RFP Grant Accrual_Amended 1.09.2020.pdf

RFP/SOLICITATION No. 69319520R000001

Grant Accrual Support Services

SECTION B: SUPPLIES OR SERVICES AND PRICES

B.1 Supplies or Services

The United States (U.S.) Department of Transportation (DOT), Federal Transit Administration (FTA) is seeking professional contractor support to provide continued grant accrual support services in order to assist with the financial statement preparation and support services for the grant accrual process in accordance with the statement of work (SOW) in section C of this RFP/Solicitation.

This is a Small Business Set-Aside procurement for which we anticipate will result in award of a labor hour contract. The Period of Performance (POP) will be a five-year term, one (1) year base period and four (4) one (1) year option periods.

B.2 North American Industry Classification System (NAICS) Code and Small Business Standard

The North American Industry Classification System (NAICS) Code for this acquisition is 541219, Other Accounting Services. The small business size standard is $22.0 Million for this NAICS code.

B.3 Contract Line Item Number (CLIN)

CONTRACT LINE ITEM NUMBERS

CLIN 0001 ASSESSSMENT OF FINANCIAL DATA FOR DETERMINING

MONTHLY GRANT ACCRUAL:

CLIN 0002 VALIDATION OF GRANT ACCRUAL LIABILITIES ESTIMATE

CLIN 0003 REPORTING TO THE DOT OFFICE OF THE SECRETARY (OST)

ON FTA’S PORTION OF THE DOT CONSOLIDATED FINANCIAL

STATEMENTS:

CLIN 0004 ASSISTANCE IN COORDINATING FINANCIAL AUDITS AND

REVIEWS WITHIN THE OFFICE OF FINANCIAL MANAGEMENT

*NOTE: For each respective year after the base year, the CLIN number will change respectively yet remain the same title etc. For example, in the option year, CLIN 0001 will become CLIN 0101.

B.4 Contract Period of Performance

The contract period of performance is from date of award through a five-year period including a one (1) year base and four (4) one-year option periods. The Federal Acquisition Regulation (FAR) clause 52.217-8 “Option to Extend Services” NOV 1999, shall be incorporated into the resulting contracts, as referenced in Section I, in the event the Government requires continued performance of any services with the limits and at the rates specified in the contract beyond the five-year period of performance term.

B.5 Pricing/Labor Rates Table

Contract Year Labor Category Hours Labor Rate Price Base Year

Senior Accountant 1681 Staff Accountant 1800

Option Year 1 Senior Accountant 1681 Staff Accountant 1800

Option Year 2 Senior Accountant 1681 Staff Accountant 1800

Option Year 3 Senior Accountant 1681 Staff Accountant 1800

Option Year 4 Senior Accountant 1681 Staff Accountant 1800

*NOTE: The labor categories in the Pricing Template (Attachment J-1) shall be used for the total life of this contract. If the labor categories for this requirement change but within scope of the contract, a modification must be executed to clearly reflect this to ensure clarity concerning the labor categories authorized for use. This contract will be awarded to the contractor based within the pre-established labor rates as stated using the CLIN structure in the Pricing Template (Attachment J-1).

(END OF SECTION B)

SECTION C: DESCRIPTION/SPECIFICATION/STATEMENT OF

OBJECTIVES

C.1 BACKGROUND

The Federal Transit Administration (FTA) is one of the eleven modals of the United States (U.S.) Department of Transportation (DOT) which has a mission to “serve the United States by ensuring a fast, safe, efficient, accessible and convenient transportation system that meets our vital national interests and enhances the quality of life of the American people, today and into the future.

The FTA Office of Budget and Policy (TBP) administers all audit and internal controls, overall strategic planning and program review, performance management, policy, budget, program development, and financial and accounting control matters. This includes providing policy direction on legislation and regulations that relate to public transportation programs. TBP is also responsible for the formulation and execution of the FTA’s $9 billion annual budget and ensures that appropriated funds are obligated and expended in accordance with Executive Branch and congressional intent. TBP is also responsible for managing the development and implementation of the FTA strategic and program planning process, including the review and evaluation of programs to determine their effectiveness in meeting the U.S. Department of Transportation’s and FTA’s strategic goals and objectives.

