IFB 158779 Attachments.pdf

ATTACHMENT _____

State Corporation Commission Form

Failure to complete and return this attachment may result in your bid being deemed NON-RESPONSIVE.

Solicitation #:

Virginia State Corporation Commission (SCC) registration information.

The bidder:

is a corporation or other business entity with the following SCC identification number:

-OR-

is not a corporation, limited liability company, limited partnership, registered limited liability partnership, or business trust -OR-is an out-of-state business entity that does not regularly and continuously maintain as part of its ordinary and customary business any employees, agents, offices, facilities, or inventories in Virginia (not counting any employees or agents in Virginia who merely solicit orders that require acceptance outside Virginia before they become contracts, and not counting any incidental presence of the bidder in Virginia that is needed in order to assemble, maintain, and repair goods in accordance with the contracts by which such goods were sold and shipped into Virginia from bidder’s out-of-state location) -OR-is an out-of-state business entity that is including with this bid an opinion of legal counsel which accurately and completely discloses the undersigned bidder’s current contacts with Virginia and describes why those contacts do not constitute the transaction of business in Virginia within the meaning of § 13.1-757 or other similar provisions in Titles

13.1 or 50 of the Code of Virginia.

**NOTE** >> Check the following box if you have not completed any of the foregoing options but currently have pending before the SCC an application for authority to transact business in the Commonwealth of Virginia and wish to be considered for a waiver to allow you to submit the SCC identification number after the due date for bids (the Commonwealth reserves the right to determine in its sole discretion whether to allow such waiver):

A

158779

SBSP-IFB PIM-40

Small Business Subcontracting Plan

IFB # ____________

It is the goal of the Commonwealth that over 42% of its purchases be made from small businesses. All potential bidders are required to include this document with their bid response in order to be considered responsive.

Small Business: "Small business (including micro)” means a business which holds a certification as such by the Virginia Department of Small Business and Supplier Diversity (DSBSD) on the due date for bids.

This shall also include DSBSD-certified women- owned and minority-owned businesses and businesses with DSBSD service disabled veteran owned status when they also hold a DSBSD certification as a small business on the bid due date. Currently, DSBSD offers small business certification and micro business designation to firms that qualify.

Certification applications are available through DSBSD online at www.SBSD.virginia.gov (Customer Service).

Bidder Name:

Preparer Name: Date:

Who will be doing the work: □ I plan to use subcontractors □ I plan to complete all work

Instructions A. If you are certified by the DSBSD as a micro/small business, complete only Section A of this form.

B. If you are not a DSBSD-certified small business, complete Section B of this form. For the bid to be considered and the bidder to be declared responsive, the bidder shall identify the portions of the contract that will be subcontracted to DSBSD-certified small business for the initial contract period in relation to the bidder’s total price for the initial contract period in Section B.

Section A If your firm is certified by the DSBSD provide your certification number and the date of certification.

Certification number: Certification Date:

Section B If the “I plan to use subcontractors box is checked,” populate the requested information below, per subcontractor to show your firm's plans for utilization of DSBSD-certified small businesses in the performance of this contract for the initial contract period in relation to the bidder’s total price for the initial contract period. Certified small businesses include but are not limited to DSBSD-certified women-owned and minority-owned businesses and businesses with DSBSD service disabled veteran-owned status that have also received the DSBSD small business certification. Include plans to utilize small businesses as part of joint ventures, partnerships, subcontractors, suppliers, etc. It is important to note that these proposed participation will be incorporated into the subsequent contract and will be a requirement of the contract. Failure to obtain the proposed participation percentages may result in breach of the contract.

B

SBSP-IFB PIM-40

B. Plans for Utilization of DSBSD-Certified Small Businesses for this Procurement

Subcontract #1

Company Name: SBSD Cert #:

Contact Name: SBSD Certification:

Contact Phone: Contact Email:

Value % (Initial Term): Contact Address:

Description of Work:

Subcontract #2

Company Name: SBSD Cert #:

Contact Name: SBSD Certification:

Contact Phone: Contact Email:

Value % (Initial Term): Contact Address:

Description of Work:

Subcontract #3

Company Name: SBSD Cert #:

Contact Name: SBSD Certification:

Contact Phone: Contact Email:

Value % (Initial Term): Contact Address:

Description of Work:

Subcontract #4

Company Name: SBSD Cert #:

Contact Name: SBSD Certification:

Contact Phone: Contact Email:

Value % (Initial Term): Contact Address:

Description of Work:

Subcontract #5

Company Name: SBSD Cert #:

Contact Name: SBSD Certification:

Contact Phone: Contact Email:

Value % (Initial Term): Contact Address:

Description of Work:

Administrative Services/Procurement Fredericksburg District Ferry Operator Services

IFB #158779

ATTACHMENT C

FERRY OPERATOR’S MANUAL

March 6, 2024

VIRGINIA DEPARTMENT OF TRANSPORTATION

NORTHERN NECK RESIDENCY

Ferry Operator Services

IFB #158779

FERRY OPERATOR’S MANUAL

Table of Contains

Telephone Numbers -----------------------------------------------------------------------------------------

Normal Hours of Operation --------------------------------------------------------------------------------

Pre-Operating Checklist -------------------------------------------------------------------------------------

