RFP Body Amend 1 Track Changes.pdf

DTFR53‐12‐R‐00101

SECTION B

SUPPLIES OR SERVICES AND PRICES/COSTS

The Contractor shall furnish all facilities, materials, and personnel, and shall perform all services necessary to perform the tasks described herein under this contract entitled, “Technical Assistance for

Research, Development, Test and Evaluation.” Any travel required under the task orders will be reimbursed at cost.

This is an indefinite delivery/indefinite quantity (IDIQ) task ordering contract. The Government intends to compete prospective task orders among the multiple IDIQ awardees to the maximum extent practicable. The minimum amount will be awarded on the base IDIQ and task orders will be competed among the IDIQ awardees. The pertinent NAICS code for this procurement is 541330. The minimum and maximum cumulative dollar values of potential awards under a contract are summarized in the chart below:

CLIN Period of Performance Minumum Maximum

1 Base 15 March 2012‐14 March 2015 10,000.00$ 6,000,000.00$

2 Option 1 15 March 2015‐14 March 2017 ‐$ 4,000,000.00$

Totals: 10,000.00$ 10,000,000.00$

The contractor should provide rate information for each labor category they plan to utilize over the term of this contract. This information will be incorporated into section B of the award document. . The contractor shall fill in the proposed labor rates in the chart below:

Labor Category Base Period Rate Option Period Rate

SECTION C

STATEMENT OF WORK

This Statement of Work is the general scope that describes the areas of potential work that may be required.

C.1 BACKGROUND

The Federal Railroad Administration’s Office of Research and Development conducts a variety of research programs for improving rail transportation efficiency and safety. Frequently, these programs are derived from short term reactive conditions requiring the research to be performed as expeditiously as possible. This contract is intended as a mechanism for providing timely responses in such instances, as well as to provide a mechanism for the support of programmed research.

As discrete research requirements are defined, individual task orders will be established under this contract to address specific research needs. Topic areas which may be included in task orders under this contract are:

• Railroad Vehicles; Non‐electric Motive Power and Components;

• Hazardous Materials Transportation by Railroad;

• Railroad Operating Practices;

• Safety Management Systems

• Railroad Track, Structures and Components;

• Track‐Train Interaction;

• Passenger and Freight Operations;

• Advanced Rail Systems Technology, including Positive Train Control;

• Railroad Signal, Communication, Control;

• Electric Traction Power; and

• Program Evaluation.

Individual task orders may involve one or more of the above areas.

C.2 TECHNICAL DISCUSSION

Within the topic areas identified above, the contractor can expect to be requested to:

• Perform tests and evaluations on materials or hardware, including vehicles, involving stress, strain, strength, puncture resistance, deterioration, wear characteristics, flaw growth and fatigue under static and/or dynamic conditions with, where appropriate, the consideration of the influence of temperature changes and/or extremes;

• Design, instrument, and monitor tests to be performed by others;

• Design, instrument, monitor or conduct tests to determine the operating envelope limits of railroad vehicles with regard to speed, curving, tipping, truck hunting, rail climb, load, vibration, consist configuration, terrain, track conditions, train handling and other operating environment characteristics which may be relevant;

• Design and/or conduct tests of the performance and safety implications of devices which may be installed or proposed for installation in or on a train to include such considerations as reliability, life expectancy (of the device), visibility, placement, equipment/equipment interface, human/equipment interface, and functional value;

• Evaluate track and equipment maintenance practices as they may affect the performance of the components serviced;

• Design, fabricate, test or calibrate equipment intended to perform non‐destructive evaluations of flaws or flaw growth in track and track components, vehicles and vehicle components and joiners such as welds, rivets, bolts;

• Investigate, characterize, and define the performance and safety implications of the dynamic interaction of trains and individual rail cars with track and track structures;

• Evaluate or develop and validate selection, training, performance and performance qualification requirements, tests, practices, and procedures for various railroad jobs;

• Conduct fuel consumption studies and optimize fuel saving strategies that may be deployed

• Conduct evaluations in revenue service on advanced railroad components that improve safety.

• Conduct railroad network and traffic assignment analyses which will likely consider routings, travel times, layover times, crew change points, costs train consists, and train control issues including dispatching and signaling;

• Develop and/or use computer models which may simulate a variety of railroad operating situations including traffic flows, vehicle or vehicle sub‐system performance, signal and communication system functions;

• Perform statistical analyses of data developed by the contractor or provided by other sources;

• Prepare experimental designs to efficiently test experimental hypotheses and determine the statistical reliability of results;

• Conduct tests of signal system components in laboratory and/or field environments, and provide engineering analysis leading to component safety applicability, usefulness and /or improvement in existing and/or emerging systems;

• Conduct analyses, experiments and equipment tests of advanced and traditional train control systems;

• Identify, evaluate, and determine hazard control methods for proposed types of electrical propulsion schemes for high speed guided ground transportation systems;

• Conduct analyses, experiments, and operational tests of dynamic performance of current collection apparatus for high‐speed guided ground transportation systems;

• Conduct real‐time simulations of railroad operations in support of experiments to determine the effect of PTC technology on human performance and error in various railroad jobs;

• Conduct real‐time simulations of railroad operations in support of experiments to determine the effect of high‐speed operations on rail safety.

