 2018 and more than 70 percent in FY

2020.

30

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and the manufacture of the component must occur in the U.S. 32 If the component is
deemed to be of domestic origin, then the manufacturer receives credit for the entire
cost of the component (including the foreign subcomponents). If a component contains
less than the minimum domestic content percentage, i.e., is of foreign origin, then the
manufacturer only receives domestic credit for those subcomponents manufactured in
the U.S.

4.2. Domestic Content - Relevant Definitions

For vehicle components to be considered domestic, the subcomponents, by cost, must be the
required minimum percentage of domestic origin, and manufacturing must occur in the U.S.
Therefore, when evaluating domestic content, it is important to have a full understanding of the
manufacturer of the component, its country of origin, and the percent cost of its
subcomponents relative to the cost of the component.

4.2.1. Component/Subcomponent
A component, as defined in 49 CFR § 661.11(c), is any article, material, or supply, whether
manufactured or unmanufactured, that is directly incorporated into an end product at the final
assembly location. A component may be manufactured at the final assembly location if the
manufacturing process to produce the component is an activity separate and distinct from the
final assembly of the end product. 33 Typical components of buses and rail rolling stock are listed
in Appendices B and C to 49 CFR § 661.11; these illustrative lists are not intended to be
exhaustive. Also, 49 CFR § 661.11(t), (u), and (v) list specific components that make-up train
control (t), communication equipment (u), and traction power equipment (v).
For a component to be of domestic origin, more that 60 percent of the subcomponents of that
component, by cost, must be of domestic origin, and the manufacture of the component must
take place in the United States. 34 Under FTA’s September 1, 2016 policy guidance
implementing the increased domestic content included in the FAST Act, the requirement for
domestic subcomponents will increase accordingly. Therefore, if the domestic content for the
vehicle is more than 65 percent, then a component must contain more than 65 percent of
domestic subcomponents. If a component is determined to be domestic, its entire cost may be
used in calculating the cost of domestic content of the vehicle. 35 If a component is determined
to be foreign, only the cost of U.S. manufactured subcomponents, if any, may be used in
calculating the cost of domestic content of the vehicle.

32

49 CFR § 661.11(g).
See 49 CFR § 661.11(d).
34
49 CFR § 661.11(g).
35
See 49 CFR § 661.11(g).
33

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In contrast, a subcomponent is any article, material, or supply, whether manufactured or
unmanufactured, that is one step removed from a component in the manufacturing process and
that is incorporated directly into a component. 49 CFR § 661.11(f). A subcomponent need only
be manufactured in the U.S. to be considered domestic. 49 CFR § 661.11(h).If a subcomponent
manufactured in the U.S. is exported for inclusion in a component that is manufactured outside
the U.S. and it receives tariff exemptions under the procedures set forth in 19 CFR 10.11
through 10.24, the subcomponent retains its domestic identity and can be included in the
calculation of the domestic content of an end product even if such a subcomponent represents
less than 60 percent of the cost of a particular component. 49 CFR §661.11(i)
If a subcomponent manufactured in the United States is exported for inclusion in a component
manufactured outside the United States and it does not receive tariff exemption under the
procedures set forth in 19 CFR 10.11 through 10.24, the subcomponent loses its domestic
identity and cannot be included in the calculation of the domestic content of an end product. 49
CFR § 661.11(j)
Finally, except as provided in 49 U.S.C. § 5323(j)(5), raw materials produced in the United
States and then exported for incorporation into a component are not considered to be a
subcomponent for the purpose of calculating domestic content. 49 CFR § 661.11(k). The value
of such raw materials is to be included in the cost of the foreign component.

4.2.2. Lists of Typical Components
The manufacturer’s list of typical components for rail rolling stock is in Appendix C to 49 CFR
part § 661.11, and includes:
car shells

brake controls

engines

foundation brake equipment

main transformer

articulation assemblies

pantographs

train control systems

traction motors

window assemblies

propulsion gear boxes

communication equipment

interior linings

lighting, seating

acceleration and braking
resistors

doors

propulsion controls

door actuators and controls

low voltage auxiliary power
supplies

wheelchair lifts and ramps to
make the vehicle accessible
to persons with disabilities

air conditioning equipment

couplers and draft gear

air brake compressors

trucks

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journal bearings

diagnostic equipment

axles

third rail pick-up equipment

The manufacturer’s typical list of components for buses is in Appendix B to 49 CFR part §
661.11:

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car body shells

heating systems

engines

passenger seats

transmissions

driver’s seat assemblies

front axle assemblies

window assemblies

rear axle assemblies

entrance and exit door
assemblies

drive shaft assemblies
front suspension assemblies
rear suspension assemblies
air compressor and
pneumatic systems
generator/ alternator and
electrical systems
steering system assemblies
front and rear air brake
assemblies
air conditioning compressor
assemblies
air conditioning evaporator/
condenser assemblies

door control systems
destination sign assemblies
interior lighting assemblies
front and rear end cap
assemblies
front and rear bumper
assemblies
specialty steel (structural
steel tubing, etc.) aluminum
extrusions, aluminum, steel
or fiberglass exterior panels
interior trim, flooring, and
floor coverings

At a minimum, the items listed in Appendices B and C of 49 CFR § 661.11 are
components for domestic content calculation purposes. If there are new technologies
that supersede the items in Appendices B and C of 49 CFR § 661.11, these should be
reviewed to verify that the component/subcomponent designations applied for that
project are consistent with the regulations. If there is any question of compliance,
recipients should consult with FTA.

4.2.3. Calculating Costs of Components and Subcomponents
The domestic content calculation is based on costs, not the contract price. The total cost of all
components of the rolling stock will not be a number that can be derived from the bidder’s bid
price or final contract price.
As part of the pre-award and post-delivery audit requirements, the recipient must certify that it
“is satisfied that the rolling stock to be purchased” (pre-award audit) or “received” (post-delivery)
“meets the requirements of [49 U.S.C. § 5323(j)(2)(C)] after having reviewed itself or through
an audit prepared by someone other than the manufacturer or its agent documentation provided
by the manufacturer, which lists:”

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Pre-Award Audit Documentation

Post-Delivery Audit Documentation

(1) Component and subcomponent
parts of the rolling stock to be
purchased 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
description of the activities that will take
place at the final assembly point and
the cost of final assembly.

(1) Components and subcomponent
parts of the rolling stock identified by
manufacturer of the parts, their
country of origin, and costs; and
(2) The actual location of the final
assembly point for the rolling stock
including a description of the activities
which took place at the final assembly
point and the cost of the final
assembly.

The methodology for calculating the costs of components and subcomponets is set forth in
FTA’s Buy America regulation at 49 CFR § 661.11. Both manufacturers and Buy America
auditers need to understand section 661.11 in order to calculate domestic content for rolling
stock.
Rolling stock will include components and subcomponents from one of two sources: (1) outside
suppliers; or (2) the bidder. Section § 661.11(m) sets forth the basic methodology for
calculating costs for components or subcomponents received from suppliers or manfuctured by
the bidder:
(1) The cost of a component or a subcomponent is the price that a bidder or
offeror must pay to a subcontractor or supplier for that component or
subcomponent. Transportation costs to the final assembly location must be
included in calculating the cost of foreign components and subcomponents.
(2) If a component or subcomponent is manufactured by the bidder or offeror,
the cost of the component is the cost of labor and materials incorporated into the
component or subcomponent, an allowance for profit, and the administrative and
overhead costs attributable to that component or subcomponent under normal
accounting principles.
For the post-delivery audit, the actual cost, not the bid price, of a component is to be considered
in calculating domestic content. Thus, the cost for the component would be the purchase price
paid by the bidder (i.e., vehicle manufacturer) to the component or subcomponent supplier.
Similarly, the cost for the subcomponent would be the actual purchase price paid by the
component supplier to the subcomponent supplier. If the component is manufactured by the
bidder, the cost of the component is calculated by adding the cost of labor and materials
incorporated into the component or subcomponent, an allowance for profit, and the
administrative and overhead costs attributable to that component or subcomponent under
normal accounting principles.

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4.2.4 Final Assembly
Manufacturing, as discussed above, refers to the activities that transform the subcomponents
into a new and functionally different component. 36 A component may be manufactured at the
final assembly location if the manufacturing process to produce the component is an activity
separate and distinct from the final assembly of the end product. 37 The allowable costs for
components manufactured by the bidder or offeror (i.e., the OEM) are set forth in 49 CFR §
661.11(m)(2).
Final assembly, in contrast, is the creation of the end product from individual elements brought
together for that purpose through application of manufacturing processes. Final assembly
activities for rail cars and buses are set forth in Appendix D to 49 CFR § 661.11. Labor costs
involved in final assembly shall not be included in calculating component costs.
In the case of a rolling stock vehicle, while the car body is itself a component of the completed
vehicle, it is also the component onto which the other components will be installed. Therefore,
each item installed directly onto the car body is a component.
In the case of a railcar, the truck is likewise a component, as it is the structure onto which the
individual components will be installed. Therefore, each item installed directly onto the truck
(frame) would be a component.
The same rationale is applied for other equipment, such as propulsion equipment and
communication equipment. In each case, the individual items that are installed on the vehicle
are components.

4.3. Domestic Content W orksheet

This section illustrates one method for calculating domestic content of rolling stock. The sample
spreadsheet is intended to allow a standard presentation of domestic content calculations for
bus and rail vehicles, as well as facilitate verification that:
• All components are accounted for in the domestic content calculation and all of the
vehicle’s domestic and foreign content is accounted for.
• The cost of components and subcomponents are calculated in accordance with 49 CFR
§ 661.11.
• Each component has been correctly identified as either domestic or foreign based on the
supplier identification and the manufacturing location.
• Each subcomponent has been correctly identified as either domestic or foreign based on
the supplier identification and the manufacturing location.
36
37

See 49 CFR § 661.11(e).
See 49 CFR § 661.11(d).

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4.3.1. Domestic Content Worksheet Instructions
Below is a sample of a Domestic Content Worksheet with step-by-step instructions for filling in
the worksheet. 38
Component /Subcomponent
Component

Manufacturing
Location

Supplier Name

(U.S. or Foreign)

Component 1
Component 1
Subcomponent 1.1
Subcomponent 1.2
Subcomponent 1.3
Subcomponent 1.4
Subcomponent 1.5
OEM Labor/Overhead/profit
Component 1 - U.S. & Foreign Costs Subtotal
Component 1 Total Cost

per 49 CFR § 661.11(m)(2)

Component 2
Component 2
Subcomponent 2.1
Subcomponent 2.2
Subcomponent 2.3
Subcomponent 2.4
Subcomponent 2.5
Subcomponent 2.6
Foreign Component manuf cost
Foreign Component transp cost

Component Supplier
Sub Supplier 2.1
Sub Supplier 2.2
Sub Supplier 2.3
Sub Supplier 2.3
Sub Supplier 2.4
Sub Supplier 2.5
Component Supplier
Component Supplier

OEM
OEM
OEM
Sub Supplier 1.3
Sub Supplier 1.3
Sub Suppler 1.5
OEM

U.S.
U.S.
U.S.
U.S.
Foreign
U.S.
U.S.

Foreign
U.S. w/tariff exempt
U.S. w/tariff exempt
Foreign
Foreign
Foreign
Foreign
Foreign
Foreign

Component 2 - U.S. & Foreign Costs Subtotal
Component 2 Total Cost per 49 CFR § 661.11(m)(1)
Component 3
Component 3
Subcomponent 3.1
Subcomponent 3.2
Subcomponent 3.3
Subcomponent 3.4
U.S. Component manufacturing costs
Component 3 - U.S. & Foreign Costs Subtotal
Component 3 Total Cost

Component Supplier
Sub Supplier 3.1
Sub Supplier 3.2
Sub Supplier 3.3
Sub Supplier 3.4
Component Supplier

U.S.
Foreign
U.S.
Foreign
Foreign
U.S.

per 49 CFR § 661.11(l) and (m)(1)

Vehicle Material Subtotals -- U.S. & Foreign
Vehicle Material Total Cost (Total Cost of all Components)

Manufacturing
Location
(if U.S. - City & State;
if Foreign - City &
Country)

Any town, State
Any town, State
Any town, State
Any town, State
Any city, Country
Any town, State
Any town, State

Component and Subcomponent
Material Costs
U.S.

$20,000.00
$30,000.00
$60,000.00
$0.00
$105,000.00
$3,000.00
$218,000.00

Foreign

$0.00
$0.00
$0.00
$85,000.00
$0.00
$0.00
$85,000.00

Subcomponent % of Component
and Component Total %
U.S.

Foreign

6.6%
9.9%
19.8%
0.0%
34.7%
1.0%
71.9%

0.0%
0.0%
0.0%
28.1%
0.0%
0.0%
28.1%

$303,000.00

Any city, Country
Any town, State
Any town, State
Any city, Country
Any city, Country
Any city, Country
Any city, Country
Any city, Country
Any city, Country

$50,000.00
$10,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00

$0.00
$0.00
$55,000.00
$25,000.00
$8,000.00
$9,000.00
$7,000.00
$3,000.00

29.9%
6.0%
0.0%
0.0%
0.0%
0.0%
0.0%
0.0%

0.0%
0.0%
32.9%
15.0%
4.8%
5.4%
4.2%
1.8%

$60,000.00

$107,000.00

35.9%

64.1%

$167,000.00

Any town, State
Any city, Country
Any town, State
Any city, Country
Any city, Country
Any town, State

$0.00
$15,000.00
$0.00
$0.00
$10,000.00
$25,000.00

$50,000.00
$0.00
$55,000.00
$25,000.00
$0.00
$130,000.00

$155,000.00

0.0%
9.7%
0.0%
0.0%
6.5%
16.1%

U.S. Content by Cost

Component % of Vehicle Material
Costs
Foreign Content by Cost

U.S.