Operational Procedures --------------------------------------------------------------------------------------

Operational Schedule ----------------------------------------------------------------------------------------

Safety and Security ------------------------------------------------------------------------------------------

Maintenance --------------------------------------------------------------------------------------------------

Ferry Operator Services

IFB #158779

TELEPHONE NUMBERS

Merry Point Ferry

NAME TITLE PHONE NUMBER

Mike Bryant Maintenance Superintendent Lancaster County

804-761-0157, Cell 804-435-7423, Office

Mike Moss Maintenance Supervisor Lancaster County

804-363-1721, Cell 804-435-7423, Office

Larry Horne Maintenance Operation Manager 804-695-6733, Cell

David Beale Residency Administrator 804-907-1939, Cell

Rob Tatum Contract Administrator 804-761-2653, Cell

Shelly Vanlandingham Administrative Assistant 804-761-0120, Cell

Lyell Gallagher Shop Superintendent 540-907-6843, Cell

TELEPHONE NUMBERS

Sunny Bank Ferry

NAME TITLE PHONE NUMBER

Todd Van Landingham Maintenance Superintendent Northumberland County

804-761-9243, Cell 804-529-7559, Office

Chris Bayse Maintenance Supervisor Northumberland County

804-436-3354, Cell 804-529-7559, Office

Larry Horne Maintenance Operation Manager 804-695-6733, Cell

David Beale Residency Administrator 804-907-1939, Cell

Rob Tatum Contract Administrator 804-761-2653, Cell

Shelly Vanlandingham Administrative Assistant 804-761-0120, Cell

Lyell Gallagher Shop Superintendent 540-907-6843, Cell

EMERGENCY

Fire Department -------------------------------------------------------------------------- 911 Rescue -------------------------------------------------------------------------------------- 911 Sheriff -------------------------------------------------------------------------------------- 911 Traffic Operation Center (TOC) ------------------------------------------804-796-4520 Virginia State Police -------------------------------------------------------- 800-552-9965 When the ferry is not operating according to the posted schedule for any reason, the operator shall notify someone from the list above starting with the first. All breakdowns are to be reported in the same manner.

Ferry Operator Services

IFB #158779

Normal Hours of Operation

1. Operational Schedule For Merry Point Ferry: Crosses the Corrotoman River. Operators will take thirty (30) minutes for lunch starting at 12:00 noon.

Tuesday to Friday – 7:00 am to 5:30 pm Saturday Only - 9:00 am to 5:30 pm

2. Operational Schedule For Sunny Bank Ferry: Crosses the Little Wicomico River. Operators will take thirty (30) minutes for lunch starting at 12:00 noon.

Monday to Friday – 8:00 am to 4:30 pm Saturday Only - 8:00 am to 12:00 noon

Pre-Operating Checklist

1. Unlock ferry cabin, engine compartment and swing gate.

2. Unlock life preserver box. Check for correct number of U.S. Coast Guard approved Personal Flotation Devices (PFD). Ensure all floatation vests are easily assessable and are in required usable condition.

3. Check fire extinguisher for proper pressure. Make sure safety pin is in handle and attached with easy breakable plastic tie. Check in service date on fire extinguisher. Perform daily, monthly and yearly inspections on fire extinguisher and document on attached record cards.

4. First Aid Kit shall be inspected weekly in accordance with VDOT policy.

5. Check all fluid levels, motor oil, hydraulic oil and radiator coolant daily, prior to operation. Ensure all fluids are at proper operating levels.

6. Check for fluid leaks, engine, radiator, hydraulic lines and lift cylinders. Advise Residency Shop immediately if leaks are detected.

7. Grease entire ferry DAILY; sixteen (16) fittings.

8. Fuel ferry prior to operation. Notify Area Headquarters when fuel oil is needed to be ordered.

9. Check all safety chains/ropes/straps for wear.

10. Check condition of cables for frayed areas. Notify Residency Shop Superintendent when cable needs tightening or replacing.

11. Attach throwable life ring to outside of pilot house prior to operation. Ensure rope line is properly tied to ring.

Ferry Operator Services

IFB #158779

12. Start engine; allow idling a few minutes. Notify the Superintendent immediately if something unusual is noted.

Operational Procedures

The following procedures are to be followed for the operation of the ferry:

1. Note: The ferry shall NOT operate, at any time, with more than six (6) passengers plus the ferry operator, unless the Contractor is notified in writing that the passenger number has increased.

2. Open swing warning gate arm and signal vehicle(s) to load onto the ferry. The ferry operator shall monitor each vehicle loading onto or exiting off the ferry.

3. Place warning gate arm to closed position.

4. Unhook anchor rope from shore anchor post.

5. Have vehicle(s) stop engine(s) and engage parking brake.

6. Hook safety strap behind vehicle.

7. Place safety chocks in front and back of wheel on each vehicle.

8. Raise both ferry ramps to up position.

9. Record trip, vehicle and passenger information in ferry log book.

10. Accelerate ferry engine and proceed across river. When destination is reached, idle engine. Place movement lever in neutral position. Lower ramp onto landing area and place lever in the float position.