• Conduct analyses of safety culture, crew resource management, and safety behavior in various railroad jobs and organizations.

Skills expected to be required to accomplish tasks of the type anticipated under this contract include:

• Engineering ‐ Civil, Mechanical, Electrical/Electronics, Industrial, Chemical, Safety, Railroad, Information Systems, and

• Metallurgy;

• Structures and Material Science;

• Chemistry;

• Railroad Operations;

• Computer Sciences;

• Statistical Analysis;

• Experimental Design;

• Dynamic Analysis;

• Economic Analysis;

• Transportation Planning;

C.3 OBJECTIVE

This contract is to provide rapid response and programmatic support to the research, development, test and evaluation activities of the Federal Railroad Administration in the following related program areas:

• Railroad Vehicles, Non‐electric Motive Power and Components;

• Hazardous Materials Transportation;

• Railroad Operating Practices as it relates to safety, efficiency.

• Railroad Track, Structures and Components;

• Track‐Train Interaction;

• Passenger and Freight Operations;

• Advanced Rail Systems Technology;

• Railroad Signal, Communication, Control; and

• Electric Traction Power Systems.

The nature of likely assignments is discussed in detail in Section C.2, Technical Discussion.

C.4 SCOPE

Research shall be considered for a task assignment under this contract if the work is necessary to assist the FRA in providing a timely response to specified concerns which fall within the program areas outlined in Section C.3, Objective, and requires treatment of the types presented in Section 2.0, Technical Discussion.

It is estimated that approximately 36,000 labor‐hours will be required over a three (3) year period. An option of two (2) years, with 10,000 labor‐hours each, may be exercised during the third year of the contract at the option of the Government. Historically, work of the type contemplated for task orders under this contract have approximated the following distribution of effort and resources:

Program Area Percent of Resources

Railroad Vehicles, Non‐Electric Motive Power and Components 15 Hazardous Materials Transport 15 Railroad Operating Practices 5 Technical Support of FRA at Industry Committees 20 Railroad Track, Structures and Components 5 Track‐Train Interaction 15 Passenger and Freight Operations 10 Advanced Rail Systems Technology 10 Railroad Signal, Communication, Control and Electric Power Systems 5

Major material or equipment requirements are expected to be provided as Government or industry furnished equipment. Computer time and instrumentation costs tend to range from 10 to 30 percent of project costs with track, track‐train and some vehicle research requiring more instrumentation than other types of projects.

Individual task orders will usually be in the cost range of $50,000 to $200,000 with completion periods of from 6 to 18 months. Occasionally, requirements FRA will solicit requirements outside of these norms.

C.5 TASKS AND TASK ORDERING

C.5.1 Contract Management and Administration

Effective upon award of this contract, the contractor shall provide the necessary personnel, facilities, services, equipment, and materials for the overall management of this contract, all task orders issued hereunder, and the related technical activities performed by the contractor within this program. This work includes but is not limited to the following:

Preparation of task plans of action (TPA) in response to preliminary task orders issued by the Contracting Officer (CO);

Management control functions including: task order negotiations; financial accounting and schedule monitoring; subcontractor selection, negotiation and administration; and task staffing;

Progress reports and briefings.

C.5.2 Task Orders

Task orders in one or more of the following subject areas are expected to be initiated as need arises during the life of this contract. Tasks will be numbered sequentially. Task orders will be competed among IDIQ awardees.

C.6 DELIVERY SCHEDULE

Each task order shall identify the deliverables and delivery schedule required for the work involved. In addition, the following is required:

C.6.1 Monthly Progress Reports

Within fifteen (15) days following the end of each month, the contractor shall submit three (3) copies of a progress report describing: major accomplishments during the reporting period; actual versus planned cost and schedule status; problems which may arise and recommended remedial actions; planned activities for the next three months; and minutes of status review meetings. This report shall include all tasks awarded under this contract.

C.6.2 Other Reports

Interim and final reports and software and data tapes shall be prepared in accordance with ANSI/NISO Z39.18‐1995 (Scientific and Technical Reports ‐‐ Elements, Organization, and Design), except for the cover which shall be in accordance with attached sample. Final reports shall be prepared in camera‐ ready format after FRA approval and shall also be supplied in PDF format for inclusion in the R&D report web page.

Deliverables will usually be technical reports, but may also be briefings, microprocessor or word processor diskettes, hardware and software (computer programs) and associated user manuals including sample inputs and outputs from actual runs, drawings, photos, video tapes or some combination. The type of each deliverable will be determined by the nature of the requirement generating the task order.

SECTION D

PACKAGING AND MARKING

D.1 PRESERVATION, PACKING AND MARKING

(a) All packing and mailing of reports or submittals shall be accomplished in the most economical and efficient manner and in accordance with the best commercial practices.