Foreign

$303,000.00

$0.00

48.48%

0.00%

$60,000.00

$107,000.00

9.60%

37.92%

$25,000.00

$130,000.00

32.3%
0.0%
35.5%
16.1%
0.0%
83.9%

$388,000.00

$237,000.00

4.00%

20.80%

62.08%

37.92%

$625,000.00

For simplicity, the vehicle consists of three components, one of which is manufactured by the
bidder (i.e., the OEM), one is of foreign manufacture, and one is manufactured by a U.S.
supplier. Those cells that are colored gray or white are intended for input based on
documentation provided by the manufacturer. Other cells highlighted in yellow are calculated
based on the information input to the worksheet.
Component 1 is manufactured by the OEM, contains more than 60% domestic content by cost,
and is manufactured in the United States. Thus, the component is of domestic origin and the
entire cost of the component may be used to calculate the domestic content of the vehicle. 49
CFR § 661.11(g). Because Component 1 is manufactured by the OEM, the cost of the
component includes the labor and materials incorporated into the component, an allowance for
profit and the administrative and overhead costs attributable to that component or
subcomponent under normal accounting principles. 49 CFR § 661.11(m)(2)

38

The worksheet here reflects a domestic content requirement of more than 60%. Pursuant to 49 U.S.C.
5329(j)(2)(C), the domestic content percentage will increase starting in FY 2018. This worksheet provides
an example of calculating the percentage of domestic content and uses the greater than 60% domestic
content percentage requirement in place at the time of the FAST Act’s passage. The worksheet can be
modified to accommodate vehicles subject to higher domestic content.

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Component 2 is manufactured overseas, contains less than 60% domestic content, and the U.S.
subcomponents contained in the component received a tariff exemption. Thus, the U.S.
subcomponents retain their domestic identity and can be included in the calculation of the
domestic content of the vehicle. The manufacturing and transportation costs are included in
calculating the cost of the foreign component. 49 CFR § 661.11(i), (m)(1).
Component 3 is manufactured in the U.S., but contains less than 60% domestic content. If a
component is manufactured in the United States, but contains less than 60 percent domestic
subcomponents, by cost, the cost of the domestic subcomponents and the cost of
manufacturing the component may be included in the calculation of the domestic content of the
end product. 49 CFR § 661.11(l).
STEP 1
In Component/Subcomponent column, fill in all vehicle components. The list of items that
typically would be considered components of rolling stock identified in Appendices B and C to
49 CFR part § 661.11 is not all-inclusive. Identify components and subcomponents by name
and/or part number traceable to the procurement. For each component, fill in the corresponding
subcomponents as applicable. Identify subcomponents as separate line items. For components
manufactured by the OEM, include a line for OEM labor/overhead/profit per section
661.11(m)(2).
In Supplier Name column, fill in supplier’s name for each component and
corresponding subcomponent(s).
Component /Subcomponent
Component

Component 1
Component 1
Subcomponent 1.1
Subcomponent 1.2
Subcomponent 1.3
Subcomponent 1.4
Subcomponent 1.5
OEM Labor/Overhead/profit
Component 1 - U.S. & Foreign Costs Subtotal
Component 1 Total Cost
Component 2
Component 2
Subcomponent 2.1
Subcomponent 2.2
Subcomponent 2.3
Subcomponent 2.4
Subcomponent 2.5
Subcomponent 2.6
Foreign Component manuf cost
Foreign Component transp cost

Manufacturing
Location

Supplier Name

(U.S. or Foreign)

OEM
OEM
OEM
Sub Supplier 1.3
Sub Supplier 1.3
Sub Suppler 1.5
OEM

U.S.
U.S.
U.S.
U.S.
Foreign
U.S.
U.S.

per 49 CFR § 661.11(m)(2)

Component Supplier
Sub Supplier 2.1
Sub Supplier 2.2
Sub Supplier 2.3
Sub Supplier 2.3
Sub Supplier 2.4
Sub Supplier 2.5
Component Supplier
Component Supplier

Foreign
U.S. w/tariff exempt
U.S. w/tariff exempt
Foreign
Foreign
Foreign
Foreign
Foreign
Foreign

Component 2 - U.S. & Foreign Costs Subtotal
Component 2 Total Cost per 49 CFR § 661.11(m)(1)
Component 3
Component 3
Subcomponent 3.1
Subcomponent 3.2
Subcomponent 3.3
Subcomponent 3.4
U.S. Component manufacturing costs
Component 3 - U.S. & Foreign Costs Subtotal
Component 3 Total Cost

Component Supplier
Sub Supplier 3.1
Sub Supplier 3.2
Sub Supplier 3.3
Sub Supplier 3.4
Component Supplier

U.S.
Foreign
U.S.
Foreign
Foreign
U.S.

per 49 CFR § 661.11(l) and (m)(1)

Vehicle Material Subtotals -- U.S. & Foreign
Vehicle Material Total Cost (Total Cost of all Components)

Manufacturing
Location
(if U.S. - City & State;
if Foreign - City &
Country)

Any town, State
Any town, State
Any town, State
Any town, State
Any city, Country
Any town, State
Any town, State

Component and Subcomponent
Material Costs
U.S.

$20,000.00
$30,000.00
$60,000.00
$0.00
$105,000.00
$3,000.00
$218,000.00

Foreign

$0.00
$0.00
$0.00
$85,000.00
$0.00
$0.00
$85,000.00

Subcomponent % of Component
and Component Total %
U.S.

Foreign

6.6%
9.9%
19.8%
0.0%
34.7%
1.0%
71.9%

0.0%
0.0%
0.0%
28.1%
0.0%
0.0%
28.1%

$303,000.00

Any city, Country
Any town, State
Any town, State
Any city, Country
Any city, Country
Any city, Country
Any city, Country
Any city, Country
Any city, Country

$50,000.00
$10,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00

$0.00
$0.00
$55,000.00
$25,000.00
$8,000.00
$9,000.00
$7,000.00
$3,000.00

29.9%
6.0%
0.0%
0.0%
0.0%
0.0%
0.0%
0.0%

0.0%
0.0%
32.9%
15.0%
4.8%
5.4%
4.2%
1.8%

$60,000.00

$107,000.00

35.9%

64.1%

$167,000.00

Any town, State
Any city, Country
Any town, State
Any city, Country
Any city, Country
Any town, State

$0.00
$15,000.00
$0.00
$0.00
$10,000.00
$25,000.00

$50,000.00
$0.00
$55,000.00
$25,000.00
$0.00
$130,000.00

$155,000.00

0.0%
9.7%
0.0%
0.0%
6.5%
16.1%

U.S. Content by Cost

Component % of Vehicle Material
Costs
Foreign Content by Cost

U.S.

Foreign

$303,000.00

$0.00

48.48%

0.00%

$60,000.00

$107,000.00

9.60%

37.92%

$25,000.00

$130,000.00

4.00%

20.80%

62.08%

37.92%

32.3%
0.0%
35.5%
16.1%
0.0%
83.9%

$388,000.00

$237,000.00

$625,000.00

FEDERAL TRANSIT ADMINISTRATION

40

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DOMESTIC CONTENT CALCULATIONS

STEP 2
In the first Manufacturing Location column, for each component enter U.S. or Foreign. For each
subcomponent, enter U.S., U.S. with tariff exemption, or Foreign.
Component /Subcomponent
Component

Component 1
Component 1
Subcomponent 1.1
Subcomponent 1.2
Subcomponent 1.3
Subcomponent 1.4
Subcomponent 1.5
OEM Labor/Overhead/profit
Component 1 - U.S. & Foreign Costs Subtotal
Component 1 Total Cost

Manufacturing
Location

Supplier Name

(U.S. or Foreign)

OEM
OEM
OEM
Sub Supplier 1.3
Sub Supplier 1.3
Sub Suppler 1.5
OEM

U.S.
U.S.
U.S.
U.S.
Foreign
U.S.
U.S.

per 49 CFR § 661.11(m)(2)

Manufacturing
Location
(if U.S. - City & State;
if Foreign - City &
Country)

Any town, State
Any town, State
Any town, State
Any town, State
Any city, Country
Any town, State
Any town, State

Component and Subcomponent
Material Costs
U.S.

$20,000.00
$30,000.00
$60,000.00
$0.00
$105,000.00
$3,000.00
$218,000.00

Foreign

$0.00
$0.00
$0.00
$85,000.00
$0.00
$0.00
$85,000.00

Subcomponent % of Component
and Component Total %
U.S.

Foreign

6.6%
9.9%
19.8%
0.0%
34.7%
1.0%
71.9%

0.0%
0.0%
0.0%
28.1%
0.0%
0.0%
28.1%

$303,000.00

U.S. Content by Cost Foreign Content by Cost

$303,000.00

$0.00

Component % of Vehicle Material
Costs
U.S.

Foreign

48.48%

0.00%

STEP 3
In the second Manufacturing Location column for each component and corresponding
subcomponent(s), fill in the City and State for U.S. or the City and Country for Foreign.
Component /Subcomponent
Component

Component 1
Component 1
Subcomponent 1.1
Subcomponent 1.2
Subcomponent 1.3
Subcomponent 1.4
Subcomponent 1.5
OEM Labor/Overhead/profit
Component 1 - U.S. & Foreign Costs Subtotal
Component 1 Total Cost

Manufacturing
Location

Supplier Name

(U.S. or Foreign)

OEM
OEM
OEM
Sub Supplier 1.3
Sub Supplier 1.3
Sub Suppler 1.5
OEM

U.S.
U.S.
U.S.
U.S.
Foreign
U.S.
U.S.

per 49 CFR § 661.11(m)(2)

Manufacturing
Location
(if U.S. - City & State;
if Foreign - City &
Country)

Any town, State
Any town, State
Any town, State
Any town, State
Any city, Country
Any town, State
Any town, State
$303,000.00

Component and Subcomponent
Material Costs
U.S.

$20,000.00
$30,000.00
$60,000.00
$0.00
$105,000.00
$3,000.00
$218,000.00

Foreign

$0.00
$0.00
$0.00
$85,000.00
$0.00
$0.00
$85,000.00

Subcomponent % of Component
and Component Total %
U.S.

Foreign

6.6%
9.9%
19.8%
0.0%
34.7%
1.0%
71.9%

0.0%
0.0%
0.0%
28.1%
0.0%
0.0%
28.1%

U.S. Content by Cost

$303,000.00

Component % of Vehicle Material
Costs
Foreign Content by Cost

$0.00

U.S.

Foreign

48.48%

0.00%

STEP 4
In Component Total Cost row, fill in the component total cost. If the component was
manufactured by the OEM, the cost of the component will include an allowance for profit and the
administrative and overhead costs attributable to that component under normal accounting
principles. 49 CFR § 661.11(m)(2). If the component was manufactured by a third-party
supplier, then the component total cost is the actual cost of component. If the component is
manufactured overseas, the cost of the component is what the OEM pays for it, plus
transportation costs to the final assembly location. 49 CFR § 661.11(m)(1). If a component is
manufactured in the United States, but contains less than the minimum domestic content, by
cost, the cost of the domestic subcomponents and the cost of manufacturing the component
may be included in the calculation of the domestic content of the end product. 49 CFR §
661.11(l).

FEDERAL TRANSIT ADMINISTRATION

41

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Component /Subcomponent
Component

Component 1
Component 1
Subcomponent 1.1
Subcomponent 1.2
Subcomponent 1.3
Subcomponent 1.4
Subcomponent 1.5
OEM Labor/Overhead/profit
Component 1 - U.S. & Foreign Costs Subtotal
Component 1 Total Cost

Manufacturing
Location

Supplier Name

(U.S. or Foreign)

OEM
OEM
OEM
Sub Supplier 1.3
Sub Supplier 1.3
Sub Suppler 1.5
OEM

U.S.
U.S.
U.S.
U.S.
Foreign
U.S.
U.S.

per 49 CFR § 661.11(m)(2)

DOMESTIC CONTENT CALCULATIONS

Component and Subcomponent
Material Costs

Manufacturing
Location
(if U.S. - City & State;
if Foreign - City &
Country)

U.S.

Any town, State
Any town, State
Any town, State
Any town, State
Any city, Country
Any town, State
Any town, State

$20,000.00
$30,000.00
$60,000.00
$0.00
$105,000.00
$3,000.00
$218,000.00

Foreign

$0.00
$0.00
$0.00
$85,000.00
$0.00
$0.00
$85,000.00

Subcomponent % of Component
and Component Total %
U.S.

Foreign

6.6%
9.9%
19.8%
0.0%
34.7%
1.0%
71.9%

0.0%
0.0%
0.0%
28.1%
0.0%
0.0%
28.1%

$303,000.00

U.S. Content by Cost

$303,000.00

Component % of Vehicle Material
Costs
Foreign Content by Cost

$0.00

U.S.

Foreign

48.48%

0.00%

STEP 5
In Component and Subcomponent Material Costs columns:
a) For each component, enter the dollar amount of the corresponding subcomponent(s)
under the U.S. and Foreign sub-columns, on the designated row(s). The cost of each
subcomponent is the price the OEM must pay to a subcontractor or supplier for that
subcomponent. Transportation costs to the final assembly location must be included in
calculating the cost of foreign subcomponents. 49 CFR § 661.11(m)(1). If a component
or subcomponent is manufactured by the bidder or offeror, an allowance for profit, and
the administrative and overhead costs attributable to that component or subcomponent
under normal accounting principles may be included. 49 CFR § 661.11(m)(2)
Component /Subcomponent
Component

Component 1
Component 1
Subcomponent 1.1
Subcomponent 1.2
Subcomponent 1.3
Subcomponent 1.4
Subcomponent 1.5
OEM Labor/Overhead/profit
Component 1 - U.S. & Foreign Costs Subtotal
Component 1 Total Cost

Manufacturing
Location

Supplier Name

(U.S. or Foreign)

OEM
OEM
OEM
Sub Supplier 1.3
Sub Supplier 1.3
Sub Suppler 1.5
OEM

U.S.
U.S.
U.S.
U.S.
Foreign
U.S.
U.S.

per 49 CFR § 661.11(m)(2)

Component and Subcomponent
Material Costs

Manufacturing
Location
(if U.S. - City & State;
if Foreign - City &
Country)

U.S.

Any town, State
Any town, State
Any town, State
Any town, State
Any city, Country
Any town, State
Any town, State

$20,000.00
$30,000.00
$60,000.00
$0.00
$105,000.00
$3,000.00
$218,000.00

Foreign

$0.00
$0.00
$0.00
$85,000.00
$0.00
$0.00
$85,000.00

Subcomponent % of Component
and Component Total %
U.S.

Foreign

6.6%
9.9%
19.8%
0.0%
34.7%
1.0%
71.9%

0.0%
0.0%
0.0%
28.1%
0.0%
0.0%
28.1%

$303,000.00

U.S. Content by Cost

$303,000.00

Component % of Vehicle Material
Costs
Foreign Content by Cost

$0.00

U.S.