11. Remove safety chocks.

12. Remove safety strap from in front of vehicles.

13. Swing warning gate arm open. Signal for vehicle(s) to unload ferry monitoring each vehicle.

14. Swing warning gate arm to closed position after unloading vehicle(s) passes or after waiting vehicle(s) loads onto ferry.

15. When the ferry is docked at the end of the work day, the ramps shall be lowered onto the landing area and placed into the float position. The ferry movement lever should be in the Neutral position and the anchor rope securely tied to the anchor post. The swing warning gate, storage building and restroom all shall be locked.

The ferry is not to be moved until the warning gate arm is closed. The warning gate arm is to remain in the closed position at all times unless a vehicle is going onto or leaving the ferry.

Ferry Operator Services

IFB #158779

The Ferry Log entries shall be totaled at the end of each day and transferred to the monthly ferry reports.

All pertinent information for that day pertaining to the ferry shall also be recorded in the ferry log book.

When the ferry is not operating for any reason, (preventive maintenance, repair, high water, etc.), all signs should be up and gates closed.

Operational Schedule

1. The vessel may only operate between sunrise and sunset with at least two miles of visibility, and in reasonable operating conditions including:

a. Wind gust less than 30 knots (35 mph).

b. Waves less than 2 feet.

c. Sustained winds less than 18 knots (21 mph).

2. Prior to getting underway, the operator shall use all available means to assess the anticipated operating conditions for the duration of the voyage.

The vessel may not be operated under the following conditions:

a. During electrical storms.

b. During extremely high water.

c. During extremely low water.

d. During high winds as determined by the Maintenance Area Headquarters.

e. When the ferry deck is covered with snow or ice.

f. Equipment failure.

g. When notified by the Contract Administrator not to operate.

When the ferry is down because of high water for an extended period of time, (over 24 hours), operators will check ferry at least once a day. If in the operator’s opinion he feels that it should be checked twice, he may do so.

If the ferry is unable to operate due to one (1) of the conditions listed, all of the advanced operational signs (Open/Closed) shall be changed to reflect the current operational status of the ferry by contacting the area headquarters and the Traffic Operation Center (TOC) at 804-796-4520.

Safety and Security

1. Fishing is not permitted from any part of the ferry or the two (2) docks.

2. Pedestrians and/or vehicle drivers are to be prohibited from subjecting themselves to danger while on the ferry.

3. No boats are permitted to be tied up or moored to ferry and the two (2) docks.

4. Ferry operator will visually assure clearance of all water and highway traffic prior to operating the ferry.

Ferry Operator Services

IFB #158779

5. Vehicles of any description, including bicycles, are not to be permitted on the roadway approaches, between the loading ramps and the warning arm gate, except when loading or unloading the ferry.

6. Should a request be made for crossing on the ferry by a questionable piece of equipment, the Superintendent shall be contacted. The Superintendent will review and approve such requests.

7. Telephone numbers, including emergency telephone numbers, shall be kept up to date in the ferry cabin and near the telephone in the operator’s house.

8. Secure all locks prior to leaving the ferry unattended. Secure the ferry at the end of the day and during adverse weather conditions, which prevents the operation of the ferry.

9. Inspect the operator’s house outside lighting prior to leaving each day.

10. At no time shall an operator enter the vessels sealed hatch.

Maintenance

The ferry operator is to perform the following maintenance items:

1. All floors, decks, and working surfaces shall be maintained in a clean, non-slippery condition as often as needed. If spills occur, promptly and properly remove the spill.

2. Trash / litter shall be picked up from on the ferry and landing areas as often as needed and disposed of properly.

3. The ferry house and bathroom facilities shall be maintained in a neat, clean and orderly condition.

4. Keep parts and supplies in their proper storage place.

5. Keep ferry cabin windows clean.

6. Sand shall be removed from landing areas as often as needed.

7. All containment boxes shall be kept free of water/oils daily so they can function at full capacity in the event of oil leak.

8. Cutting the grass around each landing when it reaches a height of 4” with a state-supplied weed eater.

Goggles for this operation shall be provided by the Contractor.

Administrative Services Procurement Section Ferry Operators Fredericksburg District Northern Neck Residency

IFB #158779

ATTACHMENT D

Locations of public informational signs requiring changing when not operating during scheduled hours in Northumberland County.

G

Administrative Services Procurement Section Ferry Operators Fredericksburg District Northern Neck Residency

IFB #158779

Locations of public informational signs requiring changing when not operating during scheduled hours in Lancaster County.

Ferry Operator Services

IFB #158779

ATTACHMENT E

DAILY FERRY LOG

Ferry Location:

Operator's Name: Operator's Company:

Day: Date:

Operator's Start Time: Operator's End Time:

Engine Start Time: Engine End Time:

Weather AM: Weather PM:

Temperature AM: Temperature PM:

Tide High: Tide Low:

Ferry Not In Service Start Time:

Ferry Not in Service End Time:

Virginia Licensed: Out of State Licensed:

Passengers: Passengers:

Passenger Cars: Passenger Cars:

Passenger Cars w/Trailer:

Passenger Cars w/Trailer:

Other 2 Axle Vehicles: Other 2 Axle Vehicles:

2 Axle Trucks: 2 Axle Trucks:

2 Axle Trucks w/Trailer: 2 Axle Trucks w/Trailer:

Total Loaded Trips: Total Empty Trips:

Ferry Operator Services

IFB #158779

ATTACHMENT F

FERRY TRAFFIC REPORT (MONTHLY)

Location: ________________________ Month/Year: ______________

Virginia Licensed Vehicles Out of State Licensed Vehicles

Day Passenger

Cars Passengers

Passenger Cars With

Trailer

Other 2 Axle

Vehicles 2 Axle Trucks

2 Axle Trucks With

Trailer Passenger

Cars Passengers

Passenger Cars With

Trailer

Other 2 Axle

Vehicles 2 Axle Trucks

2 Axle Trucks With

Trailer

TOTAL

LOADED

TRIPS

TOTAL

EMPTY

TRIPS

TOTAL

TRIPS

TOTAL

Ferry Operator Services

IFB #158779

ATTACHMENT G

VENDOR QUALIFICATION / EQUIPMENT INVENTORY

CERTIFICATION (ASD-08)

All bidders responding to this IFB are required to complete personnel information for individual listed in question #4.

Failure to complete this attachment may render the bid non-responsive.

1. Name of Business:

2. Name of Owner or Chief Executive Officer: Telephone Number:

3. How many years has the firm been in the business of performing the services called for in this IFB?

4. How many persons are currently employed by the firm?_

Provide the name of the employee(s) who will perform work on this contract with their skill levels below.

Employee’s Name Skill Level Years of Experience DPOR # (if applicable)

3. Identify any VDOT locations your firm is currently working, the contract number associated with the work and the location where the work is being performed.

Authorized Signature Title Date

ATTACHMENT ______

Solicitation #:

SUBCONTRACTOR APPROVAL REQUEST

No portion of the work (including equipment) shall be subcontracted to another firm or individual without prior written consent of Virginia Department of Transportation (herein referred to as VDOT). In the event that the contractor desires to subcontract some part of the work specified herein, the contractor shall furnish VDOT with the names, qualifications, and experience of their proposed subcontractors for agency approval. The primary contractor shall, however, remain fully liable and responsible for the work performed by its subcontractor(s) and shall assure compliance with all requirements of the contract.

List proposed subcontractor(s), including name, address, contact person, and type of work to be performed under this contract below.

FIRM INDIVIDUAL’S

NAME & ADDRESS

CONTACT PERSON AND

PHONE NUMBER

TYPE OF WORK TO BE

PERFORMED

TYPE OF EQUIPMENT PROPOSED SUBCONTRACTOR WILL PROVIDE

QUALIFICATIONS / EXPERIENCE LEVEL OF PROPOSED SUBCONTRACTOR

Please indicate which above proposed subcontractors are certified (with DSBSD) as Small, Women Owned or Minority Businesses.

Certification Number(s):

FOR VDOT USE ONLY:

The proposed subcontractor(s) listed above is/are approved and accepted under the terms and conditions of the contract requirements herein.

Signature of Authorized VDOT Representative Date Telephone Number

H

ATTACHMENT ____

NORMAL AND EMERGENCY CONTACTS

Solicitation # ___________

Send Contracts To:

Bidder's Name/Title

Primary Phone Number

Bidder's Mailing Address E-mail Address

Contact Person’s Name

Cellular Telephone Number

Telephone Number - Normal Work Hours Telephone Number - After Work Hours Fax Number

E-mail Address

Contact Person’s Name

Cellular Telephone Number

Telephone Number - Normal Work Hours Telephone Number - After Work Hours Fax Number

E-mail Address

Contact Person’s Name

Cellular Telephone Number

Telephone Number - Normal Work Hours Telephone Number - After Work Hours Fax Number

E-mail Address

I

Solicitation # ____________

REFERENCES

Bidders should provide a list of at least 3 references where similar goods and/or services have been provided. Each reference shall include the name of the organization, the complete mailing address, the name of the contact person, the email, and the telephone/fax number.

FIRM’S NAME AND ADDRESS CONTACT PERSON EMAIL ADDRESS TELEPHONE / FAX #

J

ATTACHMENT ____

VIRGINIA CODE RED OZONE DAYS

Solicitation # ___________

The contactor shall suspend the use of gasoline and diesel tractors, powered mowers, weed eaters, wood chippers, chainsaws, sprayer rigs and other similar field/yard maintenance equipment in ozone non-attainment or maintenance areas on predicted “code red ozone days”. The ozone season in Virginia is from May through September. The number of “code red ozone days” varies, but typically does not exceed ten (10) per season. The following counties are subject to this provision:

Commonwealth of Virginia Ozone Nonattainment, Maintenance, and Early Action Compact Areas

Ozone Nonattainment Area: An area that exceeds the Environmental Protection Agency’s (EPA) National Ambient Air Quality Standards (NAAQS) for ozone.

Ozone Maintenance Area: An area that that has previously exceeded the EPA NAAQS for ozone, but has since come back into compliance and has adopted an ozone maintenance plan.

Ozone Early Action Compact Area: An area that has previously exceeded the EPA NAAQS for ozone, but voluntarily opted-in to the Early Action Compact program to avoid an official ozone nonattainment designation.