(b) All information submitted to the CO or the COTR shall be clearly marked with the name or the organization/contractor, the contract, task order and/or modification number as appropriate, and the identification of the submission.

D.2 PAYMENT OF POSTAGE AND FEES

All postage and fees related to submitting information under the terms and conditions of the contract, including forms, report, etc., to the CO or the COTR, shall be paid by the contractor.

SECTION E

INSPECTION AND ACCEPTANCE

E.1 CLAUSES INCORPORATED BY REFERENCE

52.246‐8 INSPECTION OF RESEARCH AND DEVELOPMENT—COST REIMBURSEMENT (MAY 2001)

52.246‐7 INSPECTION OF RESEARCH AND DEVELOPMENT—FIXED‐PRICE (AUG 1996)

SECTION F

DELIVERIES OR PERFORMANCE

F.1 PERIOD OF PERFORMANCE

The period of performance for this indefinite delivery/indefinite quantity contract is five years. The base period is three years and option period one is two years.

F.2 PLACE OF PEFORMANCE/DELIVERY

The Contractor shall submit all required deliverables, progress reports and documents in electronic format by email, referencing the contract number, to the following email addresses (Email addresses will be provided in the award document). In the event a shipment is necessary for delivery, the Contractor shall use the following mailing addresses.

Keith Boyea US Department of Transportation Federal Railroad Administration Office of Acquisition and Grants Services 1200 New Jersey Avenue, SE West Building, Third Floor, Room W36‐111 Washington, DC 20590

Contracting Officer’s Technical Representative (COTR):

US Department of Transportation Federal Railroad Administration

1200 New Jersey Avenue, SE Washington, DC 20590 Attention: TBD Phone Number: TBD Email: TBD

F.3 CLAUSES INCORPORATED BY REFERENCE

52.242‐15 STOP‐WORK ORDER ‐‐ ALTERNATE I (APR 1984)

52.247‐34 FOB DESTINATION (NOV 1991)

F.4 OBSERVANCE OF LEGAL HOLIDAYS AND EXCUSED ABSENCE (FIXED PRICE TASK ORDERS ONLY)

a. The Government hereby provides NOTICE and Contractor hereby acknowledges RECEIPT that Government personnel observe the listed days as holidays:

New Year's Day, January 1 Martin Luther King's Birthday, Third Monday in January President's Birthday, Third Monday in February Memorial Day, Last Monday in May Independence Day, July 4 Labor Day, First Monday in September Columbus Day, Second Monday in October Veterans Day, November 11 Thanksgiving Day, Fourth Thursday in November Christmas, December 25 Inauguration Day, January 20 every four years (Washington, DC only)

b. In addition to the days designated as holidays, the Government observes the following days:

Any other day designated by Federal Statute Any other day designated by Executive Order Any other day designated by the President’s Proclamation

SECTION G

CONTRACT ADMINISTRATION DATA

G.1 MONTHLY PROGRESS REPORT

For each task order issued hereunder, the Contractor shall furnish an electronic copy of a monthly progress report to the COTR and to the CO by email on or before the 15th of the month following the calendar month being reported. Each report shall contain concise statements covering the activities relevant to the statement of work, including:

A clear and complete account of the work performed under each task listed in the statement of work. Present planned project accomplishments versus actual accomplishments in terms of time.

An outline of the work to be accomplished during the next reporting period under each task.

A description of any problem encountered or anticipated that will affect the completion of any requirement within the time and fiscal constraints as set forth in the contract, together with recommended solutions to such problems; or, a statement that no problems were encountered.

A description of any specific actions required by the CO and/or COTR to assist in the resolution of a particular problem or to affect the timely progression of the contract.

A Risk Management Log describing risks that might affect the project and the characteristics of the risk. Types of risks that must be considered include risks potentially impacting: project schedule, deliverables, and costs. The Risk Management Log must be maintained on an on‐going basis during the entire period of performance to track risks, mitigation plans and status. Each risk will have a unique number, probability of occurrence and impact of occurrence rating.

Preliminary or interim results, conclusions, trends, or other items of information that the Contractor feels are of timely interest to the FRA.

G.2 INVOICE INSTRUCTIONS

The contractor shall submit invoices in hard copy or electronically on a monthly basis for payment utilizing a Standard Form 1034 in accordance with the “Instructions for Preparation and Submission of Public Vouchers” available via the following link: http://www.dot.gov/ost/m60/tamtar/part1232.htm.

An original copy of the completed form(s) shall be submitted via postal mail to the following address:

DOT/FRA

Franchise Commercial Payments Branch FAA Mike Monroney Aeronautical Center

6500 S. MacArthur Blvd.

Oklahoma City, OK 73169 or Electronically via email to: 9‐amc‐amz‐fra‐invoices@faa.gov

G.3 CONTRACTING OFFICER'S TECHNICAL REPRESENTATIVE (OCT 1994)

(a) The Contracting Officer may designate Government personnel to act as the Contracting Officer's Technical Representative (COTR) to perform functions under the contract such as review and/or inspection and acceptance of supplies, services, including construction, and other functions of a technical nature. The Contracting Officer will provide a written notice of such designation to the Contractor within five working days after contract award or for construction, not less than five working days prior to giving the contractor the notice to proceed. The designation letter will set forth the authorities and limitations of the COTR under the contract.