Foreign

48.48%

0.00%

b) Compute the material subtotal cost for each component by adding the cost of all of its
U.S. and Foreign corresponding subcomponents, and enter on the row designated
Component Material Subtotal under the U.S. and Foreign sub-columns as applicable.
Component /Subcomponent
Component

Component 1
Component 1
Subcomponent 1.1
Subcomponent 1.2
Subcomponent 1.3
Subcomponent 1.4
Subcomponent 1.5
OEM Labor/Overhead/profit
Component 1 - U.S. & Foreign Costs Subtotal
Component 1 Total Cost

Manufacturing
Location

Supplier Name

(U.S. or Foreign)

OEM
OEM
OEM
Sub Supplier 1.3
Sub Supplier 1.3
Sub Suppler 1.5
OEM

U.S.
U.S.
U.S.
U.S.
Foreign
U.S.
U.S.

per 49 CFR § 661.11(m)(2)

Component and Subcomponent
Material Costs

Manufacturing
Location
(if U.S. - City & State;
if Foreign - City &
Country)

U.S.

Any town, State
Any town, State
Any town, State
Any town, State
Any city, Country
Any town, State
Any town, State
$303,000.00

$20,000.00
$30,000.00
$60,000.00
$0.00
$105,000.00
$3,000.00
$218,000.00

Foreign

$0.00
$0.00
$0.00
$85,000.00
$0.00
$0.00
$85,000.00

Subcomponent % of Component
and Component Total %
U.S.

Foreign

6.6%
9.9%
19.8%
0.0%
34.7%
1.0%
71.9%

0.0%
0.0%
0.0%
28.1%
0.0%
0.0%
28.1%

U.S. Content by Cost

$303,000.00

Component % of Vehicle Material
Costs
Foreign Content by Cost

$0.00

FEDERAL TRANSIT ADMINISTRATION

U.S.

Foreign

48.48%

0.00%

42

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DOMESTIC CONTENT CALCULATIONS

STEP 6
In Subcomponent % of Component and Component Total % columns:
a) For each component, compute the material cost percentage of each of its U.S. and
Foreign corresponding subcomponents, and enter on the designated rows under U.S.
and Foreign sub-columns as applicable. This percentage is calculated by taking the cost
of the subcomponent and dividing it by the total cost of the component.
Subcomponent Domestic Content
Calculation

Subcomponent Foreign Content
Calculation

$20,000 (Subcomponent 1.1)

$85,000 (Subcomponent 1.4)

$303,000 (Component 1 Material
Subtotal)

$303,000 (Component 1 Material
Subtotal)

6.6% U.S. Domestic Content

28.1% Foreign Content

b) Calculate the total percentage by cost of U.S. content by dividing the U.S.
Subcomponents Subtotal into Component Total Cost. Calculate the total percentage by
cost of foreign content by dividing the Foreign Subcomponents Subtotal into Component
Total Cost. These two numbers should total 100%.
Total Domestic Content Calculation

Total Foreign Content Calculation

$218,000 (U.S. Subcomponents Subtotal)

$85,000 (Foreign Subcomponents Subtotal)

$303,000 (Component 1 Material Subtotal)

$303,000 (Component 1 Material Subtotal)

71.9% U.S. Domestic Content

28.1% Foreign Content

FEDERAL TRANSIT ADMINISTRATION

43

4

Component /Subcomponent
Component

Component 1
Component 1
Subcomponent 1.1
Subcomponent 1.2
Subcomponent 1.3
Subcomponent 1.4
Subcomponent 1.5
OEM Labor/Overhead/profit
Component 1 - U.S. & Foreign Costs Subtotal
Component 1 Total Cost

Manufacturing
Location

Supplier Name

(U.S. or Foreign)

OEM
OEM
OEM
Sub Supplier 1.3
Sub Supplier 1.3
Sub Suppler 1.5
OEM

U.S.
U.S.
U.S.
U.S.
Foreign
U.S.
U.S.

per 49 CFR § 661.11(m)(2)

Manufacturing
Location
(if U.S. - City & State;
if Foreign - City &
Country)

Any town, State
Any town, State
Any town, State
Any town, State
Any city, Country
Any town, State
Any town, State

DOMESTIC CONTENT CALCULATIONS

Component and Subcomponent
Material Costs
U.S.

$20,000.00
$30,000.00
$60,000.00
$0.00
$105,000.00
$3,000.00
$218,000.00

Foreign

$0.00
$0.00
$0.00
$85,000.00
$0.00
$0.00
$85,000.00

Subcomponent % of Component
and Component Total %
U.S.

Foreign

6.6%
9.9%
19.8%
0.0%
34.7%
1.0%
71.9%

0.0%
0.0%
0.0%
28.1%
0.0%
0.0%
28.1%

$303,000.00

U.S. Content by Cost Foreign Content by Cost

$303,000.00

$0.00

Component % of Vehicle Material
Costs
U.S.

Foreign

48.48%

0.00%

STEP 7
In U.S. Content by Cost column and on the row designated Component 1 Total Cost for each
component, enter the total U.S. and Foreign material costs for that component.
a) If the component is of domestic origin (manufactured in the U.S.) and its subcomponents
equal the required minimum percentage (U.S. content >60% (or 65% in FY 18 and 19, or
70% in FY20), the whole component by cost is domestic.
Component /Subcomponent
Component

Component 1
Component 1
Subcomponent 1.1
Subcomponent 1.2
Subcomponent 1.3
Subcomponent 1.4
Subcomponent 1.5
OEM Labor/Overhead/profit
Component 1 - U.S. & Foreign Costs Subtotal
Component 1 Total Cost

Manufacturing
Location

Supplier Name

(U.S. or Foreign)

OEM
OEM
OEM
Sub Supplier 1.3
Sub Supplier 1.3
Sub Suppler 1.5
OEM

U.S.
U.S.
U.S.
U.S.
Foreign
U.S.
U.S.

per 49 CFR § 661.11(m)(2)

Manufacturing
Location
(if U.S. - City & State;
if Foreign - City &
Country)

Any town, State
Any town, State
Any town, State
Any town, State
Any city, Country
Any town, State
Any town, State

Component and Subcomponent
Material Costs
U.S.

$20,000.00
$30,000.00
$60,000.00
$0.00
$105,000.00
$3,000.00
$218,000.00

Foreign

$0.00
$0.00
$0.00
$85,000.00
$0.00
$0.00
$85,000.00

Subcomponent % of Component
and Component Total %
U.S.

Foreign

6.6%
9.9%
19.8%
0.0%
34.7%
1.0%
71.9%

0.0%
0.0%
0.0%
28.1%
0.0%
0.0%
28.1%

$303,000.00

U.S. Content by Cost

$303,000.00

Component % of Vehicle Material
Costs
Foreign Content by Cost

$0.00

U.S.

Foreign

48.48%

0.00%

b) If the component is domestic and its subcomponents contain less than the required
domestic minimum percentage, then add the total of only U.S. subcomponent material
costs as well as the cost to manufacture the component, on the row Component 3-U.S.
& Foreign Costs Subtotal to the column U.S. Content by Cost;
Component /Subcomponent
Component

Component 3
Component 3
Subcomponent 3.1
Subcomponent 3.2
Subcomponent 3.3
Subcomponent 3.4
U.S. Component manufacturing costs
Component 3 - U.S. & Foreign Costs Subtotal
Component 3 Total Cost

Supplier Name

Manufacturing
Location
(U.S. or Foreign)

Component Supplier
Sub Supplier 3.1
Sub Supplier 3.2
Sub Supplier 3.3
Sub Supplier 3.4
Component Supplier

U.S.
Foreign
U.S.
Foreign
Foreign
U.S.

per 49 CFR § 661.11(l) and (m)(1)

Manufacturing
Location
(if U.S. - City & State;
if Foreign - City &
Country)

Any town, State
Any city, Country
Any town, State
Any city, Country
Any city, Country
Any town, State
$155,000.00

Component and Subcomponent
Material Costs
U.S.

$0.00
$15,000.00
$0.00
$0.00
$10,000.00
$25,000.00

Foreign

$50,000.00
$0.00
$55,000.00
$25,000.00
$0.00
$130,000.00

Subcomponent % of Component
and Component Total %
U.S.

Foreign

0.0%
9.7%
0.0%
0.0%
6.5%
16.1%

32.3%
0.0%
35.5%
16.1%
0.0%
83.9%

U.S. Content by Cost

$25,000.00

Component % of Vehicle Material
Costs
Foreign Content by Cost

$130,000.00

FEDERAL TRANSIT ADMINISTRATION

U.S.

Foreign

4.00%

20.80%

44

4

DOMESTIC CONTENT CALCULATIONS

c) If the component is foreign and the U.S. subcomponents being incorporated into the
foreign component receive a tariff exemption, 39 then add the total of only U.S.
subcomponent material costs on the row Component 2 Material Subtotal, to the column
U.S. Content by Cost.
Component /Subcomponent

Manufacturing
Location

Supplier Name

Component

Component 2
Component 2
Subcomponent 2.1
Subcomponent 2.2
Subcomponent 2.3
Subcomponent 2.4
Subcomponent 2.5
Subcomponent 2.6
Foreign Component manuf cost
Foreign Component transp cost

Component Supplier
Sub Supplier 2.1
Sub Supplier 2.2
Sub Supplier 2.3
Sub Supplier 2.3
Sub Supplier 2.4
Sub Supplier 2.5
Component Supplier
Component Supplier

Manufacturing
Location

(U.S. or Foreign)

(if U.S. - City & State;
if Foreign - City &
Country)

Foreign
U.S. w/tariff exempt
U.S. w/tariff exempt
Foreign
Foreign
Foreign
Foreign
Foreign
Foreign

Any city, Country
Any town, State
Any town, State
Any city, Country
Any city, Country
Any city, Country
Any city, Country
Any city, Country
Any city, Country

Component 2 - U.S. & Foreign Costs Subtotal
Component 2 Total Cost per 49 CFR § 661.11(m)(1)

Component and Subcomponent
Material Costs
U.S.

Foreign

Subcomponent % of Component
and Component Total %
U.S.

Foreign

$50,000.00
$10,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00

$0.00
$0.00
$55,000.00
$25,000.00
$8,000.00
$9,000.00
$7,000.00
$3,000.00

29.9%
6.0%
0.0%
0.0%
0.0%
0.0%
0.0%
0.0%

0.0%
0.0%
32.9%
15.0%
4.8%
5.4%
4.2%
1.8%

$60,000.00

$107,000.00

35.9%

64.1%

U.S. Content by Cost

$60,000.00

$167,000.00

Component % of Vehicle Material
Costs
Foreign Content by Cost

$107,000.00

U.S.

Foreign

9.60%

37.92%

STEP 8
In Component % of Vehicle columns under U.S. and Foreign sub-columns, for each component,
enter its U.S. and Foreign material cost percentage in relation to the total vehicle content
percentage on the row designated Vehicle Material Total Cost under U.S. and Foreign subcolumns as applicable. Calculate the percentage as follows:
a) If the component is of domestic origin and the minimimum percentage of the
subcomponents of that component by cost are domestic, then divide the cost
on the row designated U.S. Content into the row designated Vehicle Material
Total Cost. There will only be an entry for the Component % of Vehicle
columns under the U.S. sub-column. The Foreign sub-column should record
zero percentage.
Component 1Total Cost

$303,000

Vehicle Material Total Cost

$625,000

U.S. Component % of Vehicle

39

48.48%

For more information on tariff exemptions see 49 CFR § 661.11(i).

FEDERAL TRANSIT ADMINISTRATION

45

4

Component /Subcomponent

Manufacturing
Location

Supplier Name

Component

(U.S. or Foreign)

Component 1
Component 1
Subcomponent 1.1
Subcomponent 1.2
Subcomponent 1.3
Subcomponent 1.4
Subcomponent 1.5
OEM Labor/Overhead/profit
Component 1 - U.S. & Foreign Costs Subtotal
Component 1 Total Cost

OEM
OEM
OEM
Sub Supplier 1.3
Sub Supplier 1.3
Sub Suppler 1.5
OEM

U.S.
U.S.
U.S.
U.S.
Foreign
U.S.
U.S.

per 49 CFR § 661.11(m)(2)

Manufacturing
Location
(if U.S. - City & State;
if Foreign - City &
Country)

Any town, State
Any town, State
Any town, State
Any town, State
Any city, Country
Any town, State
Any town, State

DOMESTIC CONTENT CALCULATIONS

Component and Subcomponent
Material Costs
U.S.

$20,000.00
$30,000.00
$60,000.00
$0.00
$105,000.00
$3,000.00
$218,000.00

Foreign

$0.00
$0.00
$0.00
$85,000.00
$0.00
$0.00
$85,000.00

Subcomponent % of Component
and Component Total %
U.S.

Foreign

6.6%
9.9%
19.8%
0.0%
34.7%
1.0%
71.9%

0.0%
0.0%
0.0%
28.1%
0.0%
0.0%
28.1%

$303,000.00

Vehicle Material Total Cost (Total Cost of all Components)

U.S. Content by Cost

Component % of Vehicle Material
Costs
Foreign Content by Cost

$303,000.00

$0.00

U.S.

Foreign

48.48%

0.00%

$625,000.00

b) If the component is domestic and contains less than the required minimum
domestic components by cost, you will need to calculate the total percentage
of domestic and foreign content. divide the cost on the row designated U.S.
Content into row designated Vehicle Material Total Cost.
Total Domestic Content Calculation

Total Foreign Content Calculation

$25,000 (U.S. Subcomponents Subtotal)

$130,000 (Foreign Subcomponents Subtotal)

$625,000 (Vehicle Material Total Cost)

$625,000(Vehicle Material Total Cost)

4.0% U.S. Domestic Content

20.80% Foreign Content

Component /Subcomponent
Component

Component 3
Component 3
Subcomponent 3.1
Subcomponent 3.2
Subcomponent 3.3
Subcomponent 3.4
U.S. Component manufacturing costs
Component 3 - U.S. & Foreign Costs Subtotal
Component 3 Total Cost

Supplier Name

Manufacturing
Location
(U.S. or Foreign)

Component Supplier
Sub Supplier 3.1
Sub Supplier 3.2
Sub Supplier 3.3
Sub Supplier 3.4
Component Supplier

U.S.
Foreign
U.S.
Foreign
Foreign
U.S.

per 49 CFR § 661.11(l) and (m)(1)

Vehicle Material Total Cost (Total Cost of all Components)

Manufacturing
Location
(if U.S. - City & State;
if Foreign - City &
Country)

Any town, State
Any city, Country
Any town, State
Any city, Country
Any city, Country
Any town, State

Component and Subcomponent
Material Costs
U.S.

