FINAL PWS_A001.pdf

V.7 April 2018

Infrastructure Research & Development

Performance Work Statement

“Leveraging Handheld LiDAR for Construction Inspection and Digital As-Builts”

1.0 Overview

This is a non-personal services contract to provide research, development, and engineering services to deliver a research plan to investigate, assess, and document consumer grade handheld LiDAR technology capabilities, limitations, and assess effectiveness for use by highway construction inspectors.

1. Assess the consumer grade LiDAR technology

2. Determine potential use cases

3. Demonstrate the technology

4. Document case studies

The Government will not exercise any supervision or control over the contract or task order service providers performing the services herein. Such service providers shall be accountable solely to the Contractor who, in turn is responsible to the Government as defined in this Statement of Work (SOW). The Contractor shall perform to the standards herein.

1.1 Purpose

FHWA seeks to engage subject matter experts to conduct research, assess capabilities and limitations, identify use cases, and provide recommendations relating to consumer grade handheld LiDAR technology. This technology has been identified as critical to construction project delivery and oversight while also supporting agency Building Information Management (BIM) initiatives for highway construction.

Goals of this research are to assess the recent consumer grade miniaturized LiDAR (mini- LiDAR) technology built in to Apple Inc’s iPad Pro tablet computer, and gain knowledge to inform FHWA on its capabilities, limitations, and implications for use in highway construction inspection:

• technology assessment

• capabilities and limitations

• pros and cons

• data accuracy, storage, and security

• use for highway construction inspection

• use for digital as built data collection

• data standards that exist, are required, or needed

• enabling technologies and systems required

• complimentary technologies and systems which enhance use, functionality, or accuracy

• identify use cases appropriate for highway construction inspection

1.2 Background

The Federal Highway Administration (FHWA) national efforts supporting SHRP2, e- Construction, and building information management (BIM) for highway infrastructure have accelerated the implementation and deployment of technologies such as automatic machine guidance (AMG), real time density control, unmanned aircraft systems (UAS), light detection and ranging (LiDAR), digital models, digital as-builts, e-ticketing, etc.

The benefits of LiDAR technology are proven, wide reaching, and impact nearly all aspects of highway transportation. The use of LiDAR technology provides high-quality survey and data mapping that could be collected automatically and remotely. Large areas can be digitally scanned and mapped very quickly in comparison to traditional survey and mapping practices.

At the most basic level, LiDAR is a system that shoots low-power lasers at an environment.

Using the reflections, it calculates the distance to objects and points in the environment, and creates an accurate 3D depth map or rendering based on the results. Historic use and wide scale adoption are often hindered by equipment size and cost. Most survey grade LiDAR equipment in use today is vehicle or UAS mounted and relatively expensive; which limits its use for everyday construction inspection activities. Thereby creating a barrier to entry for many state and local agencies.

Apple Inc. recently released a miniaturized LiDAR (mini-LiDAR) scanner as standard equipment with in their newest iPad Pro model. Per Apple, their mini-LiDAR scanner can measure distance to surrounding objects up to 16 feet away, works both indoors and outdoors, and operates at the photon level at nano-second speeds. While initially targeted at augmented reality (AR) and gaming applications; Apple’s mini-LiDAR scanner enables capabilities previously never seen on a consumer level mobile device and opens the door for routine use in digital construction applications. This includes the possibility to easily and cheaply collect data to monitor construction progress. It also enables the possibility of using mini-LiDAR to develop digital as-builts during construction.

Several examples of Apple’s mini-LiDAR scanning & 3D meshing capabilities can be viewed online; and some examples are shown here:

https://www.youtube.com/watch?v=fRUsV-esskM https://www.youtube.com/watch?v=6JMYkHC69OA https://www.youtube.com/watch?v=F8kutn1Xu-U Assessing the capabilities and limitations of Apple’s consumer grade mini-LiDAR technology has a potential significant impact to state and local agencies by breaking down the LiDAR technology cost barrier and enabling routine inspector use. Capabilities and limitations of Apple’s min-LiDAR technology in an outdoor highway construction environment is needed in comparison to current survey grade LiDAR technologies. Leveraging the current use of tablet computing by inspectors to increase efficiency and augment inspection duties, project documentation, project management and acceptance, and create digital as built may be further enhanced with the mini-LiDAR technology already included within a consumer grade tablet computer as standard equipment.

1.3 Objective

The objectives of this effort are to promote the deployment and use of an innovative consumer grade mini-LiDAR technology to enhance construction inspection and use of e-construction practices to improve the performance of the Nation’s transportation system. The objective will be enabled and attained by conducting research to understand Apple Inc’s mini-LiDAR capabilities, limitations, accuracy, systems and supports needed, identify appropriate use cases and then demonstrate the technology to Federal lands and state highway agencies to document case studies. FHWA has identified these technologies as a potentially important consumer grade innovation that can be leveraged to support construction inspection, e-construction, and BIM initiatives.