The CFO (Chief Financial Officer) Act of 1990, as amended requires all Federal government agencies to submit financial statements on an annual and quarterly basis. The Office of the Secretary of Transportation (OST) required all Operating Administrations (OA) to submit their financial statements monthly (by the 10th day of the following month). The Office of Management and Budget (OMB) has also mandated that all Federal agencies submit their audited financial statements by November 15th of each year. In addition, the departmental CFO mandated the requirement for the development and maintenance of procedures to establish an accrual process for FTA grant awards for monthly financial statements beginning May 2003.

C.2 SCOPE

The purpose of this effort is to provide assistance with financial statement preparation and support services for the grant accrual estimation and validation process. This will assist FTA to comply with policies mandated by the CFO, and support the accelerated due dates for agency submission of unaudited financial statements and related packages imposed by U.S. DOT Office of the Secretary (OST), OMB, and U.S. Treasury. This effort will assist in ensuring that FTA can submit all required financial statements in a timely manner.

DESCRIPTION/SPECIFICATIONS

CONTRACT LINE ITEM NUMBER (CLIN) 0001: ASSESSSMENT OF FINANCIAL

DATA FOR DETERMINING MONTHLY GRANT ACCURAL

For this CLIN, the tasks are as follows:

• Review the current method for developing estimated accrual for grant liabilities and expenditures, and make changes, if necessary,

• Obtain the necessary cumulative grant obligations and disbursements reports as of the end of the period. Using the existing grant accrual methodology, calculate the monthly grant accrual estimates and prepare adjusting journal entries to be recorded in the general ledger for each appropriation account for financial statements and other monthly reporting.

• Perform revalidation of the Grant Accrual Methodology every three years using the pre-established procedures to survey a representative sample of grantees to obtain information about changes to their billing pattern and other information needed to enhance the methodology.

CLIN 0002: VALIDATION OF GRANT ACCURAL LIABILITIES ESTIMATE

For this CLIN, the task are as follows:

• FTA has over 6000 active grants and cooperative agreement projects. Grantees are mandated by OMB guideline to submit quarterly SF 425 Federal Financial Reports (FFR) within 30 days after the end of the quarter. One of the key information that the grantees provide on the FFR for each grant project is the cumulative federal expenditures which grantees reports using the accrual basis of accounting (combination of paid and unpaid expenses). Additionally, FTA maintains a report with shows cumulative payments to the grantees by projects.

• Perform a look-back analysis on a quarterly basis, utilizing the expenditure information on the grantees’ quarterly FFR and the cumulative grants payments report to calculate FTA’s grants liabilities and compare it the estimated grant accrual liabilities presented in the financial statements to validate its reasonableness. Research and provide explanation for variances greater than 10 percent.

CLIN 0003: REPORTING TO THE DOT OFFICE OF THE SECRETARY (OST) ON

FTA’S PORTION OF THE DOT CONSOLIDATED FINANCIAL STATEMENTS:

For this CLIN, the tasks are as follows:

• Assist with performing quarterly financial statements fluctuation (flux) analysis after all quarter-end adjustments and journal entries have been posted in the general ledger and financial statements has been generated.

• Assist with preparation of ad-hoc financial reports from the accounting system.

• Assist with researching other federal accounting issues that may arise during the financial accounting and reporting cycle related to the preparation of the financial statements.

CLIN 0004: ASSISTANCE IN COORDINATING FINANCIALAUDITS AND REVIEWS

WITHIN THE OFFICE OF FINANCIAL MANAGEMENT

For this CLIN, the tasks are as follows:

• Work with Office of Inspector General (OIG) contractor or FTA internal control review contractor to provide all documentation requests relating to the grant accrual process are provided in a timely manner.

• Develop corrective action plan to resolve audit or review findings relating to the grant accrual process.

(END OF SECTION C)

SECTION D: PACKAGING AND MARKING

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

All information submitted to the Contracting Officer and the Contracting Officer's Representative shall be clearly marked with the legal name of the organization/contractor, the contract number, and/or modification number as appropriate and the identification of the submission. Additional packaging and marking requirements will be specified, as necessary, in the resulting contract.

(END OF SECTION D)

SECTION E: INSPECTION AND ACCEPTANCE

52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at the following address:

http://www.acquisition.gov.

52-246-6 INSPECTION-TIME-AND-MATERIAL AND LABOR-HOUR (MAY 2001)

E.1 Inspection/Acceptance

The Contracting Officer or the Contracting Officer's Representative (COR), at the U.S.