$0.00
$15,000.00
$0.00
$0.00
$10,000.00
$25,000.00

Foreign

$50,000.00
$0.00
$55,000.00
$25,000.00
$0.00
$130,000.00

$155,000.00

Subcomponent % of Component
and Component Total %
U.S.

Foreign

0.0%
9.7%
0.0%
0.0%
6.5%
16.1%

32.3%
0.0%
35.5%
16.1%
0.0%
83.9%

U.S. Content by Cost

$25,000.00

Component % of Vehicle Material
Costs
Foreign Content by Cost

$130,000.00

U.S.

Foreign

4.00%

20.80%

$625,000.00

STEP 9
Add up all the percentages in the column Component % of Vehicle Material and the
corresponding U.S. and Foreign sub-columns to determine the overall domestic content of the
vehicle.

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4

Component /Subcomponent
Component

Manufacturing
Location

Supplier Name

(U.S. or Foreign)

Component 1
Component 1
Subcomponent 1.1
Subcomponent 1.2
Subcomponent 1.3
Subcomponent 1.4
Subcomponent 1.5
OEM Labor/Overhead/profit
Component 1 - U.S. & Foreign Costs Subtotal
Component 1 Total Cost

per 49 CFR § 661.11(m)(2)

Component 2
Component 2
Subcomponent 2.1
Subcomponent 2.2
Subcomponent 2.3
Subcomponent 2.4
Subcomponent 2.5
Subcomponent 2.6
Foreign Component manuf cost
Foreign Component transp cost

Component Supplier
Sub Supplier 2.1
Sub Supplier 2.2
Sub Supplier 2.3
Sub Supplier 2.3
Sub Supplier 2.4
Sub Supplier 2.5
Component Supplier
Component Supplier

OEM
OEM
OEM
Sub Supplier 1.3
Sub Supplier 1.3
Sub Suppler 1.5
OEM

U.S.
U.S.
U.S.
U.S.
Foreign
U.S.
U.S.

Foreign
U.S. w/tariff exempt
U.S. w/tariff exempt
Foreign
Foreign
Foreign
Foreign
Foreign
Foreign

Component 2 - U.S. & Foreign Costs Subtotal
Component 2 Total Cost per 49 CFR § 661.11(m)(1)
Component 3
Component 3
Subcomponent 3.1
Subcomponent 3.2
Subcomponent 3.3
Subcomponent 3.4
U.S. Component manufacturing costs
Component 3 - U.S. & Foreign Costs Subtotal
Component 3 Total Cost

Component Supplier
Sub Supplier 3.1
Sub Supplier 3.2
Sub Supplier 3.3
Sub Supplier 3.4
Component Supplier

U.S.
Foreign
U.S.
Foreign
Foreign
U.S.

per 49 CFR § 661.11(l) and (m)(1)

DOMESTIC CONTENT CALCULATIONS

Component and Subcomponent
Material Costs

Manufacturing
Location
(if U.S. - City & State;
if Foreign - City &
Country)

U.S.

Any town, State
Any town, State
Any town, State
Any town, State
Any city, Country
Any town, State
Any town, State

$20,000.00
$30,000.00
$60,000.00
$0.00
$105,000.00
$3,000.00
$218,000.00

Foreign

$0.00
$0.00
$0.00
$85,000.00
$0.00
$0.00
$85,000.00

Subcomponent % of Component
and Component Total %
U.S.

Foreign

6.6%
9.9%
19.8%
0.0%
34.7%
1.0%
71.9%

0.0%
0.0%
0.0%
28.1%
0.0%
0.0%
28.1%

$303,000.00

Any city, Country
Any town, State
Any town, State
Any city, Country
Any city, Country
Any city, Country
Any city, Country
Any city, Country
Any city, Country

$50,000.00
$10,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00

$0.00
$0.00
$55,000.00
$25,000.00
$8,000.00
$9,000.00
$7,000.00
$3,000.00

29.9%
6.0%
0.0%
0.0%
0.0%
0.0%
0.0%
0.0%

0.0%
0.0%
32.9%
15.0%
4.8%
5.4%
4.2%
1.8%

$60,000.00

$107,000.00

35.9%

64.1%

$167,000.00

Any town, State
Any city, Country
Any town, State
Any city, Country
Any city, Country
Any town, State

$0.00
$15,000.00
$0.00
$0.00
$10,000.00
$25,000.00

$50,000.00
$0.00
$55,000.00
$25,000.00
$0.00
$130,000.00

$155,000.00

Vehicle Material Subtotals -- U.S. & Foreign
Vehicle Material Total Cost (Total Cost of all Components)

0.0%
9.7%
0.0%
0.0%
6.5%
16.1%

U.S. Content by Cost

Component % of Vehicle Material
Costs
Foreign Content by Cost

U.S.

Foreign

$303,000.00

$0.00

48.48%

0.00%

$60,000.00

$107,000.00

9.60%

37.92%

$25,000.00

$130,000.00

32.3%
0.0%
35.5%
16.1%
0.0%
83.9%

$388,000.00

$237,000.00

4.00%

20.80%

62.08%

37.92%

$625,000.00

4.4. Special Considerations

This section discusses the best practices for special considerations encountered in the domestic
content calculations.

4.4.1. Exchange Rates
The Buy America rule 49 CFR § 661.11(n) states “The cost of a component of foreign origin is
set using the foreign exchange rate at the time the bidder or offeror executes the appropriate
Buy America certificate.” The manufacturer will also use the same exchange rate(s) to calculate
the foreign component cost for the post-delivery audit and submit to the recipient’s auditor for
verification.

4.4.2. Transportation Costs
Transportation costs to the U.S. final assembly location must be included in calculating the cost
of foreign components and foreign subcomponents.
For components/subcomponents
manufactured outside the U.S., the cost for transportation must be included in the foreign
content total (even if a U.S. shipping company or vessel is used). 40

4.4.3. Tariff Exemptions
40

49 CFR § 661.11(m)(1).

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DOMESTIC CONTENT CALCULATIONS

If a tariff exemption is claimed for U.S. subcomponents of foreign manufactured components,
the manufacturer must keep on file, for review by an auditor, proof of the tariff exemption for
such items, in accordance with 49 CFR § 661.11(i) and (j). In turn, this requirement refers to the
U.S. Code Harmonized Tariff Schedule in 19 U.S.C. 1202, which requires specific declarations/
forms.
In the event these declarations and/or forms may be difficult to acquire for a Buy America audit,
the auditor may accept alternate form(s) of documentation, which proves that the duty was not
paid. These may include NAFTA affidavits, Purchase Orders, or letters/emails from responsible
parties.

4.5. Manufacturer Documentation

The recipient’s final pre-award and post-delivery audit reports will not include confidential and
proprietary information shared with the recipient or its auditor. Rather, the report is likely to
include a list of components and their domestic content as a percentage. However,
manufacturers should be mindful that FTA may audit a rolling stock’s procurment’s compliance
with Buy America. Therefore, it is a best practice for manufacturers to maintain detailed records
of the information and documentation shared with the recipient, particularly for the post-delivery
audit.
Another best practice is for the manufacturer to require its suppliers to complete a Buy America
Supplier Certificate for any item for which domestic content is being claimed. Appendix B.5
provides a sample Supplier Buy America Certification template for bus and rail vehicles. The
Buy America Supplier Certificate is the supplier’s certification of its domestic content and U.S.
manufacturing for the products being provided for this procurement.
The instructions for completing the certification are as follows:

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DOMESTIC CONTENT CALCULATIONS

STEP 1
Fill in the supplier’s contact information in the designated space at the top part of the form.

SAMPLE BUY AMERICA SUPPLIER CERTIFICATION
Supplier:

_______________________________________________________________________

Address:

_______________________________________________________________________

______________________________________________________________________

Phone:

________________________________

Fax:

Email:

_______________________________________________________________________

______________________________

STEP 2
Fill in the vehicle manufacturer’s name and vehicle/contract/purchase order number that
connects this certificate to the specific procurement project.
Vehicle
Manufacturer:

__________________________________________________________________

Vehicle/Contract/Purchase
Order:

__________________________________________________________

STEP 3
Identify which of the three calculation scenarios apply for each component by checking the
respective box.
a) Check the first box if the component is manufactured in the U.S. and the required
percentage of its subcomponents, by cost, are manufactured in the U.S. In this case,
100% of the cost of the component is domestic content.
b) Check the second box if the component is manufactured in the U.S. and less than the
required percentage of its subcomponents, by cost, are manufactured in the U.S. In this
case, the cost of the U.S. subcomponents and the manufacturing costs of the
component (considered to be the difference between the cost of the foreign
subcomponents and the total cost of the component) are included in the domestic
content calculation.
c) Check the third box if the component is NOT manufactured in the U.S. but does contain
U.S. subcomponents for which the supplier has documentation showing tariff exemption.
In this case, the cost to manufacture the component and transportation costs to the final
assembly location must be included in the foreign content calculation.

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DOMESTIC CONTENT CALCULATIONS

Calculate the cost of U.S. subcomponents by dividing the cost of U.S. subcomponents by
the cost of all subcomponents for each component. Use extra pages as needed to cover all
components and subcomponents in the supplier’s scope of provision.
This certifies the Supplier’s status of compliance with FTA Buy America Regulations set forth in
49 C.F.R § 661.11.
For each component supplied for the Contract, the Supplier attests that (CHECK ONE BOX):
More than the required percentage of the subcomponents, by cost, are of U.S.
origin/manufacture, and the component is manufactured in the U.S. The Supplier attests that
the U.S. content of subcomponents, by cost, is as indicated below.
Less than the required percentage of the subcomponents, by cost, are of U.S.
origin/manufacture, and the component is manufactured in the U.S. (in such case, the cost of
U.S. subcomponents and cost of U.S. manufacturing labor are eligible for inclusion towards
domestic content calculations). The Supplier attests that the U.S. content of subcomponents,
by cost, is as indicated below.
The component contains subcomponents of domestic origin, the component is NOT
manufactured in the U.S., and the supplier has documentation showing a tariff exemption (in
such case, the cost of U.S. subcomponents are eligible for inclusion towards domestic content
calculations). The Supplier attests that the U.S. content of subcomponents, by cost, is as
indicated below.

STEP 4
List each component and its subcomponents on the designated rows. Identify Components by
name and part number traceable to the subject procurement.
a) Indicate the manufacturing location for each component and subcomponent in the
designated space;
b) Indicate the component’s percentage of domestic subcomponents for each component
in the designated space;
c) Indicate each subcomponent’s percentage of the component’s domestic content in the
designated space; the sum of the domestic content percentages of all subcomponents
will add up to the total domestic content percentage of the component.
MANUFACTURING
LOCATION
[COMPONENT NAME]

[Location of
component]

individual

[SUBCOMPONENT NAME]
(use separate row for each
subcomponent)

[Location of individual
subcomponent]

% DOMESTIC
CONTENT

% FOREIGN
CONTENT

[Total domestic
content % of all
subcomponents]

[Total content % of
all subcomponents]

[Total domestic
content % of
individual
subcomponent]

[Total U.S. content
% of all
subcomponents]

Attach additional sheets as needed

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DOMESTIC CONTENT CALCULATIONS

STEP 5
Sign and date the form by an authorized official of the supplier. Print the name and title of the
signatory beneath the signature line.
Information on this form is subject to audit by the Purchaser (i.e., recipient of federal funds,
and/or by the FTA and/or its agents).

Date:

__________________________________________________________________________

Supplier Authorized Signature:
Print Name:
Title:

_____________________________________________________

_____________________________________________________________________

__________________________________________________________________________

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5.

Frequently Asked Questions

This section addresses some of the most frequently asked questions about pre-award and postdelivery audit. This guidance is for information only. The responses do not constitute a
determination of compliance with the Department of Transportation (DOT) rules and standards.

5.1. General

5.1.1. Who must conduct the pre-award and post-delivery audits?
The recipient, or auditor appointed by the recipient, must conduct the audits. The auditor may
not be an employee of the manufacturer or its agent. In many instances, a recipient will retain
the services of a consultant to conduct the audit.

5.1.2. When will the Buy America pre-award audit be conducted?
The law requires that the recipient must conduct a pre-award audit to confirm compliance with
Buy America regulations prior to award of the contract. The recipient’s executed Pre-award Buy
America certificate and Pre-award Purchaser’s Requirements certificate must be signed and
dated prior to contract award.

5.1.3. When will the Buy America post-delivery audit be conducted?
The recipient must conduct a post-delivery audit prior to transfer of title of the rolling stock, or
prior to the rolling stock being put into revenue service, whichever is first. The timing of the
post-delivery audit is typically identified in the contract documents. “A recipient purchasing
revenue service rolling stock with FTA funds must ensure that a post-delivery audit … is
complete before title to the rolling stock is transferred to the recipient.” 41 The post-delivery
audit will be performed on the first vehicle so as to quickly remedy any potential compliance
problems.
The recipient should consider several factors in determining the appropriate time to verify that
all material and work performed for the entire contract (including the last vehicle and all change
orders) meets the Buy America requirements. A post-delivery audit is performed just prior to the
transfer of title or entry into revenue service of the first vehicle, whichever comes first. For small
procurements with short post-delivery periods, an audit conducted at that time may be sufficient.
However, the recipient may consider whether an audit conducted on the first vehicle is sufficient
41

49 CFR § 663.31. In the definitions section, § 663.5 defines “post-delivery” as “the time period 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.”

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to verify the actual domestic material content for the entire order. Because the post-delivery
audit is conducted on the first vehicle, the recipient may need to conduct additional verifications
to confirm that the full order satisfies the Buy America requirements, particularly if there are
changes made in materials or scope after the first post-delivery audit. In certain cases,
particularly on large orders with multi-year delivery schedules, recipients may find it appropriate
to conduct Post-Delivery Domestic Content Monitoring as described in Section 3, to minimize
the risk that subsequent vehicles in the order do not meet Buy America Requirements.

5.1.4. Do pre-award and post-delivery audits have to be conducted for
procurements of support vehicles and wayside equipment?
No. The requirement to conduct pre-award and post-delivery audits only applies to rolling stock
intended to carry passengers in revenue service, which include buses, vans, cars, railcars,
locomotives, trolley cars and buses, ferry boats, and vehicles used for guideways and incline
planes (49 CFR §§ 663.3 and 663.5(e)). Support vehicles and wayside equipment must comply
with Buy America, but there is no requirement for pre-award and post-delivery audits.