1.4 Scope

The Contractor shall design and conduct a research study to investigate and document Apple Inc’s mini-LiDAR consumer grade technology thru:

1. A technology assessment (including but not limited to the following aspects)

2. Identify use cases appropriate for the technology and highway construction inspection

3. Development of assessment report and recommended use cases https://www.youtube.com/watch?v=fRUsV-esskM https://www.youtube.com/watch?v=6JMYkHC69OA https://www.youtube.com/watch?v=F8kutn1Xu-U

4. Development and delivery of technology demonstrations, training, and case studies that illustrate the degree to which mini-LiDAR can be used, potential impacts, efficiencies gained, and identify issues or challenges encountered.

1.5 Detailed Requirements

The Contractor shall provide all expertise, personnel, equipment, supplies, facilities, transportation, tools, materials, supervision, and other items and non-personal services necessary to perform the following research and development tasks and provide deliverables.

The Contractor shall have the expertise, equipment, and capabilities to perform the research.

To effectively complete the requirements and tasks, the Contractor shall demonstrate knowledge and experience with LiDAR technologies, research, documenting and developing use case; and demonstrated experience on similar or related efforts.

The Contractor shall not proceed with conducting Task 3 until receiving written FHWA approval.

Phase 1 – Technology Assessment:

Task 1- Develop Final Research Work Plan and Work Breakdown Structures (WBS) Within 30 days from contract start date, fully develop and submit a final research work plan, detailed in the Offeror’s proposal. The research work plan shall be consistent with the Contractor’s proposal and shall include the final research design, a description of materials and data sources pertaining to the study, a plan of execution, work breakdown structure (WBS), project schedule, and deliverables.

1. The technology assessment shall consider and include (but not limited to) the following aspects:

a. Capabilities and limitations

b. Pros and cons

c. Compare and contrast to survey grade LiDAR technologies

d. Ruggedness for use in an outdoor environment across various geographical regions and climates

e. Data accuracy, storage, and security

f. Use for highway construction inspection

g. Use for digital as built data collection

h. Data standards that exist, are required, or needed

i. Enabling technologies and systems required

j. Complimentary technologies and systems which enhance use, functionality, or accuracy

k. Costs

2. Appropriate use cases shall be identified with supporting rational as a result of the Technology Assessment:

a. ranging from use in determining simple linear measurements, elevations, and stockpile or excavation volumes, thru

b. more complex use for digital as builts, and management of assets.

3. Identify and recommend (with supporting rational) at least eight (8) potential agencies and contractors which are well positioned to adopt and utilize the technology for further demonstration and case studies; including

a. one (1) FHWA Federal Lands Highway Division,

b. three (3) or more State highway agencies, and

c. two (2) or more contractors

Task 2- Kick-off Meeting Within 45 days from contract start date, coordinate and deliver a kick-off meeting through web conference to review the requirements and present the final research work plan, work schedule, WBS, delivery schedule, delineate roles and responsibilities, and establish communication protocols. The kick-off meeting shall be coordinated with the contracting officers representative (COR) and other invited guests. Seven days in advance of the kick-off meeting, the Contractor shall prepare and submit a meeting agenda to the COR for review and comment. Within 15 days after the kickoff meeting, the Contractor shall prepare and submit, a summary of the kickoff meeting and submit a revised final research work plan and WBS that incorporate the comments and feedback provided from FHWA.

Task 3 – Perform Research and Document Efforts Within 12 months from contract start date, the Contractor shall perform the approved research work plan resulting from Tasks 1 and 2.

Within, 13 months from contract start date, the Contractor shall develop and submit a draft Final Report documenting the efforts, findings, recommendations, conclusions, and use case recommendations. The draft final report shall include the data and analysis results used to formulate the findings, recommendations, and conclusions. The Contractor shall provide all information, data logs, information obtained from DOTs and industry stakeholders produced for this effort with the report. The COR shall provide comments within 21 days of the report’s submission. The Contractor shall revise the report as necessary to reflect the COR’s comments.

The contractor shall provide the revised draft Final Report within 21 days from receiving comments.

Note: The revised draft Final Report shall be Section 508 compliant and meet publication requirements per Section 3.12 and Section 5.0 when submitted with revisions addressing COR comments.

Task 4 – Draft TechBrief Within, 14 months from contract start date, the Contractor shall develop and submit a draft TechBrief that condenses and concisely provides the information from the Final Report highlighting efforts, important information, findings, recommendations, and conclusions.

The COR shall provide comments within 15 days of the report’s submission. The Contractor shall revise the report as necessary to reflect the COR’s comments. The contractor shall provide the revised draft TechBrief within 15 days from receiving comments.

Note: The revised draft TechBrief shall be Section 508 compliant and meet publication requirements per Section 3.12 and Section 5.0 when submitted with revisions addressing COR comments.

Note: All technical work and draft final deliverables for Tasks 1 thru 4 must be completed within 15 months from contract start date as required in the deliverables schedule. Additional months are included for agency publication review, comment, and any revisions required by the Contractor to make the deliverables Publication Ready.