(b) The Contracting Officer cannot authorize the COTR or any other representative to sign documents (i.e., contracts, contract modifications, etc.) that require the signature of the Contracting Officer.

(c) The Contracting Officer is the only individual who can legally commit or obligate the Government for the expenditure of public funds. The technical administration of this contract shall not be construed to authorize the revision of the terms and conditions of this contract. Only the Contracting Officer can authorize any such revision in writing. The CO shall promptly countermand any action that exceeds the authority of the COTR.

G.4 COTR ASSIGNMENT

The following individuals are hereby designated as the overall Contracting Officer’s Technical Representative (COTR) for this contract.

TBD

FRA/RPD

202.493.XXXX

SECTION H

SPECIAL CONTRACT REQUIREMENTS

H.1 ACCESSIBILITY OF MEETINGS/CONFERENCES AND DELIVERABLES TO PERSONS WITH DISABILITIES

The contractor shall assure that any meeting/conference or deliverables provided pursuant to the contract will meet all applicable standards for accessibility to persons with disabilities in accordance with Sections 504 and 508 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794), and any implementing regulations.

H.2 EXCLUDED FUNCTIONS AND RESPONSIBILITIES

(a) Functions and responsibilities directly involved or associated with the management of any FRA Office are expressly excluded from this contract or order issued hereunder. The parties hereby agree that any instructions, directives, or orders issued under this contract involving such management functions and responsibilities shall be null and void. The following activities are representative of the excluded functions and responsibilities that cannot be provided by the contractor under this contract or order issued hereunder:

(1) Policy making or management of FRA operations;

(2) Program or project management;

(3) Technical management of Government contracts;

(4) Government purchasing, contracting, contract administration, acceptance of materials and/or performance, and pay and accounting therefore;

(5) Direction or supervision of other Government contracts or Government agencies, or otherwise acting as an agent to obligate or commit in any capacity;

(6) Clerical and other administrative type functions required to be performed by civil service personnel; and

(7) Supervision of Government employees.

H.3 REPRODUCTION OF REPORTS

Federal printing and binding regulations require that printing or reproduction of reports, data, or other written materials produced under contracts or grants which exceed 5,000 production units of any page, or 25,000 production units in the aggregate, must be processed through the U.S. Government Printing

Office (GPO). Accordingly, unless otherwise specifically approved in advance by the Contracting Officer, any project report or other written materials produced under an order on this contract that is expected to exceed these limits must be submitted to the COTR in one camera‐ready original. The Government will reproduce copies exceeding the above limits. Any use of color in the final report that would result in color printing (black plus one or more colors) must have prior approval of the Contracting Officer. All printing funded by this contract or order hereunder must be done in conformance with Joint Committee on Printing regulations as prescribed in Title 44, U.S.C., and Section 308 of Public Law 101‐163, and all applicable Government Printing Office and Department of Transportation regulations.

H.4 KEY PERSONNEL

Certain skilled experienced professional are essential to the successful performance of work under this contract. At minimum, key personnel positions shall include positions such as Project Manager.

Resumes of personnel proposed for these positions shall be submitted for evaluation as part of the written technical proposal. The positions listed below are considered to be key personnel under this contract and the individuals shall be employed by the Contractor, or have been issued a letter of intent by the contractor at the time of submission of the written proposal. The individuals approved for the positions listed below shall not be replaced without the prior written approval of the Contracting Officer.

Position Name of Individual (The contractor should submit the names and positions of the key personnel)

H.5 TRAVEL AND PER DIEM

All travel reimbursable hereunder shall conform to the FAR 31.205‐46 and the following:

(a) All travel shall be reimbursed up to the NOT‐TO‐EXCEED dollar amount allocated for travel expenses in accordance with current Government travel regulations at economy class rates when available. If not available, reimbursement vouchers shall be annotated that economy class was not available. All travel must be pre‐approved in writing.

(b) The contractor shall be reimbursed for actual costs incurred for per diem/subsistence costs in accordance with current Government travel regulations. The Government travel regulations and per diem rates applicable to particular geographical areas of the United States are available electronically at website www.gsa.gov.

H.6 REMOVAL OF CONTRACTOR PERSONNEL

It is understood that all personnel assigned by the Contractor to the performance of work hereunder must be acceptable to the Government in terms of personal and professional conduct. Any person in the Contractor’s organization, who is deemed by the Contracting Officer or the COTR to conflict with the interest of the Government, shall be immediately removed from this contract. The reason for removal shall be fully documented in writing by the COTR or DOT Office of Security through the CO. Any security violations, denials or revocations of security clearance may be construed as grounds for immediate removal from the premises and the contract.