5.1.5. Do support vehicles have to meet the minimum domestic content
requirement and final assembly in U.S.?
Yes. All rolling stock, including support vehicles, must meet the requirements of the Buy
America regulation, namely that final assembly of the rolling stock takes place in the United
States, and that greater than 60% (65% in FY18 and FY19, 70% in FY20) of the cost of all
components be U.S. manufactured.

5.2. Buy America Certification

5.2.1. Does a Buy America certification need to be conducted for every
procurement, 42 even if identical vehicles are being purchased
from the same contractor year after year?
Yes. A manufacturer’s past compliance with the Buy America rule does not mean that the
manufacturer's products will always be compliant.
Changes in design and technical
developments, as well as changing suppliers and scope of manufacturing and/or final assembly,
may make new products noncompliant. In the case that pre-award and post-delivery audits
have been conducted for a given vehicle, the same information may be used to demonstrate
compliance at a later date as long as it is verified and documented that there have been no
changes made affecting compliance since the last certification.

42

Refers to a single procurement (even if multi-year), a multi-state procurement, and/or multiple individual
procurements by several recipients or subrecipients.

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5.2.2. Is the domestic content threshold calculated as a percentage of
the total vehicle price?
No. The domestic content threshold is calculated as a percentage of the total cost of all
components, excluding the cost for final assembly of the vehicle. The cost of an individual
domestic component is the price a vehicle manufacturer pays a supplier for that domestic
component. For foreign components, the cost of the individual foreign component is the price a
vehicle manufacturer pays the foreign supplier for that individual foreign component, plus
transportation costs. 49 CFR § 661.11(m)(1).
All non-recurring expenses such as engineering, mockups, fixtures/tooling, spare parts,
manuals, and training also are excluded from the Buy America component calculations.

5.2.3. How is the origin of a component determined?
A component is considered to be of domestic origin if more than the required percentage, by
cost, of the subcomponents of that component are of domestic origin, and component
manufacturing takes place in the United States. If the component meets these requirements,
the entire cost of the component may be counted as domestic content in the Buy America
calculation of the vehicle.
The cost of an individual domestic subcomponent is the price a subcomponent manufacturer
pays a supplier for that domestic subcomponent. For foreign subcomponents, the cost of the
individual foreign subcomponent is the price a manufacturer pays the foreign supplier for that
foreign subcomponent plus transportation costs. 49 CFR § 661.11(m)(1).
A component may be manufactured at the final assembly location if the manufacturing process
to produce the component is an activity separate and distinct from the final assembly of the end
product. 49 CFR § 661.11(d).

5.2.4. How is the origin of a subcomponent determined?
Subcomponents manufactured in the United States are considered to be domestic.
Subcomponents manufactured in the United States and exported for inclusion in a component
manufactured outside the United States are considered to be of domestic origin if they received
a documented tariff exemption for importation back into the United States. If this is the case,
then the cost of the subcomponent may be included in the component’s domestic content
calculation. The cost of the subcomponent at the time of export is the cost that should be used
in the calculation. If the subcomponent has not received a tariff exemption, then it may not be
included in the domestic content calculation, and will be counted as foreign content.
Raw materials exported for use in a component manufactured outside the United States, are not
considered to be a subcomponent for the purpose of calculating domestic content. The value of
those raw materials is included in the cost of the foreign component. 49 CFR § 661.11(k).

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5.2.5. Do the subcomponents have to be broken down into subsubcomponents?
No. The Buy America regulation does not extend down to the sub-subcomponent level for Buy
America calculation purposes.

5.2.6. Are the costs of both domestic and f oreign subcomponents used
in the Buy America Domestic Content Calculation for
Components?
The entire cost of a component is used in its content calculation. A component is considered
domestic if it is manufactured in the United States and its subcomponents have the required
domestic content percentage 43 by cost. 49 CFR § 661.11(g). If this is so, then the entire cost
(selling price) of the component can be claimed as domestic content, including its foreign
subcomponents.

5.2.7. Do only components of domestic origin contribute towards the
domestic Buy America calculations?
No. Domestic subcomponents of components manufactured in the United States that do not
contain the required minimum percentage of domestic subcomponents, by cost, and domestic
subcomponents incorporated into foreign-manufactured components that received a tariff
exemption for importation back into the United States, also may be used in the Buy America
domestic content calculation. For example, if a component manufactured in the U.S. contains 20
percent of its subcomponents manufactured in the U.S. and 80 percent of its subcomponents
manufactured outside the U.S., the manufacturer receives credit for the cost of the 20 percent of
U.S. subcomponents.

5.2.8. If a component contains less than the required minimum
percentage of domestic subcomponents, how would it be used in
the calculation?
If a component is manufactured in the U.S., only the cost of the domestic subcomponents and
the cost of manufacturing the domestic component are included in the calculation of the
domestic content of the end product.
49 CFR § 661.11(l). The cost of its foreign
subcomponents must be counted as foreign content.

5.2.9. Can components from foreign sources with domestic
subcomponents be used in the calculation?

43

Minimum threshold is more than 60% for FY16 and FY17, more than 65% for FY18 and FY19, and
more than 70% for FY20.

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Yes. If foreign-manufactured components have domestic subcomponents that received a tariff
exemption for importation back into the United States, then the cost of those domestic
subcomponents may be used in the domestic content calculation. The cost of manufacturing
the component, and the overhead costs associated with manufacturing that component, plus the
cost of transporting the component, may not be used in the domestic content calculation,
because it has been manufactured outside of the United States.

5.2.10. How are currency exchange rates addressed for Buy America
audits?
The cost of a component of foreign origin is set using the foreign exchange rate at the time the
bidder or offeror executes the Buy America certificate. 49 CFR § 661.11(n). However, large
projects with long post-delivery periods and economic fluctuations can affect material costs
between the times of the pre-award and post-delivery audits. In all cases, component and
subcomponent costs paid in other than U.S. currency must use exchange rates as of the date of
the supplier’s executed supplier Buy America certificate. The post-delivery audit needs to verify
the actual costs paid to suppliers for all components and subcomponents.

5.2.11. Can systems be components for domestic content calculations?
(Examples would be air compressor and pneumatic systems,
electrical systems, and train control systems.)
Yes. Pursuant to Appendix B to § 661.11, “Typical Components of Buses,” the following
systems are identified as components: air compressor and pneumatic systems,
generator/alternator and electrical systems, steering system assemblies, heating systems, and
door control systems. In addition, pursuant to Appendix C to § 661.11, “Typical Components of
Rail Rolling Stock,” the following systems are identified as components: train control systems.

5.2.12 What if the manufacturer is concerned about releasing proprietary
information?
If the manufacturer is concerned about releasing proprietary information, the manufacturer and
recipient may agree that the recipient will contract with an external auditor to conduct the
manufacturer’s Buy America certification review—and assure the manufacturer that the cost
data will be kept confidential. Alternatively, a recipient may be able to keep its Buy America
audit function independent by using a “firewall” and assuring the manufacturer that those
employees of the recipient performing the Buy America audit are prohibited from disclosing any
of the manufacturer's propriety data. Further, the review of documents may occur at the
manufacturer’s place of business; there is no requirement that the recipient or its auditors obtain
copies of the documents; they need simply to review them. Whether conducted by a contractor
or the recipient’s employees, the manufacturer may require the reviewer to sign a non­
disclosure agreement prior to reviewing the documents.

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5.3. Purchaser’s Requirements Certification

5.3.1. What is the responsibility of the resident inspector?
A resident inspector is required to visit the manufacturer’s final assembly facility during the
manufacturing period for purchases of more than 10 buses intended for revenue passenger
service. The inspector must prepare a report summarizing how the construction and operation
of the vehicles meet (or do not meet) the terms of the contract and provide accurate records of
all vehicle construction activities. The intent of the requirement 44 is to help recipients ensure that
the vehicles will comply with their contract specifications.
The recipient must ensure that the resident inspector’s report satisfies all requirements of the
regulations. It is the recipient’s responsibility to ensure the vehicles comply with contract
specifications, and the purpose of the resident inspector’s report is to assist the recipient in
verifying that the vehicles meet the required specifications.

5.3.2. Where the contract provides for more than one post-delivery
period, must the recipient conduct a post-delivery audit for each
delivery period?
Yes. When a contract provides for multiple deliveries and the post-delivery periods are
scheduled at substantially different time intervals, such as 6 months or 1 year apart, the
recipient must complete a post-delivery audit for each period. This does not mean that a
separate audit is required for each vehicle within a post-delivery period.

5.4. FMVSS Certification

5.4.1. Which FMVSS certifications are required?
Title 49 CFR part 571 covers all Federal Motor Vehicle Safety Standards. Examples of the
types of FMVSS certifications are included in this Handbook in Appendices B.7, B.8, B.13, and
B.14

5.4.2. Must ADA compliant vehicles be FMVSS certified?
Yes. All motor vehicles subject to the FMVSS regulations must be certified to meet the
applicable standards.

44

49 CFR § 663.37(a).

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APPENDIX A

Appendix A
A.1

Sample Checklists

Checklists

Proposal Compliance Checklist

CHECK OF
ROLLING STOCK
KEY COMMENTS
MANUFACTURER’S
COMPLIANCE
COMPLIANCE WITH KEY FEDERAL REQUIREMENTS
YES
Pre-Award Certificate on file
Buy America
YES
Pre-Award and Post-Delivery Audit
Pre-Award Audit underway
YES
Lobbying
No exceptions taken
Providing Fraudulent Information, False
YES
No exceptions taken
Statements and Related Acts
YES
Civil Rights
No exceptions taken
Disadvantage Business Enterprises (i.e.,
45
YES
No exceptions taken
Transit Vehicle Manufacturer
requirement)
YES
Americans with Disability Act
No exceptions taken
Compliance with ALL other required
YES
No exceptions taken
federal provisions
COMPLIANCE WITH ALL TRANSIT AGENCY SPECIAL PROVISIONS
No exceptions taken
Terms of schedule and liquidated
YES
damages
YES
Shipment and delivery
No exceptions taken
YES
City Inspection and testing
No exceptions taken
YES
Acceptance
No exceptions taken
Agreed to additional payment item
YES
Payment provisions
for completion of Pilot Car Testing.
YES
Spare parts
Negotiated Spare parts items
Negotiated terms for extended
YES
Warranty terms
warranties of components
COMPLIANCE WITH ALL TECHNICAL SPECIFICATIONS REQUIREMENTS
YES
Carbody/bus body/trucks and axles
No exceptions taken
YES
Cab/drivers area and controls
No exceptions taken
YES
Passenger doors
No exceptions taken
YES
HVAC
No exceptions taken
YES
Auxiliary electric equipment
No exceptions taken
YES
Propulsion
Agreed to Addendum 2.
YES
Brakes
No exceptions taken
YES
Communications
No exceptions taken
YES
Train control (rail vehicles only)
No exceptions taken
YES
Monitoring and diagnostics
No exceptions taken
YES
Materials and overall work quality
No exceptions taken
YES
Software
No exceptions taken
YES
Manuals and Training hours and
Manuals and training
terms negotiated.
KEY TRANSIT AGENCY SOLICITATION
REQUIREMENTS

45

See 49 U.S.C. §26.49.

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APPENDIX A
A.2

Sample Checklists

Pre-Award Checklists

A.2.1 Recipient at Pre-Award Audit

Pre-Award Audit
(Before signing
Contract with Bidder)

Buy America Certification
A.
Reviewed and Verified Minimum Domestic Content; AND
Reviewed and Verified Proposed U.S. Final Assembly,
Location, Operations, and Total Cost
OR
B.
Requested and Received Buy America Waiver
Purchaser’s Requirements Certification
A.
Checked Bid Specification Compliance with Solicitation
Specifications; AND
Completed a Manufacturer Capability and Capacity Review
FMVSS Certifications (IF APPLICABLE): Requested and Received
Manufacturer’s letter stating:
A.
The information to be included on the FMVSS Stickers
OR
B.
The Vehicles Are Not Subject to FMVSS

A.2.2 Manufacturer at Pre-Award Audit

Pre-Award Audit
(Before signing
Contract with Bidder)

Buy America Certification
A.
Prepared and provided to recipient documentation,
including but not limited to, documentation from suppliers
sufficient for recipient to verify domestic content of vehicle;
AND
Provided documentation of U.S. Final Assembly,
Location, Operations, and Total Cost
OR
Submitted a Buy America Waiver
B.
Purchaser’s Requirements Certification
A.
Responded to recipient solicitation clearly indicating Bid
Specification Compliance with Solicitation
Specifications; AND
Responded to sections in the Solicitation regarding
Manufacturer Capability and Capacity Review
FMVSS Certifications (IF APPLICABLE): Prepared letter stating:
A.
The information to be included on the FMVSS Stickers
OR
B.
The Vehicles Are Not Subject to FMVSS

A.2.3 Pre-Award Audit Purchaser’s Requirements Certification for Recipients
For Pre-award Purchaser’s Requirements Certification, the recipient must verify that the rolling
stock the recipient is contracting for is the same product described in the purchaser’s solicitation

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APPENDIX A

Sample Checklists

specification, and the proposed manufacturer is a responsible manufacturer with the capability
to produce a vehicle that meets the recipient’s solicitation specification. Recipients may employ
a combination of different departments or third parties to conduct these verifications. In such
case, the party responsible for verification will sign/initial the items in their scope. The following
items represent a checklist of the tasks to complete the pre-award purchaser’s requirements
audit.
Activity

Supporting Document

Part 1
Comparison of rolling stock
manufacturer’s specification with
purchaser’s solicitation specification

Verified

• Recipient’s checklist for comparison of manufacturer’s
specification with solicitation specification;
• Manufacturer’s supporting documents such as its
proposal, manufacturer and supplier specifications,
product brochures, technical data sheets, drawings,
and bills of material.

Part 2
Assessment of manufacturer’s
capability

• Recipient’s checklist for manufacturer’s capability
assessment;
• Manufacturer’s supporting documents such as
descriptions of facilities and equipment, plant output
capacity, facility layout drawing/flow diagram,
production line layout/flow diagram, staffing counts by
craft, QA/QC Plan, mobilization plan, list of concurrent
work, list of past performance on similar projects,
financial records, and other documents;
• Major supplier/subcontractor supporting documents
same as described in previous bullet above;
• Manufacturer’s project level plans such as QA/QC
plan, schedule, supplier management plan, and
document/configuration control plan.

Reviewed and accepted by:

Signature

Date

Title

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APPENDIX A

Sample Checklists

A.2.4 Comparison of Manufacturer’s Specification with Purchaser’s Solicitation
Specification
As part of the Pre-award Purchaser’s Requirements Certification process, the recipient shall
verify that the rolling stock the recipient is contracting for is the same product described in the
purchaser’s solicitation specification. The following items would typically be considered for this
review.