Task 5 – Publication Ready Final Report The revised draft Final Report shall undergo further FHWA technical review, publication review, Office of Public Affairs review, and Office of Chief Counsel review. Because of these reviews additional changes may be required and shall be made by the Contractor to create Publication

Ready deliverables. The Contractor shall provide the revised draft final deliverables as necessary to reflect required changes and comments provided by these reviews.

Within 20 months from contract start date, submit the publication ready Final Report.

Task 6 – Publication Ready TechBrief The revised draft TechBrief shall undergo further FHWA technical review, publication review, Office of Public Affairs review, and Office of Chief Counsel review. Because of these reviews additional changes may be required and shall be made by the Contractor to create Publication Ready deliverables. The Contractor shall provide the revised draft final deliverables as necessary to reflect required changes and comments provided by these reviews.

Within 21 months from contract start date, submit the publication ready TechBrief.

Phase 2 – Technology Demonstration and Case Studies (Optional)

Task 7 – Technology Demonstration and Case Studies (Optional) As a result of Phase 1, within 26 months from contract start date acquire the technology, perform technology demonstrations and training, and develop case studies with each stakeholder, up to a maximum of eight (8).

Task 8 – Draft Case Studies (Optional) Within 26 months from contract start date, the Contractor shall develop and submit draft Case Studies, up to a maximum of eight (8), that document one or more use cases with each stakeholder. The Case Studies shall illustrate the degree to which mini-LiDAR can be used, potential impacts, efficiencies gained, and identify issues or challenges encountered. The COR shall provide comments within 21 days of the case study submission. The Contractor shall revise the deliverables as necessary to reflect the COR’s comments. The contractor shall provide the revised draft final deliverables within 21 days from receiving comments.

Note: The revised draft Case Studies shall be Section 508 compliant and meet publication requirements per Section 3.12 and Section 5.0 when submitted with revisions addressing COR comments.

Task 9 – Publication Ready Case Studies (Optional) The revised draft Case Studies shall undergo further FHWA technical review, publication review, Office of Public Affairs review, and Office of Chief Counsel review. Because of these reviews additional changes may be required and shall be made by the Contractor to create Publication Ready deliverables. The Contractor shall provide the revised draft final deliverables as necessary to reflect required changes and comments provided by these reviews.

Within 32 months from contract start date, submit the publication ready Case Studies.

Phase 3 – Presentations and National Webinar (Optional) Note: The PowerPoint presentation for the National Webinar is required to be provided using FHWA’s approved PowerPoint template and publication requirements, including image source citations, copyright and model release permissions, etc. Do not develop and submit without the FHWA approved template.

Task 10 – Presentations (Optional)

The Contractor may be asked to present findings of this study to various stakeholder groups, including, but not limited to: state highway agencies, expert task groups, user producer groups, and other technical working groups, and industry groups. In preparation for this type of stakeholder outreach, the Contractor shall develop a technical presentation of the results and recommendations.

Within 28 months from contract start date, develop and submit a draft PowerPoint presentation presenting the efforts, findings, recommendations, conclusions, and case studies. The COR shall provide comments within 21 days of draft PowerPoint submission. The Contractor shall revise the draft PowerPoint presentation as necessary to reflect the COR’s comments. Within 14 days from receiving comments, submit the revised draft final PowerPoint Presentation.

Note: The revised draft PowerPoint shall be Section 508 compliant and meet publication requirements per Section 3.12 and Section 5.0 when submitted with revisions addressing COR comments.

Task 11 – Publication Ready Presentation (Optional) The revised draft Powerpoint shall undergo FHWA technical review, publication review, Office of Public Affairs review, and Office of Chief Counsel review. Because of these reviews additional changes may be required and shall be made by the Contractor to create Publication Ready deliverables. The Contractor shall provide the revised draft final deliverables as necessary to reflect required changes and comments provided by these reviews.

Within 32 months from contract start date, submit the final deliverables.

Task 12 - Stakeholder presentations and National Webinar (Optional) Within 34 months from contract start date, conduct a national webinar via FHWA’s Adobe Connect web conferencing system, in coordination with the COR to present the publication ready PowerPoint. The Contractor shall also present findings to at least two stakeholder group meetings as agreed with the COR.

2.0 Period of Performance

The period of performance (including all options) shall be 34 months from the contract start date.

All technical work and draft final deliverables for Tasks 1 thru 4 must be completed within 15 months from contract start date as required in the deliverables schedule. Additional months are included for agency publication review, comment, and any revisions required by the Contractor to make the deliverables Publication Ready.

All technical work and deliverables for Tasks 5 and 6 must be completed within 21 months from contract start date as required in the deliverables schedule.

All technical work and draft final deliverables for Tasks 7 and 8 must be completed within 27 months from contract start date as required in the deliverables schedule. Additional months are included for agency publication review, comment, and any revisions required by the Contractor to make the deliverables Publication Ready.

All technical work and deliverable for Task 9 must be completed within 32 months from contract start date as required in the deliverables schedule.