NOTE: The proposed replacement’s qualifications and experience shall be equal to those of the individual being replaced and the minimum requirements stated in the Section L.

H.7 ORDERING PROCEDURES

(a) Task Orders negotiated under this contract may be issued only by a designated Contracting Officer representing the U.S. Department of Transportation, Federal Railroad Administration.

(b) Task orders may be solicited, negotiated, and issued from the effective date of this contract through completion or termination of the base period and the two year option period of the contract. If all options are exercised, task orders may be issued through a five (5) year period commencing from the effective date of contract. The period of performance for individual task orders issued under this contract may extend for one year beyond the period of performance of the contract for the base period and the option periods, if exercised.

(c) All task orders shall be subject to the terms and conditions of this basic contract. In the event of conflict between a task order and this contract, the contract shall control. The Government will issue task orders for those segments of work defined in the Statement of Work included herein in Section C.

The task orders shall be the instruments for specific work performance.

(d) Task order proposal requests will be issued to the IDIQ awardees on a competitive basis. Task order awards will be made in accordance with the evaluation criteria stated in the task order proposal request.

Task orders will be executed through bilateral agreement between the contractor and the Federal Railroad Administration Contracting Officer. Task orders will be executed in writing using an Optional Form 347, a suitable agency‐approved form, or any other appropriate contractual instrument. . The labor rates required for any cost reimbursement task order shall not exceed the proposed rates in the

IDIQ.

(e) There is no limit on the number of task orders that may be issued against this contract, if and when needed, within the maximum value of the contract. It is anticipated that cost plus fixed fee task orders will be negotiated for individual work requirements under this contract within the cumulative values stated for the base and each option period. However, if the Government’s requirements (in any period or in all periods combined) do not result in task orders against this contract beyond the stated minimum value ($10,000), that fact shall not constitute the basis for an equitable price adjustment.

(f) Any task order issued during the effective period of this contract and not completed within that time shall be completed by the contractor within the time specified in the order. The task order shall govern the Contractor’s and Government’s rights and obligations with respect to that order to the same extent as if the order were completed during the contract’s effective period.

g) Orders placed under this contract shall contain the following information:

1. Contract number and Task Order number;

2. Scope of Work, including references to applicable requirements in the basic contract;

3. Effective date of the order;

4. Delivery or performance period;

5. The estimated cost for services to complete performance under the task order;

6. List of Government‐owned or third party property, material, or facilities to be furnished by the Government for the performance of the work, if any;

7. Milestones schedule for progress payments, if any;

8. The Not‐to‐Exceed dollar amount for contractor travel and other miscellaneous expenses to be reimbursed by the Government under the task order, if any.

9. Place and manner of inspection and acceptance;

10. Accounting and appropriation data;

11. Name and telephone number of the assigned FRA COTR; and

12. Any other pertinent information.

H.9 TASK ORDER PROPOSAL EVALUATION

(a) Written task order proposal requests for each prospective task order will be issued on a competitive basis by the Contracting Officer. Each task order proposal request shall include the specific statement of work. After issuance of the request, the contractors shall prepare and submit to the Contracting Officer a proposal in accordance with the specific statement of work in the task order proposal request. The proposal shall serve as the basis for negotiation of a finalized task order and shall specify the following:

(1) The technical approach to the work to be performed to include assigned personnel;

(2) The estimated labor, including a cost estimate by labor category and billing rates for each task or subtask;

(3) The estimated direct material, travel, subsistence, and similar costs, if required;

(4) The proposed time schedule for performance, with milestones suitable for monitoring task progress and making payments;

(5) Dollar amount and type of any proposed subcontract, including detailed supporting documentation pertaining to proposed costs;

(6) The total estimated cost, to be drawn against the negotiated ceilings under the basic contract. The cost breakdown shall utilize the current applicable direct and indirect cost rates, not exceeding any ceilings established by the terms of the contract; and

(7) Any other pertinent information related to the technical approach or pricing.

(b) Upon receipt of the contractors’ proposals, the Contracting Officer will evaluate the proposals to determine the proposal that represents the best value to the government. The Government reserves the right to accept or reject the contractor’s proposal without further discussions or negotiations. The

Contracting Officer will hold negotiations, as necessary, to resolve any technical and cost issues in the selected proposal.

(c) Upon completion of the above process, the contractor shall be issued a completed order document accompanied by the Statement of Work to include the incorporation by reference of the accepted technical approach within the proposal. Only upon receipt of a fully executed, written task order shall the contractor commence work hereunder. The Government shall not be obligated to reimburse the contractor for work performed, items delivered, or costs incurred, nor shall the contractor be obligated to perform, deliver, or otherwise incur costs except as authorized by a fully executed, written task order, which has been signed by the Federal Railroad Administration Contracting Officer.

H.10 U.S DEPARTMENT OF TRANSPORTATION (DOT) CONTRACTOR PERSONNEL SECURITY AND

AGENCY ACCESS (NOVEMBER 2011)

The following definitions are provided:

“Agency Access” means access to DOT facilities, sensitive information, information systems or other DOT resources.