Solicitation Specification Item

Remark

1.
2.

Carbody: structure, high/low boarding, diaphragm
Windows: windshield, passenger side windows, emergency
windows, door windows, sliding sash

3.

Interior: flooring, seats, wheelchair securement, bicycle storage,
luggage racks, exit path marking (as applicable)

4.
5.
6.
7.
8.
9.
10.

Trucks/axles, sanding equipment (if required)
Propulsion equipment
Brake equipment; wheel slip/slide, parking brake
Auxiliary electrical equipment
Cab/driver’s area controls and equipment
HVAC
Doors and door control system with ADA audible alarm and
warning lights

11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
21.

Lighting: interior, emergency, exterior
Communications
Toilet room; water and waste system (if required)
Coupler/draft gear (rail vehicles only)
Intercar trainlines/receptacles (rail vehicles only)
Train control/cab signal equipment (rail vehicles only)
Monitoring and diagnostics
Materials and workmanship standards
Software
Manuals and training
Other Provisions
Compliance with applicable Federal, State, local regulations

22.
23.

Buy America
Warranty terms

Manufacturer’s
Specification
Complies?

Reviewed and accepted by:

Signature

Date

Title

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APPENDIX A
A.3

Sample Checklists

Post-Delivery Checklists

A.3.1 Recipient at Post-Delivery Audit

Post-Delivery Audit
(Before using the
Rolling Stock in
Transit Service or
Before Transfer of
Title, Whichever
Occurs First)

Buy America Certification
A.  Re vie we d a nd Ve rifie d the amount of Domestic Content; AND
 Re vie we d a nd Ve rifie d P ropos e d U.S . Fina l As s e m bly,
Location, Operations, and Total Cost
OR
B.  Re que s te d a nd R e ce ive d Buy America Waiver
Purchaser’s Requirements Certification
A. For Procurements of Rail Vehicles and More than 10 Buses or
Modified Vans (and More than 20 Buses in Rural Areas and Small
UZAs)
Completed Resident Inspector’s Report; AND
Completed Visual Inspections and Road Tests
OR
B. For Procurement of 10 or Fewer Buses or Modified Vans, any
Number of Unmodified Vans, and 20 or Fewer Buses in Rural Areas
and Small UZAs
Completed Visual Inspection and Road Test
FMVSS Certifications (IF APPLICABLE)
A.
Verified FMVSS Sticker is Affixed to Each Vehicle
OR
B.
Requested and Received Manufacturer’s Letter Stating that the
Vehicles Are Not Subject to FMVSS.

A.3.2 Manufacturer at Post-Delivery Audit

Post-Delivery Audit
(Before using the
Rolling Stock in
Transit Service or
Before Transfer of
Title, Whichever
Occurs First)

Buy America Certification
A.  P re pa re d a nd provide d to the re cipie nt the Dom e s tic Conte nt
Worksheet based on actual cost; AND
 P rovide a ctua l U.S . F ina l As s e m bly Total Cost
OR
B.  S ubm itte d a Buy Am e rica W a ive r prior to a wa rd
Purchaser’s Requirements Certification
C.
Completed Visual Inspections and Road Tests and Provide
reports to the Resident Inspector.
FMVSS Certifications (IF APPLICABLE)
C.
Affixed FMVSS Stickers to Each Vehicle
OR
Provided letter stating that the Vehicles Are Not Subject to
D.
FMVSS.

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APPENDIX A

Sample Checklists

A.3.3 Supplier at Post-Delivery Audit
Post-Delivery Audit
(Before using the
Rolling Stock in
Transit Service or
Before Transfer of
Title, Whichever

Occurs First)

Buy America Certification
A.  P re pa re d a nd provide d to R olling S tock Ma nufa cturer the
Component Supplier Buy America Certification including any
updates from the Pre-Award Audit on the location of component
manufacture and the percent domestic and foreign content of each
subcomponent.

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Sample Checklists

A.3.4 Resident Inspector’s Report for Post-Delivery Purchaser’s Requirements
Certification
For the Post-delivery Purchaser’s Requirements Certification, the recipient shall review and
retain the resident inspector’s report of the recipient’s oversight of the period of manufacture of
the rolling stock being purchased. The following items would typically be included in the
resident inspector’s report documentation, as applicable.
Resident Inspector’s Report Contents
1.

2.

3.
4.

5.
6.

7.

8.

Verified

Description of recipient’s overall program to oversee manufacture of the rolling stock
identifying all activities that verify compliance of product with contract and
specifications including pilot car program, FAI, qualification testing, production
inspection and production testing.
Description of activities performed by recipient’s resident inspection staff or designee
at manufacturer’s site(s) including pilot car inspection, qualification testing, first
article inspections, source inspections, production in-process inspections, hold point
inspections and final static and dynamic functional testing.
Description of final assembly activities performed by manufacturer at U.S. final
assembly site.
Reference that vehicle history books were provided by the manufacturer to the
recipient and reviewed prior to authorization for shipment briefly summarizing the
contents of the vehicle history books and providing samples of critical documents
such as final test results.
Include sample authorization for shipment form for each vehicle showing place to
record open items and resident inspector signature and date.
Include sample documents demonstrating the manufacturer’s implementation of its
quality program; for example, a completed Nonconformance Report form will be
included that identifies the deficiency and corrective action that was made. Any
nonconforming material that was repaired (to other than full conformance with
specification) or deemed usable as is must be approved/signed by the
recipient/resident inspector.
Reference that manufacturer maintained complete records of construction of each
vehicle containing details beyond the scope of the resident inspector’s report (such
as the manufacturer’s QA/QC inspections.
Confirmation that delivered vehicles have been inspected and road tested to confirm
that they meet contract requirements including a summary of static, dynamic and
performance tests performed on each vehicle and a sample of key test report results
showing sign-offs for completed tests, failed tests and any corrective action. Include
sample documents.

9.

Reviewed and accepted by:

Signature

Date

Title

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APPENDIX B

Appendix B

CERTIFICATIONS AND FORMS

Certificates and Forms

The forms provided in this Appendix are samples only, intended to provide guidance to
recipients. The first two forms, B.1 and B.2, track the regulation and therefore the format is
required. The other forms may be modified to suit the needs of the recipient, as long as the
form developed by the recipient includes the information required by the regulations.

B.1 Certificate of Compliance with Buy America Rolling Stock Requirements

CERTIFICATE OF COMPLIANCE WITH

BUY AMERICA ROLLING STOCK REQUIREMENTS

The bidder or offeror hereby certifies that it will comply with the requirements of 49 U.S.C.
5323(j), and the applicable regulations in 49 CFR § 661.11.

Date: _____________________________________________________________________

Signature: ________________________________________________

Company: _________________________________________________________________

Print Name: ________________________________________________________________

Title: _____________________________________________________________________

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APPENDIX B

CERTIFICATIONS AND FORMS

B.2 Certificate of Non-Compliance with Buy America Rolling Stock
Requirements

CERTIFICATE OF NON-COMPLIANCE WITH

BUY AMERICA ROLLING STOCK REQUIREMENTS

The bidder or offeror hereby certifies that it cannot comply with the requirements of 49 U.S.C.
5323(j), but may qualify for an exemption to the requirement consistent with 49 U.S.C.
5323(j)(2), as amended, and the applicable regulations in 49 CFR § 661.7.

Date: _____________________________________________________________________
Signature: ________________________________________________________________
Company: _________________________________________________________________
Print Name: ________________________________________________________________
Title: _____________________________________________________________________

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APPENDIX B

CERTIFICATIONS AND FORMS

B.3 Sample Pre-Award Buy America Certification

PRE-AWARD BUY AMERICA CERTIFICATION

As required by 49 CFR part 663 – Subpart B, ___________________________ (the
recipient) is satisfied that the vehicles to be purchased, __________________________
(number and description of vehicles) from ____________________________________ (the
manufacturer), meet the requirements of 49 U.S.C. 5323(j), as amended. The recipient
its appointed auditor

, or

_____________________________________________ (the auditor

– not the manufacturer or its agent), has reviewed documentation provided by the
manufacturer, which lists (1) the proposed component and subcomponent parts of the
vehicles identified by manufacturer, country of origin, and cost; and (2) the proposed location
of the final assembly point for the vehicles, including a description of the activities that will
take place at the final assembly point and the cost of final assembly.

Date: _____________________________________________________________________
Recipient Authorized Signature: ________________________________________________
Print Name: ________________________________________________________________
Title: _____________________________________________________________________

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APPENDIX B

CERTIFICATIONS AND FORMS

B.4 Sample Pre-Award Buy America Certificate of Non-Compliance

PRE-AWARD BUY AMERICA CERTIFICATE OF NON-COMPLIANCE

As required by 49 CFR part 663 – Subpart B, ____________________________ (the
recipient) keeps on file a certification that there is a letter from FTA which grants a waiver to
the rolling stock to be purchased,______________________________________________
(number and description of rolling stock), from the Buy America requirements under 49 U.S.C.
5323(j)(2)(A), (2)(B), or (2)(D), as amended.

Date: _____________________________________________________________________
Recipient Authorized Signature: ________________________________________________
Print Name: ________________________________________________________________
Title: _____________________________________________________________________

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APPENDIX B

CERTIFICATIONS AND FORMS

B.5 Sample Pre-Award Purchaser's Requirements Certification

PRE-AWARD PURCHASER’S REQUIREMENTS CERTIFICATION

As required by 49 CFR part 663 – Subpart B, ____________________________ (the
recipient) certifies that the vehicles to be purchased, _____________________________
(number and description of vehicles) from _________________________________________
(the manufacturer), are the same product described in the recipient’s solicitation specification
and that the proposed manufacturer is a responsible manufacturer with the capability to
produce vehicles that meet the specifications set forth in the solicitation.

Date: _____________________________________________________________________
Recipient Authorized Signature: ________________________________________________
Print Name: ________________________________________________________________
Title: _____________________________________________________________________

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APPENDIX B

CERTIFICATIONS AND FORMS

B.6 Sample Supplier Buy America Certification
Instructions for Completing the Buy America Supplier Certificate
The manufacturer may require suppliers to complete a Buy America Supplier Certificate for any
item for which domestic content is being claimed. The Buy America Supplier Certificate is the
supplier’s legal attestation of its domestic content and location of manufacturing for the products
being provided for the procurement.
1. Fill in the supplier’s contact information in the designated space at the top part of the
form.
2. Fill in the vehicle manufacturer’s name and the vehicle/contract/purchase order number
that connects the certificate to the specific procurement project.
3. Identify which of the three calculation scenarios apply for each component by checking
the respective box.
a) Check the first box if the component is manufactured in the U.S. and more than the
required percentage of its subcomponents, by cost, are manufactured in the U.S.
b) Check the second box if the component is manufactured in the U.S. and has less
than the required percentage of its subcomponents, by cost, manufactured in the
U.S.
c) Check the third box if the component is NOT manufactured in the U.S. but does
contain U.S. subcomponents for which the supplier has documentation showing a
tariff exemption.
The cost of U.S. subcomponents is calculated by dividing the cost of U.S. subcomponents by
the cost of all subcomponents for each component. Generally, the cost of each subcomponent
is the price the bidder or offeror paid to the supplier for the subcomponent. Transportation costs
to the final assembly location must be included in calculating the cost of foreign
subcomponents. 49 CFR § 661.11(m)(1). For exceptions, see 49 CFR § 661.11(o).
Use extra pages as needed to cover all components and subcomponents in the supplier’s scope
of provision.
4. List each component and its subcomponents on the designated rows. Components
should be identified by name and/or part number traceable to the subject procurement.
a) Indicate the manufacturing location for each component and subcomponent in the
designated space;
b) Indicate the component’s percentage of domestic subcomponents for each
component in the designated space;
c) Indicate each subcomponent’s percentage of the component’s domestic content in
the designated space; the sum of all the subcomponents’ domestic content
percentages will equal the domestic content percentage of the component.
5. The form must be signed and dated by an authorized official of the supplier. Print the
name and title of the signatory beneath the signature line.

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APPENDIX B

CERTIFICATIONS AND FORMS

Information on this form is subject to audit by the Purchaser, i.e., recipient of FTA funds, and/or
by the Federal Transit Administration (and/or its agents).

SAMPLE BUY AMERICA SUPPLIER CERTIFICATION
Supplier:

_______________________________________________________________________

Address:

_______________________________________________________________________

Phone:

________________________________

Email:

_______________________________________________________________________

Vehicle
Manufacturer:

Fax:

______________________________

________________________________________________________________

Vehicle/Contract/Purchase Order: _________________________________________________
This certifies the Supplier’s status of compliance with FTA Buy America Regulations set forth in
49 CFR § 661.11.
For each component supplied for the Contract, the Supplier attests that (CHECK ONE BOX):
The required percentage of subcomponents, by cost, are of U.S. origin/manufacture, and the
component is manufactured in the U.S. The Supplier attests that the U.S. content of
subcomponents, by cost, is as indicated below. See 49 CFR § 661.11(g).
Less than the required percentage of the subcomponents, by cost, are of U.S.
origin/manufacture, and the component is manufactured in the U.S. (in such case, the cost of
U.S. subcomponents is eligible for inclusion towards domestic content calculations). The
Supplier attests that the U.S. content of subcomponents, by cost, is as indicated below.
See 49 CFR § 661.11(l).
The component contains subcomponents of domestic origin, however, the component is NOT
manufactured in the U.S. (in such case, the cost of U.S. subcomponents is eligible for inclusion
towards domestic content calculations only if the U.S. subcomponent(s) received a tariff
exemption). The Supplier attests that the U.S. content of subcomponents, by cost, is as
indicated below.
See 49 CFR § 661.11(i).
MANUFACTURING
LOCATION

% DOMESTIC
CONTENT

% FOREIGN
CONTENT

[COMPONENT NAME]

[Location of individual
component
manufacturer]

[Total domestic
content % of all
subcomponents]

[Total foreign
content % of all
subcomponents]

[SUBCOMPONENT NAME]
(use rows for each subcomponent)

[Location of individual
subcomponent
manufacturer]

[Total domestic
content % of
individual
subcomponent]

[Total foreign
content % of
individual
subcomponents]

Attach additional sheets as needed
Date:

__________________________________________________________________________

Supplier Authorized Signature:
Print Name:
Title:

_____________________________________________________

____________________________________________________________________

__________________________________________________________________________

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APPENDIX B

CERTIFICATIONS AND FORMS

B.7 Sample Pre-Award FMVSS Compliance Certification

PRE-AWARD FMVSS COMPLIANCE CERTIFICATION
As required by 49 CFR part 663 – Subpart D, ___________________________
(the recipient) certifies that it received, at the pre-award stage, a copy of
____________________________________’s (the manufacturer) self-certification
information stating that the vehicles, ____________________________________________
(number and description of vehicles), will comply with the relevant Federal Motor Vehicle
Safety Standards issued by the National Highway Traffic Safety Administration in 49 CFR part
571.