All technical work and draft final deliverables for Tasks 10 must be completed within 29 months from contract start date as required in the deliverables schedule. Additional months are included for agency publication review, comment, and any revisions required by the Contractor to make the deliverables Publication Ready.

All technical work and deliverable for Task 11 must be completed within 32 months from contract start date as required in the deliverables schedule.

All technical work and deliverable for Task 12 must be completed within 34 months from contract start date as required in the deliverables schedule.

Given the time-sensitive nature of this effort, Offerors are encouraged to be aggressive with their proposed schedule without sacrificing technical quality. Completion of work ahead of schedule and with no performance issues will be noted on the Contractor’s performance evaluation in the government-wide Contract Performance Assessment Reporting System

(CPARS).

3.0 General

N/A

3.1 Hours of Operation

N/A

3.2 Place of Performance

The location of work performed under this contract will be at the Contractor’s facilities or field locations.

3.3 Physical Security

The Contractor shall be responsible for safeguarding all government equipment, information, and property provided for Contractor use. The Contractor shall establish appropriate administrative, technical, and physical safeguards to protect all Government data, to ensure the confidentiality, integrity, and availability of government data. As a minimum, this shall include provisions for personnel security, electronic security and physical security as listed in the sections that follow.

3.4 Special Qualifications

The Contractor shall have documented experience and peer recognized expertise in:

1. Documented knowledge and understanding of LiDAR technologies, equipment, operations, platforms, capabilities, limitations, accuracy, and use.

2. Research workplan design and analysis, data gathering, and case studies.

3. Working with highway agencies to obtain the data and materials needed to accomplish the work.

4. Developing and documenting reports, graphics, tables, images, and deliverables that comply with Section 508 of the Rehabilitation Act requirements.

5. Providing graphic design and visualization; and ability to present complex information in a simple way to non-engineering or non-scientific audiences and users.

3.5 Periodic Progress Meetings

The Contractor agrees to attend progress meetings. The Contracting Officer or COR, and other Government personnel, as appropriate, may meet periodically with the Contractor to review the

Contractor's performance. At these meetings, the CO will apprise the Contractor of how the Government views the Contractor's performance and the Contractor will apprise the Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues. These meetings shall be at no additional cost to the Government.

3.6 Identification of Contractor Employees

All contractor personnel attending meetings, answering Government telephones, and working in other situations where their Contractor status is not obvious to third parties are required to identify themselves as such to avoid creating an impression in the minds of members of the public that they are Government officials. They must also ensure that all documents or reports produced by Contractors are suitably marked as Contractor products or that Contractor participation is appropriately disclosed.

3.7 Contractor Travel

All travel requires Government approval/authorization and notification to the COR; and shall comply with the Federal Travel Regulations (FTR). Travel shall not exceed $20,000.

3.8 Materials

Other direct costs (ODC) associated with acquiring materials and mini-LiDAR technology to meet the requirements and conduct the assessment, demonstration, and case studies.

3.9 Organizational Conflict of Interest

Contractor and subcontract personnel performing work under this award may receive, have access to, or participate in the development of proprietary or source selection information (e.g., cost or pricing information, budget information or analyses, specifications or work statements, etc.), or perform evaluation services which may create a current or subsequent Organizational Conflict of Interests (OCI) as defined in FAR Subpart 9.5. The Contractor shall notify the CO immediately whenever he/she becomes aware that such access or participation may result in any actual or potential OCI, and may merit the submittal of a plan to the CO to avoid or mitigate any such OCI. This mitigation plan would be determined to be acceptable solely at the discretion of the CO, and in the event the CO unilaterally determines that any such OCI cannot be satisfactorily avoided or mitigated, the Contracting Officer may affect other remedies as he or she deems necessary, including prohibiting the Contractor from participation in subsequent contracted requirements which may be affected by the OCI.

3.10 Phase In /Phase out Period

N/A

3.11 Data Rights

The Government has unlimited rights to all documents, material, pictures, graphics, charts, and data produced under this award. All documents and materials, to include the source code of any software produced under this contract, shall be Government owned and the property of the Government with all rights and privileges of ownership/copyright belonging exclusively to the Government. These documents and materials may not be used or sold by the Contractor without written permission from the CO. All materials supplied to the Government shall be the sole property of the Government and may not be used for any other purpose. This right does not abrogate any other Government rights.

3.12 Deliverables Preparation

NOTE: The following applies to all FHWA contracts and assistance agreements containing Information and Communication Technology (ICT) as a deliverable.

In addition to the work requirements specified in this statement of work, the Contractor shall ensure that all ICT deliverables meet the requirements of Section 508 of the Rehabilitation Act and the ICT Final Standards and Guidelines (508 Refresh) at 36 CFR Part 1194.

As defined in the 508 Refresh, at 36 CFR Part 1194, Appendix A, E103.4, ICT is “Information technology and other equipment, systems, technologies, or processes, for which the principal function is the creation, manipulation, storage, display, receipt, or transmission of electronic data and information, as well as any associated content. Examples of ICT include, but are not limited to: computers and peripheral equipment; information kiosks and transaction machines;

telecommunications equipment; customer premises equipment; multifunction office machines;

software; applications; Web sites; videos; and, electronic documents.”