“Applicant” is a contractor employee for whom the contractor submits an application for a DOT identification card.

“Contractor Employee” means prime contractor and subcontractor employees who require agency access to perform work under a DOT contract.

“Identification Card” (or “ID card”) means a government issued or accepted identification card such as a Personal Identity Verification (PIV) card, a PIV‐Interoperable (PIV‐I) card from an authorized PIV‐I issuer, or a non‐PIV card issued by DOT, or a non‐PIV card issued by another Federal agency and approved by DOT. PIV and PIV‐I cards have physical and electronic attributes that other (non‐PIV) ID cards do not have.

“Issuing Office” means the DOT entity that issues identification cards to contractor employees.

“Local Security Servicing Organization” means the DOT entity that provides security services to the DOT organization sponsoring the contract.

1. Risk and Sensitivity Level Designations – For contracts requiring access to DOT facilities, sensitive information, information systems or other DOT resources, the contractor employees will be required to complete background investigations, identity proofing, and government identification card application procedures to determine suitability for access. DOT will assign a risk and sensitivity level designation to the overall contract and/or to contractor employee positions by category, group or individual. The risk and sensitivity level designations will be the basis for determining the level of personnel security processing required for contractor employees.

IF THE DESIGNATED RISK IS: THE BACKGROUND INVESTIGATION IS:

Low National Agency Check with Written Inquiries (NACI) Moderate Minimum Background Investigation (MBI) High Background Investigation (BI)

Contractor employees may also be required to obtain security clearances (i.e., Confidential, Secret, or Top Secret). National Security work designated “special sensitive,” “critical sensitive,” or “non‐ critical sensitive” will determine the level of clearance required for contractor employees. Personnel security clearances for national security contracts in DOT will be processed according to the Department of Defense National Industrial Security Program Operating Manual (NISPOM).

2. Pre‐screening of Contractor Employees ‐ The contractor must pre‐screen individuals designated for employment under any DOT contract by verifying minimal suitability requirements to ensure that only quality candidates are considered for contract employment, and to mitigate the burden on the Government of conducting background investigations on objectionable applicants. The contractor must exercise due diligence in pre‐screening all employees prior to submission to DOT for agency access. DOT may decline to grant agency access to a contractor employee for reasons including, but not limited to:

a) Conviction of a felony, a crime of violence, or a misdemeanor involving moral turpitude.

b) Falsification of information entered on forms or of other documents submitted.

c) Improper conduct including criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct or other conduct adverse to the Government regardless of whether the conduct is directly related to the contract.

d) Any behavior judged to pose a potential threat to DOT facilities, sensitive information, information systems or other resources.

3. Citizenship and Alien Status ‐ The contractor must monitor an alien’s continued authorization for employment in the United States. The contractor must provide documentation to the Contracting Officer or the Contracting Officer’s Technical Representative during the background investigation process that validates that the E‐Verify requirement has been met for each contractor employee.

4. Background Investigation and Adjudication – The contractor employee must have a favorable adjudication of background investigation before DOT will issue an ID card to the contractor employee granting access to DOT facilities, sensitive information, information systems or other DOT resources. DOT may accept favorable adjudications of background investigations from other Federal agencies when applicants have held PIV cards issued by those agencies with no break in service.

DOT may also accept PIV‐I (interoperable) cards issued by an authorized PIV‐I issuer as evidence of identity. A favorable adjudication does not preclude DOT from initiating a new investigation when deemed necessary. At a minimum, the FBI National Criminal History Check (fingerprint check) must be favorably completed before a DOT identification card can be issued. Each contractor must use the Office of Personnel Management’s (OPM) e‐QIP system to complete any required investigative forms. Instructions for obtaining fingerprints will be provided by the COTR or CO. The DOT Office of Security, M‐40, or a DOT organization delegated authority by M‐40, is responsible for adjudicating the suitability of contractor employees.

5. Agency Access Denied – Upon contract award, DOT will initiate the agency access procedure for all contractor employees requiring access to DOT facilities, sensitive information, information systems and other DOT resources for contract performance. DOT may deny agency access to any individual about whom an adverse suitability determination is made. Failure to submit the required security information or to truthfully answer all questions shall constitute grounds for denial of access. The contractor must not provide agency access to contractor employees until the COTR or CO provides notice of approval, which is authorized only by the DOT Office of Security (M‐40) or a DOT organization delegated authority by M‐40. Where a proposed contractor’s employees are denied agency access by the Government or, if for any reason proposed applications are withdrawn by the contractor during the agency access process, the additional costs and administrative burden for conducting additional background investigations caused by a lack of effective pre‐screening or planning on the part of the contractor may be considered as part of the contractor’s overall performance evaluation.

6. Identification Card Application Process ‐ The COTR will be the DOT ID card Sponsor and point of contact for the contractor’s application for a DOT ID card. The COTR shall review and approve the DOT ID card application before an ID card is issued to the applicant.