Department of Transportation, FTA Headquarters, Washington, DC, will perform final inspection and acceptance of all items and services called for in the resulting contract. The Contracting Officer reserves the right to designate other Government agents as authorized representatives upon unilateral written notice to the Contractor, which may be accomplished in the form of a transmittal of a copy of the authorization.

E.2 Contracting Officer (CO) or Contracting Officer’s Representative (COR) Inspection and Acceptance) The Contracting Officer and Contracting Officer’s Representative (COR) at the Department of Transportation, Federal Transit Administration, Washington, DC, will perform final inspection and acceptance of all deliverables called for by this contract. The Contracting Officer reserves the right to designate other Government agents as authorized representatives upon unilateral written notice to the Contractor, which may be accomplished in the form of a transmittal of a copy of the authorization.

E.3 Government Contract Quality Assurance

The Government intends to do quality assurance to monitor the quality of the contractor’s performance. The oversight provided for in the order and by the Government’s monitoring, will help to ensure that service levels reach and maintain the required levels throughout the contract term. Further, the Government’s quality assurance monitoring will provide the COR with a proactive way to avoid unacceptable or deficient performance, and provides verifiable input for the required Past Performance Information Assessments. Thus, the contractor must ensure that deliverables meet the Government’s acceptance.

E.4 Standards of Work Contractors are required to meet these standards/measures in the performance of their work:

• Adherence to Direction – Contractor shall follow all contract requirements and technical direction from the delegated COR.

• Customer Service – Contractor shall act with professionalism and be respectful and courteous at all times.

• Deadline Adherence – Time is of the essence in the performance of all grant accrual activities.

Contractor shall meet deadlines for all tasks and deliverables. As required, the necessary approvals or responses prior to submission of deliverable or completion of task shall be received and documented. If any party fails to respond to contractor in a timely manner, possibly affecting their adherence to deadline, the contractor shall elevate that failure to respond to the COR. The contractor shall request an adjustment of deadline for cause from the COR, in advance of deadline.

• Written Deliverable Typographical Accuracy and Formatting – Written deliverables shall be:

spelled correctly, grammatically correct, free of typographical errors, formatted correctly and consistently, accurate in the use of professional salutations, and provided in a software type/version that meets the needs of the receiving office.

• Precision in Written Deliverables – Written deliverables shall be: thorough, accurate, clear, concise, professional, consistent, and thorough in their use of citations of relevant requirements or materials.

• Quality Assurance/Quality Control – Contractor shall employ adequate quality assurance / quality control methods to ensure all activities and deliverables meet the performance requirements.

(END OF SECTION E)

SECTION F: DELIVERIES OR PERFORMANCE

F.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

52.242-15 Stop-Work Order (AUG 1989)

F.2 Place of Performance The contractor must provide all resources necessary for the support of this requirement. The primary work site for this effort is at the Government location.

F.3 Period of Performance The period of performance is five years including (one 12-month base period and four one (1) year option periods, if exercised.)

F. 4 Interim and Post Award Evaluation Contractor Performance

1. Contractor Performance Evaluations

Interim and final evaluations of contractor performance will be prepared on this contract in accordance with FAR 42.15. The final performance evaluation will be prepared as soon as possible after completion of all required work.

Interim and final evaluations will be provided to the contractor as soon as practicable after completion of the evaluation. The contractor may elect to review evaluation and submit additional information or a rebuttal statement within thirty days. Any contractor response is voluntary.

Any disagreement between the parties regarding an evaluation will be referred to an individual one level above the Contracting Officer, whose decision is final.

Copies of the evaluations, contractor responses and review comments, if any, will be retained as part of the contract file, and may be used to support future award decisions.

2. b. Electronic Access to Contractor Performance Evaluations and Federal Past Performance Information Retrieval System (PPIRS) System

Effective September 30, 2010, the U.S Department of Transportation started to utilize the Department of Defense’s Contractor Performance Assessment Reporting System (CPARS) to record and maintain interim and final past performance information. CPARS allows contractors to electronically submit comments regarding the Government’s assessment to indicate concurrence or non-concurrence with the overall evaluation. For more information on CPARS, please go to www.cpars.gov. Past Performance Information Retrieval System (PPIRS) data has been merged into the Contractor Performance Assessment Reporting System (CPARS).

(END OF SECTION F)

SECTION G: CONTRACT ADMINISTRATION DATA

The Government will establish regular periods for contract level program reviews. Conflict of Interest shall be addressed by the COR and/or CO prior to the initial contract award. If potential conflicts of interest come up after contract award, the contractor must submit an Organizational Conflict of Interest (OCI) Mitigation Plan to the Government for review and approval.