Section 508 requires that all electronic products prepared for the Federal Government be accessible to persons with disabilities, including those with vision, hearing, cognitive, and mobility impairments.

Applicable Standards:

• Appendix A to Part 1194 – Section 508 of the Rehabilitation Act: Application and Scoping Requirements

• Appendix B to Part 1194 – Section 255 of the Communications Act: Application and Scoping Requirements

• Appendix C to Part 1194 – Functional Performance Criteria and Technical Requirements

Section 508 Refresh standards are available at https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh.

The Contractor shall adhere to the terms and requirements in FHWA Form 4260 Section 508 Information and Communication Technology (ICT) Conformance Criteria for Section 508 conformance. The Conformance Criteria document does not need to be completed when submitting a deliverable.

All final deliverables shall be Section 508 compliant to meet accessibility requirements and shall be self-certified to be Section 508 compliant by the Contractor. Microsoft Word versions of deliverables shall be provided and shall be 508 compliant.

All final deliverables, products, reports, and software shall be user friendly, visually appealing, and shall be prepared in accordance with the Turner-Fairbank Highway Research Center R&D Communication Reference Guide, February 2017 [Publication Number FHWA-HRT-15-058] requirements and Research Publication Development Tools guidance. The Communication Reference Guide is available at https://www.fhwa.dot.gov/publications/research/general/15058/.

The Research Publication Development Tools guidance is available at https://highways.dot.gov/research/publication-tools.

All data generated and collected shall be provided as deliverables, including any test data and test results obtained and used to provide the contract services and deliverables. All test data deliverables shall be submitted and in accordance with the Federal Highway Administration Pavement Research Database System DIRECTIVE, PRDS Extramural Information Exchange Standards, PRDS-1, April 27, 2018 (Exhibit 2) and Federal Highway Administration, Project Data and Metadata Management Guidelines (Exhibit 3):

https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh/final-rule/text-of-the-standards-and-guidelines#appendix-a https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh/final-rule/text-of-the-standards-and-guidelines#appendix-a https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh/final-rule/text-of-the-standards-and-guidelines#appendix-b https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh/final-rule/text-of-the-standards-and-guidelines#appendix-b https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh/final-rule/text-of-the-standards-and-guidelines#appendix-c https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh/final-rule/text-of-the-standards-and-guidelines#appendix-c https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh https://www.fhwa.dot.gov/508/docs/form4260.pdf https://www.fhwa.dot.gov/508/docs/form4260.pdf https://www.fhwa.dot.gov/publications/research/general/15058/ https://highways.dot.gov/research/publication-tools

1. Proposed and final table structure, sample data, format, data dictionary and code list to store data generated under this contract, for FHWA review and approval;

2. Any data collected or generated under this contract, in the FHWA approved format (from Item 1), along with metadata and related documentation;

3. Source Code and Documentation for any software tools developed under this contract.

Item 1. shall be submitted for review at an early date to allow review, revisions, and approval.

4.0 Government Furnished Equipment and Services (Note: enter “N/A” for the elements that are not applicable to your project)

4.1 Services

N/A

4.2 Facilities

N/A

4.3 Materials

N/A

5.0 Applicable Publications (Current Editions)

The Contractor must abide by the following regulations, publications, manuals, and local policies and procedures.

• Section 508 Refresh Standards (https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh)

• Federal IT Accessibility Initiative (Home Page) (http://www.section508.gov/)

• Paperwork Reduction Act (PRA) (https://pra.digital.gov/)

• Turner-Fairbank Highway Research Center R&D Communication Reference Guide, February 2017 [Publication Number FHWA-HRT-15-058] (https://www.fhwa.dot.gov/publications/research/general/15058/)

• Research Publication Development Tools (https://highways.dot.gov/research/publication-tools). Including copyright and model release permissions.

• Federal Highway Administration, Pavement Research Database System DIRECTIVE, PRDS Extramural Information Exchange Standards, PRDS-1, April 27, 2018 (Exhibit 2)

• Federal Highway Administration, Project Data and Metadata Management Guidelines (Exhibit 3)

• Federal Travel Regulations (FTR) (https://www.gsa.gov/policy-regulations/regulations/federal-travel-regulation-ftr)

5.1 Applicable Clauses

52.217-9 Option to Extend the Term of the Contract

(a) The Government may extend the term of this contract by written notice to the Contractor any time prior to contract expiration, provided that the Government gives the Contractor a preliminary written notice of its intent to extend any time before the contract expires. The preliminary notice does not commit the Government to an extension.

(b) If the Government exercises this option, the extended contract shall be considered to include this option clause.