Table 1. Jurisdictions by VDOT District located in either an Ozone Nonattainment, Maintenance, or Early Action

Compact area.

* 8-hour ozone Early Action Compact Area

DISTRICT

Northern Virginia Fredericksburg Staunton Hampton

Roads Richmond Salem

JU

R

IS

D

IC

T

IO

N

Alexandria Arlington Fairfax (County & City) Falls Church Loudoun Manassas Manassas Park Prince William

Fredericksburg Spotsylvania Stafford Gloucester

Frederick* Winchester*

Chesapeake Hampton Isle of Wight James City Newport News Norfolk Poquoson Portsmouth Suffolk Virginia Beach Williamsburg York

Charles City Chesterfield Colonial Heights Hanover Henrico Hopewell Petersburg Prince George Richmond

Botetourt* Roanoke (County & City)* Salem* Vinton*

K

COMMONWEALTH of VIRGINIA

DEPARTMENT OF LABOR AND INDUSTRY

Virginia Department of Labor and Industry Wage Determination Decision

Project Name Ferry Operator Services

State Project Code IFB 158779

DOLI Project Number VDOT-24-0074

County or Independent City Multiple Counties

Publication Date 03/19/2024

Construction Type Highway

LANCASTER COUNTY

Wage Determinations Wage Fringe Carpenter (Includes Form Work) $21.73 $3.06 Cement Mason/Concrete Finisher $19.35 Ironworker, Reinforcing $20.80 Laborer: Asphalt (Includes Raker, Shoveler, Spreader, and Distributor) $18.28 Laborer: Common or General $16.60 Laborer: Pipelayer $16.75 Operator: Asphalt Spreader and Distributor $21.53 Operator: Backhoe/Excavator/Trackhoe $19.97 Operator: Broom/Sweeper $16.15 $0.23 Operator: Bulldozer $17.66 Operator: Crane $26.68 Operator: Grader/Blade, Includes Finishing $26.13

Main Street Centre 600 East Main Street, Suite 207

Richmond, Virginia 23219

PHONE (804) 371-2327

FAX (804) 371-6524

Gary G. Pan

COMMISSIONER

Operator: Loader $17.80 $2.78 Operator: Mechanic $19.15 Operator: Milling Machine $21.13 Operator: Paver (Asphalt, Aggregate, and Concrete) $20.15 Operator: Roller $19.16 Pavement Marking Operator $20.91 Pavement Marking Truck Driver $21.40 Traffic Control: Flagger $12.00 Truck Driver: Heavy 7CY & Under $16.69 Truck Driver: Heavy Over 7CY $17.74 Truck Driver: Single & Multi Axle $19.48

NORTHUMBERLAND COUNTY

Carpenter, Includes Form Work $21.73 $3.06 Cement Mason/Concrete Finisher $19.35 Ironworker, Reinforcing $20.80 Laborer: Asphalt (Includes Raker, Shoveler, Spreader, and Distributor) $18.28 Laborer: Common or General $16.60 Laborer: Pipelayer $16.75 Operator: Asphalt Spreader and Distributor $21.53 Operator: Backhoe/Excavator/Trackhoe $19.97 Operator: Broom/Sweeper $16.15 $0.23 Operator: Bulldozer $17.66 Operator: Crane $26.68 Operator: Grader/Blade, Includes Finishing $26.13 Operator: Loader $17.80 $2.78 Operator: Mechanic $19.15 Operator: Milling Machine $21.13 Operator: Paver (Asphalt, Aggregate, and Concrete) $20.15 Operator: Roller $19.16 Pavement Marking Operator $20.91 Pavement Marking Truck Driver $21.40 Traffic Control: Flagger $12.00 Truck Driver: Heavy 7CY & Under $16.69 Truck Driver: Heavy Over 7CY $17.74 Truck Driver: Single & Multi Axle $19.48

Additional Notes

All wage rates to be used on a contract will be set at the time the contract is awarded.

While DOLI maintains a list of wage determinations online for reference purposes, only the wage determinations made in an official Wage Determination Decision, sent by DOLI to the contracting agency, can be used to ascertain the exact rates to be paid for a specific contract.

All rates are determined by DOLI and any appeals of specific classifications may be made through the Wage Determination Appeal form available at http://www.doli.virginia.gov/wp-content/uploads/2021/04/Appeal-for-Wage- Determination-Clarification.pdf

Any additional classifications may be requested through the Additional Wage Classification form available at http://www.doli.virginia.gov/wp-content/uploads/2021/04/Request-for-Additional-Wage-Classification.pdf

Understand your duties as a contractor under Virginia law by referencing our Contractor Responsibilities information sheet available at http://www.doli.virginia.gov/wp-content/uploads/2021/04/PREVAILING-WAGE- CONTRACTOR-RESPONSIBILITIES.pdf

Your employees have specific rights, which can be found on our List of Employee Rights information sheet available at http://www.doli.virginia.gov/wp-content/uploads/2021/04/PREVAILING-WAGE-EMPLOYEE-RIGHTS.pdf

Any further questions should be directed to PrevailingWage@doli.virginia.gov

CII/SSI Policy Guide

For

Employees, Vendors, Contractors or other Persons Accessing VDOT’s CII/SSI

An Accompanying Guide to CII/SSI Policy Version 6.0, March 2006 (Interim Revision – November, 2009)