An applicant may be issued either a Personal Identity Verification (PIV) card that meets the standards of Homeland Presidential Security Directive (HSPD‐12), or an applicant may be issued a non‐PIV card. Generally, a non‐PIV card will be issued for contracts that expire in six months or less, including option periods. The COTR may request the issuing office to waive the six month eligibility requirement when it is in DOT’s interest for contract performance.

The applicant must complete a DOT on‐line application for a PIV card. For a non‐PIV card, the applicant must complete and submit a hard copy of Form 1681 to the COTR/Sponsor. Regardless of the type of card to be issued (PIV or non‐PIV), the applicant must appear in‐person to provide two forms of identity source documents in original form to DOT. The identity source documents must come from the list of acceptable documents included in Form I‐9, OMB No. 1115‐0136, Employment Eligibility Verification. At least one document must be a valid State or Federal government‐issued picture identification. For a PIV card, the applicant may be required to appear in‐person a second time for enrollment and activation.

7. Identification Card Custody and Control – The contractor is responsible for the custody and control of all forms of government identification issued by DOT to contractor employees for access to DOT facilities, sensitive information, information systems and other DOT resources. The contractor must immediately notify the COTR or, if the COTR is unavailable, the CO when a contractor employee no longer requires agency access due to transfer, completion of a project, retirement, removal from work on the contract, or termination of employment.

The contractor is responsible for maintaining and safeguarding the DOT ID card upon issuance to the contractor employee. The contractor must ensure that contractor employees comply with DOT requirements concerning the renewal, loss, theft, or damage of an ID card. The contractor must immediately notify the COTR or, if the COTR is unavailable, the CO when an ID card is lost, stolen or damaged.

Failure to comply with the requirements for custody and control of DOT ID cards may result in withholding final payment or contract termination based on the potential for serious harm caused by inappropriate access to DOT facilities, sensitive information, information systems or other DOT resources.

a) Renewal: A contractor employee’s DOT issued ID card is valid for a maximum of three years or until the contract expiration date (including option periods), whichever occurs first. The renewal process should begin six weeks before the PIV card expiration date. If a PIV card is not renewed before it expires, the contractor employee will be required to sign‐in daily for facility access and may have limited access to information systems and other resources.

b) Lost/Stolen: Immediately upon detection, the contractor or contractor employee must report a lost or stolen DOT ID card to the COTR, or if the COTR is unavailable, the CO, the issuing office, or the local servicing security organization. The contractor must submit an incident report within 48 hours, through the COTR or, if the COTR is unavailable, the CO, the issuing office, or the local security servicing organization describing the circumstances of the loss or theft. The contractor must also report a lost or stolen PIV card through the DOT on‐ line registration system. If the loss or theft is reported by the contractor to the local police, a copy of the police report must be provided to the COTR or CO. From the date of notification to DOT, the contractor must wait three days before getting a replacement ID card. During the 3‐day wait period, the contractor employee must sign in daily for facility access.

c) Replacement: An ID card will be replaced if it is damaged, contains incorrect data, or is lost or stolen for more than 3 days, provided there is a continuing need for agency access to perform work under the contract.

8. Surrender of ID Cards – Upon notification that routine access to DOT facilities, sensitive information, information systems or other DOT resources is no longer required, the contractor must surrender the DOT issued ID card to the COTR, or if the COTR is unavailable, the CO, the issuing office, or the local security servicing organization in accordance with agency procedures.

9. Background Investigation Cost – The contractor shall bear the cost of any required background investigation.

H.11 DATA RIGHTS

52.227‐14 RIGHTS IN DATA—GENERAL (DEC 2007)

(a) Definitions. As used in this clause— “Computer database” or “database means” a collection of recorded information in a form capable of, and for the purpose of, being stored in, processed, and operated on by a computer. The term does not include computer software.

“Computer software”—

(1) Means

(i) Computer programs that comprise a series of instructions, rules, routines, or statements, regardless of the media in which recorded, that allow or cause a computer to perform a specific operation or series of operations; and

(ii) Recorded information comprising source code listings, design details, algorithms, processes, flow charts, formulas, and related material that would enable the computer program to be produced, created, or compiled.

(2) Does not include computer databases or computer software documentation.

“Computer software documentation” means owner’s manuals, user’s manuals, installation instructions, operating instructions, and other similar items, regardless of storage medium, that explain the capabilities of the computer software or provide instructions for using the software.

“Data” means recorded information, regardless of form or the media on which it may be recorded.

The term includes technical data and computer software. The term does not include information incidental to contract administration, such as financial, administrative, cost or pricing, or management information.

“Form, fit, and function data” means data relating to items, components, or processes that are sufficient to enable physical and functional interchangeability, and data identifying source, size, configuration, mating and attachment characteristics, functional characteristics, and performance requirements. For computer software it means data identifying source, functional characteristics, and performance requirements but specifically excludes the source code, algorithms, processes, formulas, and flow charts of the software.

“Limited rights” means the rights of the Government in limited rights data as set forth in the Limited Rights Notice of paragraph (g)(3) if included in this clause.