(c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed 40 months.

https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh https://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-ict-refresh http://www.section508.gov/ https://pra.digital.gov/ https://www.fhwa.dot.gov/publications/research/general/15058/ https://highways.dot.gov/research/publication-tools https://highways.dot.gov/research/publication-tools https://www.gsa.gov/policy-regulations/regulations/federal-travel-regulation-ftr https://www.gsa.gov/policy-regulations/regulations/federal-travel-regulation-ftr

6.0 Attachment/Exhibit List

6.1 Exhibit 1 - Deliverables Schedule

6.2 Exhibit 2 - Federal Highway Administration Pavement Research Database System Directive, PRDS Extramural Information Exchange Standards, PRDS-1, April 27, 2018

6.3 Exhibit 3 – Project Data and Metadata Management Guidelines

TECHNICAL EXHIBIT 1

DELIVERABLES SCHEDULE

Deliverable Delivery Date Format Recipient 508 Compliant

Task 1: Draft Final Work Plan and WBS

Within 30 days from contract start date

Email, Microsoft Word

COR No

Task 2: Kick-off Meeting

Within 45 days from contract start date

Webinar COR No

Task 2: Revised Final Work Plan and

WBS

Within 15 days from the Kick-off Meeting

Email, Microsoft Word

COR No

Task 3: Draft Final Report

Within 13 months from contract start date

Email, Microsoft Word

COR No

Task 3: Revised Draft Final Report

Within 21 days from receiving comments

Email, Microsoft Word

COR Yes

Task 4: Draft TechBrief

Within 14 months from contract start date

Email, Microsoft Word

COR No

Task 4: Revised Draft TechBrief

Within 15 days from receiving comments

Email, Microsoft Word

COR Yes

Task 5: Publication Ready Final Report

Within 20 months from contract start date

Email, Microsoft Word

COR Yes

Task 6: Publication Ready TechBrief

Within 21 months from contract start date

Email, Microsoft Word

COR Yes

Deliverable Delivery Date Format Recipient 508 Compliant

Task 7: Technology Demonstrations (Optional)

Within 26 months from contract start date

Email, Microsoft Word, Microsoft PowerPoint, and other effective multimedia

COR No

Task 8: Draft Case Studies (Optional)

Within 26 months from contract start date

Email, Microsoft Word

COR No

Task 8: Revised Draft Case Studies (Optional)

Within 21 days from receiving comments

Email, Microsoft Word

COR Yes

Task 9: Publication Ready Case Studies (Optional)

Within 32 months from contract start date

Email, Microsoft Word

COR Yes

Task 10: Draft Presentation (Optional)

Within 28 months from contract start date

Microsoft PowerPoint wi th FHWA templa te

COR No

Task 10: Revised Draft Presentation (Optional)

Within 14 days from receiving comments

Microsoft PowerPoint wi th FHWA templa te

COR Yes

Task 11: Publication Ready Presentation (Optional)

Within 32 months from contract start date

Microsoft PowerPoint wi th FHWA templa te

COR Yes

Task 12: Stakeholder presentations and National Webinar (Optional)

Within 34 months from contract start date

Webinar & Microsoft PowerPoint with FHWA template

COR Yes

Data, test data, source codes, and documentation in accordance with Section 3.12 Deliverables Preparation

Within 34 months from contract start date

FHWA approved format

COR No

Federal Highway Administration Pavement Research Database System

DIRECTIVE

Date: April 27, 2018 Directive Number: PRDS-1 Supersedes:

Subject: PRDS Extramural Information Exchange Standards

Introduction

In the many research pursuits that FHWA conducts, measurements are taken, and data is collected and analyzed by a research team. The objective of the Pavement Research Database System (PRDS) is to manage and provide access to data measured and collected during a research project and information concerning the research project results for use by others. The purpose of this document is to provide simplified standards for extramural data on the basics of formatting data collections into data products than can be used by others.

Extramural data is defined as data and information produced under FHWA research contracts by agencies outside of the federal government, state DOT research contracts that may have some portion of federal funding, and/or other pavement related research projects that the project sponsor would like to publish using FHWA resources.

This guide is intended to be a simplified version Federal Data Standards for small-scale databases envisioned to be published using the PRDS. References to formal Federal Resources on overarching data standards are contained in a latter portion of this document.

Data storage methods

The following are common data storage mechanisms typically used for basic engineering research data:

• Spreadsheets. The current FHWA standard is the use Microsoft Office products, thus data submitted in spreadsheets should be formatted in MS Excel format.

• Databases. In addition to Microsoft Access, FHWA can also accept databases formatted in Oracle and Microsoft SQL Server formats.

• Structured data file formats. This category includes many file formats that are produced by modern laboratory test equipment and used for advanced large data binary formats. The data is contained in an electronic file(s) with a defined structure. The simplified federal requirements are that these files be written in common American Standard Code for Information Interchange

Directive PRDS-1. Extramural Information Data Exchange Standards

(ASCII) text format. While an Extensible Markup Language (XML) standard formats are now preferred, use of comma separated files (CSV), fixed column width files, and other defined format files can be acceptable, provided their format is documented. Use of binary files that require special software to read, are generally not acceptable. Database creators, who desire to submit their data in some of the more common custom binary database formats such as Hierarchical Data Format (HDF), Technical Data Management Streaming (TDMS), etc. that require non-mainstream software programs to decode, should contact their FHWA staff representative for approval.