Date: _____________________________________________________________________
Recipient Authorized Signature: ________________________________________________
Print Name: ________________________________________________________________
Title: _____________________________________________________________________

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APPENDIX B

CERTIFICATIONS AND FORMS

B.8 Sample Pre-Award Certification of FMVSS Inapplicability

PRE-AWARD CERTIFICATION OF FMVSS INAPPLICABILITY
As required by 49 CFR part 663 – Subpart D, _________________________________ (the
recipient) certifies that it received at the pre-award stage, a statement from
________________________________________________ (the manufacturer) indicating
that the vehicles, ___________________________________________________ (number
and description of vehicles), will not be subject to the Federal Motor Vehicle Safety Standards
issued by the National Highway Traffic Safety Administration in 49 CFR part 571.

Date: _____________________________________________________________________
Recipient Authorized Signature: ________________________________________________
Print Name: ________________________________________________________________
Title: _____________________________________________________________________

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APPENDIX B

CERTIFICATIONS AND FORMS

B.9 Sample Post-Delivery Buy America Certification

POST-DELIVERY BUY AMERICA CERTIFICATION
As required by 49 CFR part 663 – Subpart C, ___________________________ (the
recipient) certifies that it is satisfied that the vehicles received,
___________________________________________________________ (number and
description of vehicles) from _______________________________________________ (the
manufacturer), meet the requirements of 49 U.S.C. 5323(j), as amended. The recipient
or its appointed auditor

,

___________________________________________ (the auditor

– not the manufacturer or its agent), has reviewed documentation provided by the
manufacturer, which lists (1) the actual component and subcomponent parts of the vehicles
identified by the manufacturer, country of origin, and cost; and (2) the actual location of the
final assembly point for the vehicles, including a description of the activities that took place at
the final assembly point and the cost of final assembly.

Date: _____________________________________________________________________
Recipient Authorized Signature: ________________________________________________
Print Name: ________________________________________________________________
Title: _____________________________________________________________________

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APPENDIX B

CERTIFICATIONS AND FORMS

B.10 Sample Post-Delivery Buy America Certificate of NonCompliance

POST-DELIVERY BUY AMERICA CERTIFICATE OF NON-COMPLIANCE
As required by 49 CFR part 663 – Subpart C, ____________________________ (the
recipient) certifies that there is a letter from FTA which grants a waiver to the vehicles
received, _________________________________________________________________
(manufacturer, number and description of vehicles) from the Buy America requirements under
49 U.S.C. 5323(j), as amended.

Date: _____________________________________________________________________
Recipient Authorized Signature: ________________________________________________
Print Name: ________________________________________________________________
Title: _____________________________________________________________________

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APPENDIX B

CERTIFICATIONS AND FORMS

B.11 Sample Post-Delivery Purchaser's Requirements Certification
(More Than Ten Buses or Modified Vans)

POST-DELIVERY PURCHASER’S REQUIREMENTS CERTIFICATION
As required by 49 CFR part 663 – Subpart C, _____________________________________
(the recipient) certifies that a resident inspector, ____________________________________
(the resident inspector – not an agent or employee of the manufacturer), was at
_____________________________________________________’s (the manufacturer),
manufacturing site during the period of manufacture of the vehicles,
___________________________________________________________ (number and
description of the vehicles). The inspector monitored manufacturing and completed a report
on the manufacture of the vehicles, and provided accurate records of all vehicle construction
activities. The report addresses how the construction and operation of the vehicles fulfill the
contract specifications. After reviewing the report, visually inspecting the vehicles, and
performance testing the vehicles, the recipient certifies that the vehicles meet the contract
specifications.
Date: _____________________________________________________________________
Recipient Authorized Signature: ________________________________________________
Print Name: ________________________________________________________________
Title: _____________________________________________________________________

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APPENDIX B

CERTIFICATIONS AND FORMS

B.12 Sample Post-Delivery Purchaser's Requirements Certification
(Ten or Fewer Buses or Modified Vans, or any Number of
Unmodified Vans)

POST-DELIVERY PURCHASER’S REQUIREMENTS CERTIFICATION
As required by 49 CFR part 663 – Subpart C, after visually inspecting and road testing the
contract vehicles, _________________________________________ (the recipient) certifies
that the vehicles, ___________________________________________________ (number
and description of vehicles) from _______________________________________________
(the manufacturer), meet the contract specifications.

Date: _____________________________________________________________________
Recipient Authorized Signature: ________________________________________________
Print Name: ________________________________________________________________
Title: _____________________________________________________________________

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APPENDIX B

CERTIFICATIONS AND FORMS

B.13 Sample Post-Delivery FMVSS Compliance Certification

POST-DELIVERY FMVSS COMPLIANCE CERTIFICATION
As required by 49 CFR part 663 – Subpart D, _____________________________________
(the recipient) certifies that it received, at the post-delivery stage, a copy of
_______________________________________’s (the manufacturer) self-certification
information stating that the vehicles, ________________________________________
(number and description of vehicles), comply with the relevant Federal Motor Vehicle Safety
Standards issued by the National Highway Traffic Safety Administration in 49 CFR part 571.

Date: _____________________________________________________________________
Recipient Authorized Signature: ________________________________________________
Print Name: ________________________________________________________________
Title: _____________________________________________________________________

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APPENDIX B

CERTIFICATIONS AND FORMS

B.14 Sample Post-Delivery Certification of FMVSS Inapplicability

POST-DELIVERY CERTIFICATION OF FMVSS INAPPLICABILITY
As required by 49 CFR part 663 – Subpart D, _____________________________ (the
recipient) certifies that it received, at the post-delivery stage, a statement from
______________________________________________________’s (the manufacturer)
indicating that the vehicles ____________________________________________________
(number and description of vehicles), are not subject to the Federal Motor Vehicle Safety
Standards issued by the National Highway Traffic Safety Administration in 49 CFR part 571.

Date: _____________________________________________________________________
Recipient Authorized Signature: ________________________________________________
Print Name: ________________________________________________________________
Title: _____________________________________________________________________

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APPENDIX B

CERTIFICATIONS AND FORMS

B.15 Sample Completed Vehicle FMVSS Sticker
MANUFACTURED BY (NAME)
DATE: (MONTH/YEAR)

GVWR: (WEIGHT) LB

FRONT GAWR: (WEIGHT) LB
WITH (SIZE) TIRES,
(SIZE/TYPE) RIMS,
AT PSI COLD (SINGLE/DUAL)

REAR GAWR: (WEIGHT) LB
WITH (SIZE) TIRES,
(SIZE/TYPE) RIMS,
AT PSI COLD (SINGLE/DUAL)

THIS VEHICLE CONFORMS TO ALL APPLICABLE U.S.
FEDERAL MOTOR VEHICLE SAFETY STANDARDS IN
EFFECT ON THE DATE OF MANUFACTURE SHOWN ABOVE.
VIN: (VEHICLE IDENTIFICATION NUMBER)
TYPE: (VEHICLE TYPE)

B.16 Sample Altered Vehicle Manufacturer’s FMVSS Sticker
THIS VEHICLE WAS ALTERED BY (NAME) IN (MONTH/YEAR)
AND AS ALTERED, IT CONFORMS TO ALL APPLICABLE
FEDERAL MOTOR VEHICLE SAFETY STANDARDS
AFFECTED BY THE ALTERATION AND IN EFFECT IN
(MONTH/YEAR)
GVWR: (WEIGHT) LB
FRONT GAWR: (WEIGHT) LB
WITH (SIZE) TIRES,
(SIZE/TYPE) RIMS,
AT PSI COLD (SINGLE/DUAL)

REAR GAWR: (WEIGHT) LB
WITH (SIZE) TIRES,
(SIZE/TYPE) RIMS,
AT PSI COLD (SINGLE/DUAL)

TYPE: (VEHICLE TYPE)

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APPENDIX B

CERTIFICATIONS AND FORMS

B.17 Sample Incomplete Vehicle Manufacturer’s FMVSS Sticker
THlS CHASSIS-CAB CONFORMS TO FEDERAL MOTOR
VEHICLE SAFETY STANDARD NOS. (APPLICABLE FMVSS
NUMBERS). THlS VEHICLE WILL CONFORM TO STANDARD
NOS. (APPLICABLE FMVSS NUMBERS) IF IT IS COMPLETED
IN ACCORDANCE WITH THE INSTRUCTIONS CONTAINED IN
THE INCOMPLETE VEHICLE DOCUMENT FURNISHED
PURSUANT TO 49 CFR PART 568. CONFORMITY TO THE
OTHER SAFETY STANDARDS APPLICABLE TO THlS
VEHICLE WHEN COMPLETED IS NOT SUBSTANTIALLY
AFFECTED BY THE DESIGN OF THE CHASSIS-CAB.
CHASSIS-CAB MANUFACTURED BY (NAME).
(MONTH/YEAR)

B.18 Sample Intermediate Vehicle Manufacturer’s FMVSS Sticker
WITH RESPECT TO STANDARD NOS. (APPLICABLE FMVSS
NUMBERS), THE INSTRUCTIONS OF PRIOR
MANUFACTURERS HAVE BEEN FOLLOWED SO THAT THE
CHASSIS-CAB NOW CONFORMS TO THESE STANDARDS.
THlS CHASSIS-CAB CONFORMS TO FEDERAL MOTOR
VEHICLE SAFETY STANDARD NOS. (APPLICABLE FMVSS
NUMBERS). WILL CONFORM TO STANDARD NOS.
(APPLICABLE FMVSS NUMBERS) IF IT IS COMPLETED IN
ACCORDANCE WITH THE INSTRUCTIONS CONTAINED IN
THE AMENDED INCOMPLETE VEHICLE DOCUMENT
FURNISHED PURSUANT TO 49 CFR PART 568.
CONFORMITY TO STANDARD NOS. (APPLICABLE FMVSS
NUMBERS) IS NO LONGER SUBSTANTIALLY AFFECTED BY
THE DESIGN OF THlS CHASSIS-CAB.
INTERMEDIATE MANUFACTURE BY (NAME).
(MONTH/YEAR)

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APPENDIX B

CERTIFICATIONS AND FORMS

B.19 Samples of Final-Stage Vehicle Manufacturer’s FMVSS
Stickers
MANUFACTURED BY (NAME).
DATE: (MONTH/YEAR)
INCOMPLETE VEHICLE MANUFACTURED BY (NAME).
DATE: (MONTH/YEAR)
GVWR: (WEIGHT) LB
FRONT GAWR: (WEIGHT) LB
WITH (SIZE) TIRES,
(SIZE/TYPE) RIMS,
AT PSI COLD (SINGLE/DUAL)

REAR GAWR: (WEIGHT) LB
WITH (SIZE) TIRES,
(SIZE/TYPE) RIMS,
AT PSI COLD (SINGLE/DUAL)

CONFORMITY OF THE CHASSIS-CAB TO FEDERAL MOTOR
VEHICLE SAFETY STANDARDS, WHICH HAVE BEEN
PREVIOUSLY FULLY CERTIFIED BY THE INCOMPLETE
VEHICLE MANUFACTURER OR INTERMEDIATE VEHICLE
MANUFACTURER, HAS NOT BEEN AFFECTED BY FINAL­
STAGE MANUFACTURE, THE VEHICLE HAS BEEN
COMPLETED IN ACCORDANCE WITH THE PRIOR
MANUFACTURER'S INSTRUCTIONS, WHERE APPLICABLE.
THIS VEHICLE CONFORMS TO ALL OTHER APPLICABLE
FEDERAL MOTOR VEHICLE SAFETY STANDARDS IN
EFFECT IN (MONTH/YEAR).
VIN: (VEHICLE IDENTIFICATION NUMBER)
TYPE: (VEHICLE TYPE)
OR

CONFORMITY OF THE CHASSIS-CAB TO FEDERAL MOTOR
VEHICLE SAFETY STANDARD NOS. (APPLICABLE FMVSS
NUMBERS) HAS NOT BEEN AFFECTED BY FINAL-STAGE
MANUFACTURE. WITH RESPECT TO THE STANDARD NOS.
(APPLICABLE FMVSS NUMBERS), THE VEHICLE HAS BEEN
COMPLETED IN ACCORDANCE WITH THE PRIOR
MANUFACTURER'S
INSTRUCTIONS.
THIS
VEHICLE
CONFORMS TO ALL OTHER APPLICABLE FEDERAL
MOTOR VEHICLE SAFETY STANDARDS IN EFFECT IN
(MONTH/YEAR).
VIN: (VEHICLE IDENTIFICATION NUMBER)

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APPENDIX B

CERTIFICATIONS AND FORMS

TYPE: (VEHICLE TYPE)

OR

THIS VEHICLE CONFORMS TO ALL OTHER APPLICABLE
FEDERAL MOTOR VEHICLE SAFETY STANDARDS IN
EFFECT IN (MONTH/YEAR).
VIN: (VEHICLE IDENTIFICATION NUMBER)
TYPE: (VEHICLE TYPE)

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APPENDIX C

Appendix C
C.1

SAMPLE REPORTS

Sample Buy America Audit Reports

Pre-Award Audit Reports

ABC TRANSIT AGENCY

ROLLING STOCK VEHICLE PROCUREMENT
Pre-Award Audit Report

Submitted By:

[Recipient and/or Consultant Information]

[Date]

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APPENDIX C

SAMPLE REPORTS

TABLE OF CONTENTS

1.0

EXECUTIVE SUMMARY

2.0

AUDIT PROCEDURES

3.0

PRE-AWARD BUY AMERICA CERTIFICATION

4.0

3.1

Verification of Domestic Content Estimate and Final Assembly Cost

3.2

Verification of Final Assembly Location and Activities

PRE-AWARD PURCHASER'S REQUIREMENTS CERTIFICATION

4.1

Verification of the Product as Described in the Specification

4.2

Verification Manufacturer is Responsible with Capability and Capacity to Delivery

the Product

5.0

FEDERAL MOTOR VEHICLE SAFETY STANDARDS (FMVSS CERTIFICATION)

(WHEN APPLICABLE)

6.0

PRE-AWARD AUDIT CONCLUSIONS

Attachments
Pre-Award Buy America Certification
Pre-Award Purchaser’s Requirements Certification
Table of Domestic Content

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APPENDIX C
1.0

SAMPLE REPORTS

EXECUTIVE SUMMARY

Provide description of report including manufacturer, number and type of vehicles, and
references to key FTA guidelines.
Provide statement about whether rolling stock vehicle manufacturer is compliant with Buy
America pre-award audit requirements and whether the recipient has copies of the following
i)

Pre-Award Buy America Certification,

ii)

Pre-Award Purchaser's Requirements Certification, and

iii)

Pre-Award FMVSS Certification, if applicable.