Senior/Lead Contracting Officer (CO) Mrs. Stephanie Cooke-Nwadibia U . S . Department of Transportation Federal Transit Administration Office of Acquisition Management 1200 New Jersey Ave. S.E.

4th Floor - East Building, Rm: E42-117 Washington, DC 20590 Phone number: 202-366-7072 Email address: stephanie.cooke-nwadibia@dot.gov

Contract Specialist (CS) Ms. Tonya Better U.S. Department of Transportation Federal Transit Administration Office of Acquisition Management 1200 New Jersey Ave. S.E.

4th Floor - East Building, Rm: E42-312 Washington, DC 20590 Phone number: 202-366-2503 Email address: tonya.better@dot.gov

Contracting Officer’s Representative (COR) T B D

The Contracting Officer (CO) holds the contractual authority for the resulting contracts. The CO alone, without delegation, is authorized to take actions on behalf of the Government to amend, modify or deviate from the contract terms, conditions, and requirements. The CO may delegate certain other responsibilities to the Contracting Officer’s Representative (COR). The CO is the only individual who can legally commit or obligate the Government or authorize any changes that affect the contract price, delivery schedule, period of performance or other terms and conditions.

In accordance with the Transportation Acquisition Regulation (TAR) 1252.242-73 (b) Dissemination of Contract Information (See Section I), the Contracting Officer cannot authorize the COR or any other representative to sign documents (i.e., contracts, contract modifications, appointments, conflict resolutions, etc.) that require the signature of the Contracting Officer.

In accordance with TAR 1252.242-73 (See Section I), Contracting Officer’s Representative TAR Clause (OCT 1994), (a) The Contracting Officer may designate Government personnel to act as the Contracting Officer's Representative (COR) 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 COR under the contract.

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

G.2 COR Assignment

Upon contract award, the Contracting Officer’s Representative will be designated.

The COR has the authority to monitor the technical progress of the services that are required under the resulting contracts. This includes visits to the contractor’s place of performance, meetings, and telephone conversations with the contractor’s personnel, inspection, acceptance, or rejection of the contracted items and other duties that may be authorized by the contracting officer. The COR cannot authorize or order the cessation of contract work nor delete, change, or waive any of the technical requirements or other terms and conditions of the resulting contracts.

If a change (monetary or otherwise) to the contract is desired, the contractor must submit a written request to the contracting officer for consideration. If appropriate, the change will be effected by a contract modification, after discussions and/or negotiations.

Whenever a difference of opinion between the contractor and the COR occurs, the contracting officer or contract specialist should be contacted immediately for resolution. The contractor should also contact the contracting officer or contract specialist when the COR cannot be contacted on a technical matter and for assistance on all other matters pertaining to the resulting contracts.

G.3 Billing Instructions

The Contractor shall submit invoices for payment utilizing Standard Form (SF) 1034, “Public Voucher for Purchases and Services Other Than Personal,” to include supporting documentation for all costs/prices claimed in the performance of this contract. The Standard Form 1034 can be obtained from the “Federal Acquisition Regulations”, Part 53-301.1034 (see website at http://acquisition.gov). The Contractor shall submit one copy of all vouchers, including the final voucher to one of the three designated FTA Document Imaging Center noted below: (NOTE:

Please “mark” the final voucher “FINAL”) http://acquisition/ http://acquisition/

The Contractor's failure to comply with the instructions below and/or in the invoice template will render the invoice as improper, and resubmission of the invoice will shall be required in order to obtain invoice payment.

G.3.1 General Instructions

FTA’S METHOD OF INVOICE TRANSMITTAL-eInvoicing

The Contractor shall submit the invoice through the Delphi eInvoicing System.

G.3.2 Delphi eInvoicing Access

Authorization for a vendor to gain access to the eInvoicing System is granted by a request from the FTA Project Manager/COR who must complete the required Delphi User Access form, specific for external vendors, as is shown in the respective attachment to be provided. The vendor must provide the FTA project manager/COR, with the name of the authorized employee, within their organization, who will have the responsibility to request funds within the eInvoicing System. The FTA project manager or COR must obtain this person’s email address and make reference to their specific project number(s) as applicable where funds will be drawn down upon. The completed User Access Forms are then forwarded to FTA eInvoicing at FTAEinvoicing@dot.gov and the FTA Delphi Security Officer(s). The FTA Delphi Security Officers are located in the Office of Budget and Policy, Office of Financial Systems, TBP-40.