Metadata

A key to effective data interchange is providing metadata that describes the contents of data stored in electronic formats. For the purposes of the PRDS, metadata will be discussed in terms of data dictionaries, structured data file formats, and computed parameters.

Data Dictionary

When data is stored in either a database or spreadsheet format, provision of a data dictionary is required to provide an external data user the capability to understand the structure of the provided tables or worksheets. The key features of a data dictionary include table descriptions, field descriptions, units, codes, and other reference information.

In the following discussion, the word “table” will be used to represent both tables in traditional databases and worksheets in Excel Workbooks or other types of spreadsheets. For Excel Workbooks, a worksheet is the equivalent of a database table, a column is the equivalent of a database field, and rows are the equivalent of database records.

While underscores for spaces are used throughout this document for table and field names, they are a holdover from past database programming practices. The underscores are used to make writing SQL scripts to query a database easier to write.

Table Descriptions. This is a general description of the contents of tables contained in a database.

Each table must have a unique name that should be intuitive and expressed in common terms. Usage of codes in table names should be avoided to the extent possible - abbreviations are preferred over cryptic index references. A separate table should be included in the electronic archive with the name Table_Description or Table_Reference which contains the requisite information. The basic format of the Table_Reference table includes the following:

Item Description Required?

TABLE_NAME The exact name of a table as contained in the database.

Yes

TABLE_DESCRIPTION Brief statement of the general contents of the table

Yes

TABLE_ALIAS A common or alternative name for the table for programming an advanced user interface to a database warehouse.

No

CLASS_NAME Assignment of a classification or module name to a table. Useful in large databases where one wishes to display related tables in a group of similar tables.

No

CLASS_NAME_SORT_ORDER Assignment of the display of tables in a predefined sort order. Useful in large databases where data is stored in a hierarchical or snowflake design.

Field Descriptions. This table provides the basic description of each field contained within a table.

Each FIELD_NAME within a table must be unique. Preferred practice is that every unique FIELD_NAME within the same database should have the same description, units and meaning in every table that it is used. A separate table should be included in an electronic archive with the name Data_Dictionary or Field_Reference. The basic format of the Field_Reference table includes the following:.

TABLE_NAME The exact name of a table as contained in the database.

Yes

FIELD_NAME The exact name of the field contained in the table.

Yes

FIELD_DESCRIPTION Brief statement on the contents of the field. Yes FIELD_UNITS The units of measurement contained within the field. Preferred practice is to use common text fields associated with the units in different standards, as the method to specify the units. Extra attention should be paid to time fields, as these can vary between software platforms. The units field can be left null for fields that do not represent a measurement with an associated unit.

Yes

UNIT_SYSTEM This field indicates the unit system the units specified in the FIELD_UNITS field uses. This is useful in databases where mixed units are used and it is desired to program an automated the data delivery system in a consistent set of units.

No

FIELD_CODETYPE This field provides an index on the field that have been populated with a code. Preferred practice for CODETYPE fields is that they be named using text fields that generally describe the type of code. This field is only required if coded fields are contained within the database

Depends

FIELD_ALIAS A common or alternative name for a field in a table for programming an advanced user interface from a database warehouse. The most common use of this type of field is to provide an intuitive field name when abbreviations are used in the underlying data storage tables

Codes. Codes are used in databases to reduce data storage requirements and provide an easy means to sort data. In legacy database formats, to reduce data storage requirements, the preferred practice was to use integer numbers. For example, North was assigned the integer number 1 in many legacy databases.

Many of the legacy databases used Federal Information Processing Standards (FIPS) codes, where integers are still used to refer to states and counties. In extramural databases, use of fields that have an intrinsic understanding without need to reference secondary definitions is encouraged. For example, instead of using a code of 1 to represent the direction NORTH, just use the text field ‘NORTH’ as the code value. Whereas referential integrity of data inputs was easier to control when integer values were used in legacy systems, modern data base systems can be programed to used controlled text codes.

When codes are used within a database, a two-level table data structure is recommended for users to decode use in a specific table. The first level table is a CODETYPE table, and the second level is the CODES table.

The purpose of the CODETYPE table is to provide a unique index, or name, to assign to each of the different CODETYPE that are specified in the Field_Reference table by unique combinations of Table_Name and Field_Name. The preferred practice is that each unique Field_Name, in the data set, be assigned the same CODETYPE the all the tables in which they appear. The basic format and contents of the CODETYPE table include the following:

CODETYPE Name assigned to a common set of codes. Yes CODE_DESCRIPTON Description of the type of codes associated with the specified CODETYPE Yes

SOURCE Text reference to other documents where more information on where the codes used for this CODETYPE are further defined.