Interim Revision November, 2009

CII/SSI Guide, Version 6.0, March 9, 2006 Page 1 Copyright 2005 by Virginia Department of Transportation, SEMD

CII/SSI Guide, Version 6.0, March 9, 2006 Page 2

Table of Contents

I. PURPOSE

II. GUIDELINES FOR DESIGNATING AND MARKING VDOT INFORMATION AS CII/SSI

Designating CII/SSI Marking CII/SSI Marking Maritime Related SSI

III. GUIDELINES FOR HANDLING, STORING AND REPRODUCING CII/SSI

IV. GUIDELINES FOR RELEASING DOCUMENTS DESIGNATED AS CII/SSI

V. SAMPLE DOCUMENTS

Frequently Asked Questions Quick Reference to Identifying CII/SSI CII/SSI Designation Decision Flowchart Multi-Purpose Non-Disclosure Agreement

NOTE: The Multi-Purpose Non-Disclosure Agreement form included in this document is a sample form and should not be used as the actual form. The actual Multi-Purpose Non-Disclosure Agreement form may be downloaded from the Inside VDOT Forms page.

CII/SSI Guide

CII/SSI Guide, Version 6.0, March 9, 2006 Page 3 Copyright 2005 by Virginia Department of Transportation, SEMD

I. Purpose

This Guide will provide general guidance the user/originator can use to designate CII/SSI in your sections and develop specific procedures for handling, marking, disseminating, releasing and destroying CII/SSI.

You will also find samples of the forms that should be used in the aforementioned processes.

Critical infrastructure is a system or asset so vital that its incapacity or destruction would have a debilitating impact on security, economic security, public health or safety. Critical infrastructure information (CII) is the designation used by VDOT to identify information that is not appropriate for public release without a need-to-know. Sensitive security information (SSI) is the designation used to identify information related to maritime critical infrastructure that is not appropriate for public release without a need-to-know.

A page containing Frequently Asked Questions has been included in this Guide for your reference. If you have questions that are not answered in this guide, you may submit your questions to your contract manager. VDOT employees may submit questions via email, to CriticalInfrastructure@VDOT.Virginia.gov .

II. Guidelines for Designating and Marking VDOT Information as CII/SSI

Designating CII/SSI Each Manager should perform a review of the documents in his/her custody to determine if the document contains CII/SSI and ensure proper markings are affixed. Additionally each vendor/contractor should review documents created in connection with the VDOT contract to ensure CII/SSI is properly marked and handled. This Guide contains a CII/SSI Designation Decision Process flowchart and Quick Reference document to provide you with the necessary tools in determining proper CII/SSI designation.

Marking CII/SSI Once a document has been designated as CII/SSI, it should be marked according to the following:

It is the responsibility of the document originator; VDOT employee or contractor/vendor to make sure that CII/SSI contained within the document is identified and marked, whether it has been previously marked or not. However, if you are the person handling a document which you feel contains CII/SSI and the document has not been properly marked; please refer the document back to the originator for designation and proper marking.

The marking shown below (frame and format optional) should be placed appropriately on all pages or sections containing CII material. It should be located either at the top or bottom of the page consistently throughout the document. The format and arrangement of the words may be modified to accommodate different situations but the wording should remain consistent. Appropriate font color needs to be utilized to ensure the markings are readily visible.

– Restricted – Critical Infrastructure Information mailto:CriticalInfrastructure@VDOT.Virginia.gov

CII/SSI Guide, Version 6.0, March 9, 2006 Page 4

Marking Maritime Related SSI Documents designated as SSI should be marked at the top of every page in the document and at the following locations in the document:

• The outside of any front cover,

• The outside of any back cover,

• Any binder cover or folder (front and back)

• Any title page

The marking at the top of the page should be:

Sensitive Security Information

The marking at the bottom of each page of the document should be:

WARNING: This record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a ‘‘need-to-know’’, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.

III. Guidelines for Handling, Storing and Reproducing CII/SSI

CII/SSI shall be protected at all times, either by appropriate storage or having it under the personal observation and control of a person authorized to receive it. Each person who works with protected CII/SSI is personally responsible for taking proper precautions to ensure that unauthorized persons do not gain access to it.

During working hours, reasonable steps shall be taken to minimize the risks of access to CII/SSI by unauthorized personnel. After working hours, CII/SSI shall be stored in a secure container, such as a locked desk, file cabinet or facility where contract security is provided.

CII/SSI shall be transmitted only by VDOT courier, US first class, express, certified or registered mail, or through secure electronic means.

CII/SSI in electronic format should be released in a protected format such as a locked PDF or password protected WORD document.

Material containing CII/SSI shall be disposed of by any method that prevents unauthorized retrieval and in accordance with established records retention policy.

Documents or materials containing CII/SSI may be reproduced to the minimum extent necessary to carry out official duties provided that the reproduced material is marked and protected in the same manner as the original material.

IV. Guidelines for releasing documents designated as CII/SSI

Before CII/SSI can be released the following criteria need to be met;

• The requestor has a need-to-know the information, CII/SSI Guide, Version 6.0, March 9, 2006 Page 5 Copyright 2005 by Virginia Department of Transportation, SEMD

• The requestor has been cleared for access to CII/SSI material through VDOT’s Criminal History Records Check process as required in DPM: 1-25,

• And the requestor completes and signs a Non Disclosure Agreement Form (NDA).