G.3.3 FAA, Enterprise Service Center’s (ESC) eInvoicing Help Desk

Access to the new Delphi eInvoicing System is granted by the FAA, Enterprise Service Center’s (ESC) eInvoicing Help Desk. The FTA Delphi Security Officer will forward all Delphi User Access Request Forms directly to the eInvoicing Help Desk on behalf of the FTA Approving Officials and Vendors. Once access is granted, the eInvoicing Help Desk will email the vendor to validate the recipient’s identity, provide training materials, and assist users in navigating within the eInvoicing System.

Vendors may contact the eInvoicing Help Desk by calling 405-954-3000, pushing option 4, and listening to the message pertaining to the Delphi eInvoicing process.

G.4 Submission of Vouchers

Vouchers may be submitted monthly. The FTA PO number, voucher number, contract number and task order number must be clearly listed on every voucher that’s submitted.

In addition, the name of the COR should also be listed on every voucher that’s submitted.

G.5 Method of Payment and Procedure

G.5.5.1 Payments under this contract shall be made under the Department of Treasury’s Automated Clearing House (ACH) system. Under this system, the funds will be wired (electronically transferred or EFT) to the contractor’s financial institution pursuant to FAR 52.232-34.

G.5.5.2 Prior to the submission of Voucher No. 1, the Contractor shall insure that the information contained in the TFS Form 3881, “Payment Information Form-ACH Vendor Payment System,” will be provided upon contract award. Or alternatively, TFS Form 3881 can be obtained from the Treasury’s website at http://fms.treas.gov/pdf/3881.pdf or the Contracting Office. The cover page to the Contract award should accompany the TFS Form 3881, and be faxed to FTA at (405) 954-9776.

FTA’s designated office for electronic funds transfer information is:

Mailing Address:

U.S. Department of Transportation Federal Transit Administration Office of Financial Management, TBP-50 1200 New Jersey Ave., 5th Floor – East Bldg. E54-465 Washington, DC 20590 Telephone number: 202-366-0992 Person to Contact: Mr. Michael Whitaker

G.6 Status of Payments

Contractors can track the status of payments for vouchers through the Department of Treasury’s “Internet Payment Platform” system, a system developed by the U.S. Department of Treasury’s Financial Management Service (FMS), to provide participating Federal agencies with a method of making remittance information available to vendors through the Internet.

Contractors may register with the Department of Treasury to obtain payment statuses by logging on: https://www.ipp.gov/. Any changes shall be submitted in writing to the Contracting Officer. It is the Contractor’s responsibility to furnish these changes promptly to avoid payments to erroneous addresses or bank accounts. Failure to provide the requested informational changes to the Contracting Officer may result in delays in the payment of vouchers. Any such delays shall be considered the Contractor’s responsibility.

G.7 Post Award Evaluation and Contractor Performance G.7.1 Contractor Performance Evaluations Interim (after one year of performance) and final evaluations of contractor performance will be prepared for the contract awarded in accordance with FAR 42.15. The final performance evaluations will be prepared as soon as possible after completion of all required work under this contract.

Interim and final evaluations will be provided to the contractor as soon as practicable after completion of the evaluation. The contractor may elect to review the evaluation and submit additional information or a rebuttal statement within thirty days. Any contractor response is voluntary. Any disagreement between the parties regarding an evaluation will be referred to an individual one level above the Contracting Officer, whose decision is final.

Copies of the evaluations, contractor responses and review comments, if any, will be retained as part of the contract file, and may be used to support future award decisions.

G.7.2 ELECTRONIC ACCESS TO CONTRACTOR PERFORMANCE EVALUATIONS

The U.S. Department of Transportation uses Contractor Performance Assessment Reporting System (CPARS) to record and maintain interim and final past performance information.

Contractors that have internet capability may access evaluations through a secure web site for review and comment by completing the registration form that can be obtained at the following URL: http://www.cpars.gov.

The registration process requires the contractor to identify an individual that will serve as a primary contact and who will be authorized access to the evaluation for review and comment. In addition, the contractor will be required to identify a secondary contact who will be responsible for notifying the cognizant contracting official in the event the primary contact is unavailable to process the evaluation within the required 30-day time period. Once the contractor is registered and a performance evaluation has been prepared and is ready for comment, CPARS will send an email to the contractor representative notifying that individual that a performance evaluation is electronically available for review and comment.