The CODES table provides a translation of the meaning of the different codes values based on CODETYPE, and in some cases other information. For example, the use of old FIPS codes for counties, requires additional knowledge of the state, since all states have a county code of 1. In these cases, there is a requirement for the CODES table to have additional fields to properly relate back to data tables. The basic format and contents of the of CODES table include the following:

CODETYPE Name assigned to a common set of codes. Yes CODE Index associated Description of the type of codes associated with the specified

CODETYPE

Yes

DETAIL Text description defining the meaning of the code.

Yes

ADDITIONAL_CODE This is a code value is needed to properly interpret the relationship between multiple code types, such as state and county codes using the FIPS system.

Depends

AADITIONAL_CODETYPE CODETYPE of the field entered in the ADDITION_CODE field

Depends

Structured Data File Formats

The basic requirement for structured data file formats, is that a text based file is supplied along with the data that defines the format of all data files provided. The format definition text file shall describe file name conventions, detailed data formats used within each file, and schema for data formats that link multiple files containing a single test procedure together. For approved advanced structured data file formats, the necessary Dynamic Link Library (DLL), Application Programing Interface (API), or other software needed to decode the data shall be provided along with usage instructions.

Computed Parameters

Computed parameters are computations based measurements contained within the data achieve and other data. When computed parameters are contained within a data file, a text description of the algorithms and detailed description of the equations, coefficients, and other methods used for computed parameters contained in the data files, shall be provided. The terms in the description of the computed parameter equations shall be matched with the corresponding names of the data field names contained in the provided data.

Resources

The following resource documents can be useful in providing data to FHWA for public dissemination:

• Department of Transportation Information Dissemination Data Quality Guidelines. This requirement is written into most modern FHWA contracts under the terms of conformance with the “Data Quality Act”.

https://www.transportation.gov/sites/dot.gov/files/docs/DOT%20Information%20Dissemination %20Quality%20Guidelines.pdf

• FHWA data governance plan. While this plan is still in development, some of the essential features can be found in the following document:

https://www.fhwa.dot.gov/datagov/dgpvolume%201.pdf

• National Information Standards Organization (NISO), Understanding Metadata. This document provides a primer on the basics of modern metadata standards.

https://groups.niso.org/apps/group_public/download.php/17446/Understanding%20Metadata.pdf

• Appendix A to this directive contains an example Excel spreadsheet that conforms to the guidelines contained in this directive. These set of spreadsheets are from an example extraction of LTPP data using the InfoPave Interface.

https://www.transportation.gov/sites/dot.gov/files/docs/DOT%20Information%20Dissemination%20Quality%20Guidelines.pdf https://www.transportation.gov/sites/dot.gov/files/docs/DOT%20Information%20Dissemination%20Quality%20Guidelines.pdf https://www.fhwa.dot.gov/datagov/dgpvolume%201.pdf https://groups.niso.org/apps/group_public/download.php/17446/Understanding%20Metadata.pdf

Prepared by: TSSC Approved by:

Eric Weaver FHWA Highway Research Engineer

HRDI-20

Appendix A. Example Excel Spreadsheet

The following example of an excel spreadsheet, meeting the standards presented in this document is based on an extraction from the LTPP database using the InfoPave Web interface. In this example, material test data from TST_AC02 – Asphalt Concrete Bulk Specific Gravity and TST_AC03 – Asphalt Concrete Maximum Specific Gravity for two test sections located next to each other are shown.

To simplify this example, extraneous data fields have been removed from the actual data download from InfoPave.

In this example, Excel spreadsheets formats, extracted from an Oracle database, are shown. In these descriptions, the words ‘field’ and ‘column’ are used interchangeably. Column properly defines a column in a spreadsheet, and field properly defines a column in a database table. Also, table and spreadsheet are used interchangeably.

• Table Reference. This spreadsheet presents metadata descriptions of the other spreadsheets contained in this workbook that contain data. The primary purpose of this sheet is to indicate the contents of the other spreadsheets contained within the Excel file. It represents the table of contents to the spreadsheet. In this example, the CLASS_NAME field, which is optional, represents a hierarchical classification of data, that is used in more advanced database presentation schemes, to simplify finding specific data of interest to a user.

• Field Reference. This spreadsheet provides the data dictionary for the contents of the other spreadsheets that contain data. The primary purpose of this spreadsheet is to provide a description of all columns in the other data spreadsheets, units used in the columns, and identification of the codes type used in fields containing codes. In this example, the field UNIT_SYSTEM is used by the data delivery system to provide a mechanism to provide data in either US customary or international system of units (SI). There is another table within the database, not shown in this example, that translates units between US Customary and SI.

• Codes Reference. This table contains a reference for all the fields populated with a code. The CODETYPE column provides the key reference to the type of code defined in the Field Reference spreadsheet, and the related code defines the meaning of the code. In this example, the ADDL_CODE column is used to differentiate between compound code fields, where contents of another column in a line is required to define a unique definition of a code value.

• TST_AC02. This is the table presenting the bulk specific gravity measurement from lab tests on asphalt concrete core samples. Because specific gravity is a normalized unit of measurement, no units are shown for this column in the Field Reference spreadsheet.