If the requestor does not have a need-to-know, refuses to sign the NDA form or does not meet the requirements outlined in DPM 1-25 do not release the information to them. If the requestor takes issue with this decision contact the contract manager if the request is contract related. For contract managers or if the request is not contract related please submit questions to CriticalInfrastructure@VDOT.Virginia.gov.

When non-disclosure agreements are completed for VDOT employees the signed non-disclosure agreements should be returned to the Human Resource Department to be filed in the employee’s personnel folder. Contractor or Vendor NDA forms are to be maintained by the VDOT Contract Officer and should be filed with the procurement documents. When NDA forms are completed to release CII/SSI to a non employee, contractor or vendor the NDA form shall be maintained by the releasing custodian of the CII/SSI. A sample Non-disclosure agreement has been included for your reference.

V. Sample Documents

This Guide contains the following Sample Forms:

• Frequently Asked Questions

• Quick Reference to Identifying CII/SSI

• Non-Disclosure Agreement

• CII/SSI Designation Decision Process flowchart mailto:CriticalInfrastructure@VDOT.Virginia.gov

CII/SSI Guide, Version 6.0, March 9, 2006 Page 6

Frequently Asked Questions

1. What is CII?

Critical infrastructure information (CII) is the designation used by VDOT to identify information that is not appropriate for public release without a need-to-know.

2. What is SSI?

Sensitive security information (SSI) is the designation used to identify information related to maritime critical infrastructure that is not appropriate for public release without a need-to-know.

3. What is need-to-know?

The legitimate requirement of a person or organization to know, access, or possess sensitive or classified information that is critical to the performance of an authorized, assigned mission (i.e. a VDOT related project). The necessity for access to, or knowledge or possession of, specific information required to carry out official duties. The information is intended for use only by individuals who require the information in the course of performing their job function.

4. What is Public Knowledge?

Information about which knowledge or use is accessible to the general public if there has been no deliberate attempt to keep it hidden or secret. Knowledge that is available to anyone. Something might be considered public knowledge if it could be seen in a public area versus being located in a locked or non-public area. In some instances, the object itself may be public knowledge but it’s location or use in that specific instance is not (e.g., an electrical panel in a reception area is recognizable and not hidden but, if the panel is locked, what the various circuit breakers control is not public knowledge).

For example, if a circuit breaker box is located in the lobby of a building, the location of that box would not be CII/SSI.

However, the identification of the circuits/devices controlled by the breakers in the box might be CII/SS depending on the function of the devices controlled by the individual breakers (Security Systems, Alarm Systems, etc.). If the box is located in a locked room in an area not normally open to the public, it could be considered CII/SSI.

5. Who has to do the review and marking?

It is the responsibility of the document creator to review the document for potential CII/SSI information and to mark the document accordingly. If a document recipient receives a document which contains CII/SSI information the recipient should forward the document back to the creator for proper marking.

6. Can A/E firms mark CII/SSI as the plans/specs are developed?

The Contract Officer should inform the A/E firm at the time the contract is awarded that the project contains CII/SSI and the firm’s responsibilities for marking information. As such, plans/specification must be marked accordingly as they are developed. A/E firms, or any other outside entity, who work as agents of VDOT must mark the CII/SSI in accordance with the Policy.

7. Can Vendors or Contractors release CII/SSI information to third parties?

Vendors and Contractors can release CII/SSI to business partners or sub-contractors in connection with work performed under the terms of the contract only if a need-to-know has been established. The Vendor or Contractor will notify the VDOT Contract Officer who will ensure the Non Disclosure Agreement form is completed and the protocols outlined in DPM 1-25 are followed prior to the release of the CII/SSI.

8. What about solicitations that involve information and site-visits that contain/show CII/SSI?

The current approach to handling CII/SSI in public advertisements:

• Do not include CII/SSI in the public advertisement.

The current approach to handling CII/SSI in pre-bid meetings:

• Require pre-registration for a mandatory pre-bid conference.

• Obtain signed non-disclosure agreements and verify identity with photo-id of all participants prior to allowing entry into the pre-bid meeting.

CII/SSI Guide, Version 6.0, March 9, 2006 Page 7 Copyright 2005 by Virginia Department of Transportation, SEMD

• Sanitize CII/SSI material to work being solicited and to the extent needed to prepare a formal bid.

• Monitor pre-bid meeting and conduct site visits at the time of the pre-bid.

• Collect and account for all CII/SSI material after pre-bid meeting (no take away documents)

• Limit access and photography to that which is necessary to prepare a formal bid.

Note: By following the guidance above, access to the CII/SSI material is “restricted” and therefore no Criminal History Records Check is required as indicated in DPM 1-25. If the guidance above is not followed, or if the extent of the project requires the contractors or vendors to leave the pre-bid meeting with the CII/SSI material then the access becomes “unrestricted” and a Criminal History Records Check is required as indicated in DPM 1-25.