G.7 Post Award Conference / Periodic Progress Meetings

The Contractor agrees to attend any post award conference convened by the contracting activity or contract administration office in accordance with Federal Acquisition Regulation Subpart

42.5. The Contracting Officer (CO), Contracting Officers Representative (COR), and other Government personnel, as appropriate, may meet periodically with the contractor to review the contractor's performance. At these meetings, the CO or COR shall apprise the contractor of how the government views the contractor's performance and the contractor shall 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.

G.8 Equitable Adjustment in the Case of Termination by DOT

If the resultant contract is terminated, by DOT, for default or for the convenience of the Government, DOT will request a Termination Settlement Proposal from the Contractor. And in the event of a termination, the dollar amount payable by DOT to the contractor shall be the LEAST (i.e., the LOWEST) of the following amounts: (a) The dollar-amount arrived at, by DOT, in an Equitable Adjustment after DOT’s review of the Termination Settlement Proposal submitted to DOT by the contractor; or (b) the costs (and the associated fee) actually, allocable, allowable and reasonably incurred by the contractor during performance of the contract up to the time of its termination, and not previously reimbursed to the contractor by DOT; or (c) the dollar amount that can be paid to the contractor from the contract’s cumulative obligated funding that remains available and that has not previously been used to make payments to the contractor.

G.9 Funds Availability—Limitation of Funds

The Government’s obligation under this contract is contingent upon the availability of appropriated funds from which payment for contract purposes can be made. No legal liability on the part of the Government for any payment may arise until funds are made available to the Contracting Officer for this contract and until the Contractor receives notice of such availability, to be confirmed in writing by the Contracting Officer.

(END OF SECTION G)

SECTION H: SPECIAL CONTRACT REQUIREMENTS

H.1 Executive Order 13693 Planning for Federal Sustainability (March 19, 2015)

This specific executive order was signed on March 15, 2015. EO 13693 introduces new requirements and expands upon requirements established by EO 13514, EO 13423, the Energy Policy Act (EPA) of 2005, and the Energy Independence and Security Act (EISA) of 2007. The following are some goals of the EO 13693 which federal agencies are required to achieve:

Greenhouse Gas (GHG) Emissions Reduction and Reporting

Energy Conversation and Renewable Energy

Sustainable Acquisition

Performance Contracting

Strategic Sustainability Performance Plan

H.2 Excluded Functions and Responsibilities Functions and responsibilities directly involved or associated with the management of any FTA 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 FTA 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 Non-Personal Service As stated in the Office of Federal Procurement Policy (OFPP) Letter 92-1, dated September 23, 1992, “Inherently Governmental Functions,” (See FAR 2.101 for definition of ‘inherently government function’), no personal services shall be performed under this contract. Contractor employees will not be directly supervised by the Government. All individual employee assignments, and daily work direction, shall be given by the applicable employee supervisor. If the Contractor believes any Government action or communication has been given that would create a personal services relationship between the Government and any Contractor employee, the Contractor shall promptly notify the Contracting Officer of this communication or action.

The Contractor shall not perform any inherently governmental actions under this contract. No Contractor employee shall hold him or herself out to be a Government employee, agent, or representative. Contractor employees shall not state orally or in writing, at any time that he or she is acting on behalf of the Government. In all communications with third parties in connection with this contract, Contractor employees shall identify themselves as Contractor employees and specify the name of the company for which they work.

In all communications with other Government Contractors in connection with this contract, Contractor employees shall state that they have no authority to in any way change the contract and that if the other Contractor believes this communication to be a direction to change their contract, they should notify the Contracting Officer for that contract and not carry out the direction until a clarification has been issued by the Contracting Officer.

The Contractor shall insure that all of its employees working on this contract are informed of the substance of this clause. Nothing in this clause shall limit the Government's rights in any way under any other provision of the contract, including those related to the Government's right to inspect and accept the services to be performed under this contract. The substance of this clause shall be included in all subcontracts at any tier.