“Limited rights data” means data, other than computer software, that embody trade secrets or are commercial or financial and confidential or privileged, to the extent that such data pertain to items, components, or processes developed at private expense, including minor modifications.

“Restricted computer software” means computer software developed at private expense and that is a trade secret, is commercial or financial and confidential or privileged, or is copyrighted computer software, including minor modifications of the computer software.

“Restricted rights,” as used in this clause, means the rights of the Government in restricted computer software, as set forth in a Restricted Rights Notice of paragraph (g) if included in this clause, or as otherwise may be provided in a collateral agreement incorporated in and made part of this contract, including minor modifications of such computer software.

“Technical data” means recorded information (regardless of the form or method of the recording) of a scientific or technical nature (including computer databases and computer software documentation).

This term does not include computer software or financial, administrative, cost or pricing, or management data or other information incidental to contract administration. The term includes recorded information of a scientific or technical nature that is included in computer databases (See 41 U.S.C. 403(8)).

“Unlimited rights” means the rights of the Government to use, disclose, reproduce, prepare derivative works, distribute copies to the public, and perform publicly and display publicly, in any manner and for any purpose, and to have or permit others to do so.

(b) Allocation of rights.

(1) Except as provided in paragraph (c) of this clause, the Government shall have unlimited rights in—

(i) Data first produced in the performance of this contract;

(ii) Form, fit, and function data delivered under this contract;

(iii) Data delivered under this contract (except for restricted computer software) that constitute manuals or instructional and training material for installation, operation, or routine maintenance and repair of items, components, or processes delivered or furnished for use under this contract; and

(iv) All other data delivered under this contract unless provided otherwise for limited rights data or restricted computer software in accordance with paragraph (g) of this clause.

(2) The Contractor shall have the right to—

(i) Assert copyright in data first produced in the performance of this contract to the extent provided in paragraph (c)(1) of this clause;

(ii) Use, release to others, reproduce, distribute, or publish any data first produced or specifically used by the Contractor in the performance of this contract, unless provided otherwise in paragraph (d) of this clause;

(iii) Substantiate the use of, add, or correct limited rights, restricted rights, or copyright notices and to take other appropriate action, in accordance with paragraphs (e) and (f) of this clause; and

(iv) Protect from unauthorized disclosure and use those data that are limited rights data or restricted computer software to the extent provided in paragraph (g) of this clause.

(c) Copyright—

(1) Data first produced in the performance of this contract.

(i) Unless provided otherwise in paragraph (d) of this clause, the Contractor may, without prior approval of the Contracting Officer, assert copyright in scientific and technical articles based on or containing data first produced in the performance of this contract and published in academic, technical or professional journals, symposia proceedings, or similar works. The prior, express written permission of the Contracting Officer is required to assert copyright in all other data first produced in the performance of this contract.

(ii) When authorized to assert copyright to the data, the Contractor shall affix the applicable copyright notices of 17 U.S.C. 401 or 402, and an acknowledgment of Government sponsorship (including contract number).

(iii) For data other than computer software, the Contractor grants to the Government, and others acting on its behalf, a paid‐up, nonexclusive, irrevocable, worldwide license in such copyrighted data to reproduce, prepare derivative works, distribute copies to the public, and perform publicly and display publicly by or on behalf of the Government. For computer software, the Contractor grants to the Government, and others acting on its behalf, a paid‐up, nonexclusive, irrevocable, worldwide license in such copyrighted computer software to reproduce, prepare derivative works, and perform publicly and display publicly (but not to distribute copies to the public) by or on behalf of the Government.

(2) Data not first produced in the performance of this contract. The Contractor shall not, without the prior written permission of the Contracting Officer, incorporate in data delivered under this contract any data not first produced in the performance of this contract unless the Contractor—

(i) Identifies the data; and

(ii) Grants to the Government, or acquires on its behalf, a license of the same scope as set forth in paragraph (c)(1) of this clause or, if such data are restricted computer software, the Government shall acquire a copyright license as set forth in paragraph (g)(4) of this clause (if included in this contract) or as otherwise provided in a collateral agreement incorporated in or made part of this contract.

(3) Removal of copyright notices. The Government will not remove any authorized copyright notices placed on data pursuant to this paragraph (c), and will include such notices on all reproductions of the data.

(d) Release, publication, and use of data. The Contractor shall have the right to use, release to others, reproduce, distribute, or publish any data first produced or specifically used by the Contractor in the performance of this contract, except—

(1) As prohibited by Federal law or regulation (e.g., export control or national security laws or regulations);

(2) As expressly set forth in this contract; or

(3) If the Contractor receives or is given access to data necessary for the performance of this contract that contain restrictive markings, the Contractor shall treat the data in accordance with such markings unless specifically authorized otherwise in writing by the Contracting Officer.

(e) Unauthorized marking of data.

(1) Notwithstanding any other provisions of this contract concerning inspection or acceptance, if any data delivered under this contract are marked with the notices specified in paragraph (g)(3) or (g)

(4) if included in this…