Include a statement as to the organization of the report and any attachments. Provide a
statement about whether the rolling stock vehicle manufacturer meets Buy America
requirements.
2.0

AUDIT PROCEDURES

Provide a brief description of the procedures used to perform the overall audit, including
whether in-house staff or consultants were used. Include a brief statement about Pre-Award
Buy America documentation received from the rolling stock vehicle manufacturer, and provide a
brief overview of the review and analysis performed to determine compliance with Buy America
requirements, including any onsite visits to the rolling stock manufacturer or component supplier
sites. Include a brief statement about procedures used to determine the validity of the PreAward Purchaser’s Requirements Certification, including documentation reviewed and site
visits, if any, performed to determine if the proposal meets the solicitation requirements. and
that the rolling stock manufacturer is responsible, with the capability and capacity to produce the
vehicle in compliance with the Contract Requirements.
3.0

PRE-AWARD BUY AMERICA CERTIFICATION

Provide a brief summary addressing the rolling stock vehicle manufacturer’s Pre-Award Buy
America documentation and how the manufacturer meets or does not meet the domestic
content and final assembly requirements. Provide a brief summary of the documentation
provided by the rolling stock vehicle manufacturer and reviewed by the recipient or its
designated auditor.
3.1

Verification of Domestic Content and Final Assembly Cost

Provide a summary of the documentation provided by the manufacturer and confirm that the
documentation included sufficient detail such that the reviewer was able to verify that the vehicle
will contain the minimum domestic content and the final assembly costs.
The self-certification of the manufacturer of domestic content or complieance is not sufficient.
The reviewer should examine documentation that inconcludes sufficient detail for the reviewer
to determine whether the manufacturer is likely to meet the domestic content requirements.

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APPENDIX C

SAMPLE REPORTS

Relevant information may include, but is not limited to, documentation of the breakdown of
components, subcomponents, manufacture of origin, percent cost or actual cost of components,
percent cost or actual cost of corresponding subcomponents, and whether the manufacturer has
Buy America certifications from its suppliers. Provide a brief summary on the formulas and
calculations used to determine domestic content and whether they are accurate. The Buy
America pre-award audit report may include a summary table that lists the domestic
components and their cost as a percentage of the total cost. The table should not include
proprietary or confidential information.
Provide a summary statement of the manufacturer’s claimed domestic content based on the
independent analysis of the reviewer.
3.2

Verification of U.S. Final Assembly Location and Activities

Provide a brief description of the rolling stock vehicle manufacturer’s proposed U.S. final
assembly location and how the rolling stock vehicle manufacturer’s final assembly activities will
correspond to minimum final assembly activities in 49 CFR part 661. Provide a summary of the
final assembly costs.
4.0

PRE-AWARD PURCHASER'S REQUIREMENTS CERTIFICATION

Provide a summary addressing the manufacturer’s Pre-Award Purchaser’s Requirements
Certification and the reviewer’s methods of review and analysis to determine whether the
requirements were satisfied. The summary may include a a brief summary regarding how ABC
Transit Agency’s Evaluation Team reviewed the Manufacturer’s Bid (Proposal), compared it to
the solicitation specifications, and, after reviewing the manufacturer’s bid, issued any addenda,
received responses to clarifications, and found the Manufacturer to be compliant.
Additionally, the report may include a summary explaining how the recipient determined that the
manufacturer is responsible. The summary may include, for example, a list of past deliveries of
similar orders over the past 5 years. The summary also may indicate whether the manufacturer
will use the same or similar processes and the same final assembly facility.
Provide a summary statement based on the above review as to whether or not the rolling stock
manufacturer has the capacity and capability to produce the rolling stock to meet the contract
requirements.
5.0

FEDERAL MOTOR VEHICLE SAFETY STANDARDS (FMVSS CERTIFICATION) (IF
APPLICABLE)

Provide a summary statement that a sample of the Manufacturer’s FMVSS self-certification
sticker information was obtained and reviewed against a sample FMVSS sticker and was found
to include the content required for the Pre-Award Audit. (Ref. Appendix 6).

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APPENDIX C
6.0

SAMPLE REPORTS

PRE-AWARD AUDIT CONCLUSION

Provide a summary regarding how the procedures used, analysis performed and results found
on the Pre-Award audit of the rolling stock manufacturer indicates the manufacturer meets Buy
America Compliance and the Purchaser’s requirements certification.

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APPENDIX C
C.2

SAMPLE REPORTS

Post-Delivery Audit Reports

ABC TRANSIT AGENCY

ROLLING STOCK VEHICLE PROCUREMENT
Post-Delivery Audit Report

Submitted By:

[Recipient and/or Consultant Information]

[Date]

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APPENDIX C

SAMPLE REPORTS

A B C TRANSIT AGENCY NAME HERE
Post-Delivery Buy America Certification for
(Rolling Stock Manufacturer Name Here)
POST- DELIVERY BUY AMERICA CERTIFICATION
As required by 49 CFR part 663 – subpart C, _____________________________________
(the recipient) certifies that it is satisfied that the rolling stock vehicles received,
________________________________________ (number and description of rolling stock
vehicles) from ___________________________________ (the manufacturer), meet the
requirements of 49 U.S.C. 5323(j).
The recipient
, or its appointed auditor
__________________________ (the auditor – not the manufacturer or its agent), has
reviewed documentation provided by the manufacturer, which lists (1) the actual component
and subcomponent parts of the rolling stock vehicles identified by manufacturer, country of
origin, and cost; and (2) the actual location of the final assembly point for rolling stock
vehicles, including a description of the activities that took place at the final assembly point
and the cost of final assembly.
Name:
Signature:

Date:
Title:

Post-Delivery Purchaser’s Requirements Certification for
(Rolling Stock Manufacturer Name Here)
POST-DELIVERY PURCHASER’S REQUIREMENTS CERTIFICATION
As required by 49 CFR part 663 – subpart C, ____________________________________
(the recipient) certifies that a resident inspector, ___________________________________
(the resident inspector – not an agent or employee of the manufacturer), was at
__________________________________________ (the manufacturer), manufacturing site
during the period of manufacture of the rolling stock, ______________________________
(number and description of the rolling stock). The inspector monitored manufacturing and
completed a report on the manufacture of the rolling stock, and provided accurate records of
all vehicle construction activities. The report addresses how the construction and operation of
the rolling stock fulfill the contract specifications. After reviewing the report, visually
inspecting the rolling stock, and performance testing the rolling stock, the recipient certifies
that the rolling stock meets the contract specifications.
Name:
Signature:

Date:
Title:

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APPENDIX C

SAMPLE REPORTS

TABLE OF CONTENTS

1.0

EXECUTIVE SUMMARY

2.0

POST-DELIVERY AUDIT PROCEDURES

3.0

POST-DELIVERY BUY AMERICA CERTIFICATION

4.0

3.1

Verification of Domestic Content

3.2

Verification of Final Assembly Requirements

POST-DELIVERY PURCHASER'S REQUIREMENTS CERTIFICATION
4.1

Assignment of Resident Inspector to Final Assembly Location and Rolling Stock
Vehicle Manufacturer's Cababilty and Capacity

4.2

Inspection Testing and Commissioning to Show Vehicles Fulfill Contract
Specifications

5.0

FEDERAL MOTOR VEHICLE SAFETY STANDARDS (FMVSS CERTIFICATION) (IF
APPLICABLE)

6.0

POST-DELIVERY AUDIT CONCLUSIONS

APPENDICES
Appendix 1

Rolling Stock Vehicle Manufacturer’s Post-Delivery Buy America Worksheet,
Auditor’s associated analysis and verification of final assembly cost

Appendix 2

Rolling Stock Vehicle Manufacturer’s Buy America Certification

Appendix 3

Resident Inspector’s Post-Delivery Purchaser’s Requirements Report

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APPENDIX C
1.0

SAMPLE REPORTS

EXECUTIVE SUMMARY

Provide a description of the report including manufacturer, number and type of vehicles, and
references to key FTA guidelines.
Provide a statement about whether the rolling stock vehicle manufacturer is compliant with both
(or all three) certifications; reference FTA regulations (49 CFR parts 661 and 663).
Provide a description of how the report is divided into two (or three) major sections in
accordance with the regulation's requirements, namely:
i)

Post-Delivery Buy America Certification

ii)

Post-Delivery Purchaser's Requirements Certification

iii)

Post-Delivery FMVSS Certification (if applicable)

Include a statement about the appendices of the report containing the relevant attachments to
support the two (or three) major sections.
Provide a statement as to whether the rolling stock vehicle manufacturer meets the
requirements of 49 CFR part 663.
2.0

POST-DELIVERY AUDIT PROCEDURES

Provide a brief description of the procedures used to perform the overall audit, including
whether recipient’s staff or consultants were used. Include a brief statement about the PostDelivery Buy America documentation received from the rolling stock vehicle manufacturer, and
provide a brief overview of the review and analysis performed to determine compliance with Buy
America Requirements, including onsite visits to the rolling stock manufacturer or component
supplier sites. Include a brief statement about the procedures used to verify the Post-Delivery
Purchaser’s Requirements Certification, including the presence of a resident inspector and
confirmation of receipt and review of the resident inspector’s report, to determine compliance
with Post-Delivery Purchaser’s Requirements Certification.
3.0

POST-DELIVERY BUY AMERICA CERTIFICATION

Provide a brief summary addressing the rolling stock vehicle manufacturer’s Post-Delivery Buy
America documentation, and whether the manufacturer meets or does not meet the domestic
content and final assembly requirements. Provide a brief summary of the documentation
provided by the rolling stock vehicle manufacturer and reviewed by the recipient or its
designated auditor.
3.1

Verification of Domestic Content and Final Assembly Cost

Provide a detailed summary of the auditor’s review of the rolling stock vehicle manufacturer’s
Buy America worksheet and whether it includes all the typical components of the rolling stock
being purchased per 49 CFR § 661.11. State the total % domestic content claimed by the
rolling stock vehicle manufacturer.

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APPENDIX C

SAMPLE REPORTS

Include information about the information and documentation reviewed by the auditor to verify
the domestic content, including, but not limited to, whether information about the breakdown of
components, subcomponents, manufacture of origin, percent cost or actual cost of components
and percent cost or actual cost of corresponding subcomponents. Provide a brief summary
about the formulas and calculations used to determine domestic content and whether it is
accurate. Provide any other unique details about the manufacturer’s Buy America worksheet.
Provide a summary of the auditor’s review of the bill of material and whether it was used to
verify components. Provide a summary of the auditor’s review of purchase orders or paid
invoices of components and whether costs were traceable to the rolling stock manufacturer’s
Buy America domestic content worksheet.
Provide a brief summary about whether the manufacturer has signed certificates from
component suppliers certifying U.S. content 46 and a statement about the sampling of the
components supplier’s certifications.
Provide a summary statement affirming the manufacturer’s claimed domestic content based on
the independent analysis. Provide a final statement about whether the Rolling Stock
Manufacturer’s Buy America Worksheet is accurate and documented.
3.2

Verification of U.S. Final Assembly Location and Activities

Provide a brief summary confirming the U.S. final assembly location and how final assembly
activities correspond to minimum final assembly activities in 49 CFR § 661.11 Appendix D.
Make reference to the Resident Inspector’s report that details this information (as an Appendix).
4.0

POST-DELIVERY PURCHASER'S REQUIREMENTS CERTIFICATION

Provide a summary that this section addresses the manufacturer’s Post-Delivery Purchaser’s
Requirements Certification. Provide a brief summary on the methods of review and analysis to
determine if the requirements were satisfied, including presence of the resident inspector,
resident inspector’s report, and verification and results of visual inspection and test sheets.
Provide a summary statement as to whether the Rolling Stock Vehicle Manufacturer meets the
Post-Delivery Purchaser's Requirements, as stated in 49 CFR part 663 Pre-Award and PostDelivery Audits of Rolling Stock Purchases.
4.1

Assignment of Resident Inspector to Final Assembly Location; Verification of
Manufacturer’s Capability and Capacity

Provide a brief summary of the Resident Inspector’s report and how it demonstrates the Rolling
Stock Manufacturer’s Capability and Capacity. Include information such as whether the resident
inspector was at the facility full time or part time, the number of resident inspectors at the final
assembly plant, and the type of inspections performed on vehicles as summarized in the
resident inspector’s report (Appendix 5). Provide a summary of quality assurance and control
46

Note this is just a statement as to whether the manufacturer has obtained certificates from its suppliers;
signed certificates from suppliers is not requirement, but is a recommended practice.

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APPENDIX C

SAMPLE REPORTS

processes and whether the processes are consistent with the appropriate FTA elements of
quality 47 (as an Appendix).
4.2

Inspection Testing and Commissioning to Show Vehicles Fulfill Contract
Specifications

Provide a brief summary of key inspection, testing, test witnessing and commissioning activities
as summarized in the resident inspector’s report, making reference to sample inspection check
sheets, testing procedures, reports, and examples of how the inspection and testing results
meet the technical specification requirements (as an Appendix).
5.0
FEDERAL MOTOR VEHICLE SAFETY STANDARDS (FMVSS CERTIFICATION) (IF
APPLICABLE)
Provide a summary statement that the rolling stock vehicle manufacturer’s actual FMVSS selfcertification sticker information was obtained and reviewed against a sample FMVSS sticker and
was found to include the content required for the Post-Delivery Audit. (Ref. Appendix 6).
6.0

POST-DELIVERY AUDIT CONCLUSION

Provide a summary regarding how the procedures used, analysis performed, and results found
on Post-Delivery Audit of the rolling stock manufacturer indicate that the Buy America
Compliance and the Purchaser’s requirements certification have been satisfied.

47

Available on FTA’s website:
oversight-pmo.

https://www.transit.dot.gov/funding/procurement/project-management­

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