H.4 Contractor Personnel Maintenance of Professional Conduct

All personnel assigned by the Contractor to work under this contract must be acceptable to the Government in their personal and professional conduct. Any person in the Contractor’s organization or in any subcontractor’s organization, who is deemed by the Contracting Officer or the COR whose conduct may affect the performance of the Contractor or the image of the FTA, shall be immediately removed from the assignment on the contract. The reason for removal must be documented in writing by the Contracting Officer. Employment and staffing difficulties are not adequate justification for failing to meet established schedules and if they impair performance, the Contractor may be subject to default. Any security violations, denials or revocations of security clearances may be construed as grounds for immediate removal from premises and the contract. The Contractor and its employees, subcontractors and or consultants shall only conduct business covered by this contract during periods paid for by the Government.

Contractor personnel shall abide by the normal rules and regulations applicable to Government and grantee premises on which they work, including any applicable safety and security regulations.

H.5 Section 508 Compliance

All electronic and information technology deliverables required under this resulting contract must comply with Section 508 of the Rehabilitation Act and the Access Board Standards available for viewing at http://www.section508.gov. Unless otherwise indicated, the contractor represents by signature on the resulting contract that all deliverables shall comply with the Access Board standards.

H.6 U. S Department of Transportation (DOT) Contractor Personnel Security and Agency Access (NOV 2011)

Contractor personnel will be provided with identification badges and necessary access to facilities used to provide the services set forth in this contract based on the criterion below.

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 (PlV-I) card from an authorized PIV-l 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-l 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: THE BACKGROUND INVESTIGATIONS IS: TBD

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 t h e l e v e l of clearance required f o r 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 o f Contractor E m p l o y e e s - The c o n t r a c t o r m u s t pre-screen individuals designated for employment under any DOT contract by verifying minimal suitability.

3. 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.

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 Representative during the background investigation process that validates that the E-Verify requirement has been met for each contractor employee (see http://www.uscis.gov.

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 COR 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.

4. 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 COR 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.

5. Identification Card Application Process - The COR will be the DOT ID card Sponsor and point of contact for the contractor's application for a DOT ID card. The COR shall review and approve the DOT ID card application before an ID card is issued to the applicant.

6. Personal Identity Verification Card - 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 COR 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 COR/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 1-9, 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 COR or, if the COR 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 COR or, if the COR 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 the 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 services.

b) Lost/Stolen: Immediately upon detection, the contractor or contractor employee must report a lost or stolen DOT ID card to the COR, or if the COR 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 COR or, if the COR 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 COR 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 COR, or if the COR is unavailable, the CO, the issuing office, or the local security servicing organization in accordance with agency procedures.

9. Use of This Clause - The contractor is required to include these clauses in any subcontracts that require the subcontractor or subcontractor's employees to have access to DOT facilities, sensitive information, information systems or other resources.

H.7 Identification of Contractor Employees

All contract personnel attending meetings 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.

H.8 Proprietary Data

All property rights, including publication rights, in the progress and final reports, produced by the Contractor in connection with the work provided for hereunder shall vest in the Government.

The Contractor shall not publish any of the results of the study provided for hereunder without the express written permission of the Contracting Officer.

H.9 FTA Non-Disclosure Agreement (To be provided upon Contract Award)

The Contractor shall submit to the COR a list of all Contractor personnel (prime and subcontractor) that will be authorized access to the FTA. Each Contractor employee on the list shall then sign a Non-Disclosure Agreement and submit it to the COR before starting work at FTA. A sample Non-Disclosure Agreement will be provided upon award. The prime Contractor shall also ensure that all staff assigned to this contract, including all subcontractors and consultants performing work on this contract, execute and adhere to the terms of the non-disclosure statement, protecting the proprietary information of the Government and other Contractors. Assignment of staff who has not executed this statement or failure to adhere to this statement shall result in action by the Contracting Officer, as deemed appropriate.

H.10 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 COR in one camera-ready original. The Government shall 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.11 Access to Sensitive Information

Work under this contract may involve access to sensitive information which shall not be disclosed by the contractor unless authorized by the Contracting officer. To protect sensitive information, the contractor shall provide training to any contractor employee authorized access to sensitive information and, upon request of the Government, provide information as to an individual's suitability to have such authorization. Contractor employees found by the Government to be unsuitable or whose employment is deemed contrary to the public interest or inconsistent with the best interest of national security may be prevented from performing work under the contract when requested by the Contracting officer.

The contractor shall ensure that contractor employees are: (1) citizens of the United States of America or an alien who has been lawfully admitted for permanent residence or employment (indicated by immigration status) as evidenced by Department of Homeland Security U.S.

Citizenship and Immigration Services (USCIS) documentation; and (2) have background investigations in…