CII/SSI Guide, Version 6.0, March 9, 2006 Page 8

Quick Reference to Identifying CII/SSI

Information identified as either Critical Infrastructure Information or Sensitive Security Information (CII/SSI) should be marked as specified in the CII/SSI Policy.

Points to consider when determining what constitutes CII/SSI…

• What impact could the information have if it was inadvertently transferred to an unintended audience?

• Does the information provide details concerning security procedures and capabilities?

• Could someone use the information to target personnel, facilities or operations?

• How could someone intent on causing harm misuse the information?

• Could the use of this information be dangerous if combined with other publicly available information?

• Look at the material from an adversary’s point of view.

Answer the following: Y/N Is the information customarily public knowledge? (Information that is accessible to the general public if there has been no deliberate attempt to keep it hidden or secret.)

Does the general public have a need-to-know? (Access to, or knowledge or possession of, specific information required to carry out official duties ) (Note: Contractors should be considered employees, not general public.)

If “yes” to either, then it is not CII/SSI, otherwise continue.

If the item under consideration shows describes or is itself listed below, it might be CII/SSI.

1 Documentation or other information that describes the design, function, operation or access control features of any security system, manual or automated, used to control access to or use of any automated data processing or telecommunications system.

2 Plans and information to prevent or respond to terrorist activity, the disclosure of which would jeopardize the safety of any person, including:

• Critical infrastructure sector or structural components

• Operational, procedural, transportation, and tactical planning or training manuals

• Vulnerability assessments • Staff meeting minutes or other records

Engineering or architectural records or portions of, that reveals the location or operation of:

• Security equipment and systems • Elevator equipment and systems

• Ventilation equipment and systems • Fire protection equipment and systems

• Emergency equipment and systems • Electrical equipment and systems

• Utility equipment and systems • Telecommunications equipment and systems

3 Information (including drawings, manuals, or other records) which reveals:

• Surveillance techniques • Alarm or security systems or technologies

• Personnel deployments¹ • Operational and transportation plans or protocols

4 Information concerning threats against transportation.

¹ Only as it relates to security operations. (E.g. Staffing levels in critical operational areas such as Smart Traffic Centers, Control Rooms, Guard schedules, number present and location, etc.)

CII/SSI Designation Decision Flowchart CII/SSI Designation Decision Flowchart

NO

YES

NO

NO NO NO

NO

YES

YES

YES

Start

Owner Should Not Designate Information as

CII/SSI

Is the information readily accessible to the general public and considered public information?

Does the general public have a need-to-know in order to carry out official duties?

Does the information contain engineering or architectural records that reveal the location or operation of Critical

Infrastructure?

See Code of Virginia § 2.2-3705.2

Does information describe the design, function, operation or access control features of any security system used to control access to or use of any automated data processing or telecommunications system?

See Code of Vir

Does information describe threats against transportation or plans developed to respond to terrorist activity?

See Code of Virginia § 2.2-3705.2

Does information (e.g., drawings, manuals, or other records) reveal surveillance techniques, personnel deployments, security systems or operational and transportation plans?

See Code of Virginia § 2.2-3705.2 ginia § 2.2-3705.2

Owner Should Designate

Information as

CII/SSI

Reference: Code of Virginia § 2.2-3705.2

CII/SSI Guide, Version 6.0, March 9, 2006 Page 9

CII/SSI Guide, Version 6.0, March 9, 2006 Page 10

Critical Infrastructure Information/Sensitive Security Information (CII/SSI) Multi-Purpose Non-Disclosure Agreement

Retain a copy of both the front and back sides of this form for future reference

VDOT requires CII/SSI be protected and not disclosed to unauthorized persons.

PART A: To Be Completed By Individual VDOT or Company Employee

I agree with the following as a condition of being granted access to CII/SSI:

CII/SSI, which is valuable and sensitive, is protected by law and by strict VDOT policies. The intent of these laws and policies is to assure that CII/SSI will remain confidential - that is, it will be used only as necessary to accomplish VDOT’s mission. Disclosure of CII/SSI in any manner that permits interception by unauthorized persons could compromise safety and security and is prohibited. CII/SSI may be released only to persons with a need-to-know.

I might have access to this information in various formats including but not limited to documents and drawings, physical structures, and computer based systems. I have no right or ownership interest in any VDOT CII/SSI.

VDOT may at any time revoke my authorization allowing access to CII/SSI.

Willful violation of this agreement may subject me to discipline which might include, but is not limited to, removal from current VDOT projects;

exclusion from further VDOT related work; and legal liability. My obligations with respect to the confidentiality and security of all CII/SSI disclosed to me shall survive the termination of any agreement or relationship with VDOT. My execution of this agreement shall not nullify or affect in any manner any other agreement, non-disclosure or otherwise, which I have executed or may execute with VDOT or the Commonwealth of Virginia.

I am obligated to protect this information from unauthorized disclosure in accordance with the terms of this agreement. I will only use CII/SSI that I obtain to perform my legitimate VDOT related duties. I will conduct myself in a strict conformance to applicable laws and VDOT policies governing CII/SSI. I will safeguard the confidentiality of all CII/SSI at all times. I will be responsible for my misuse or my wrongful disclosure of CII/SSI.

Each provision of this agreement is severable. If any administrative or judicial tribunal should find any provision of this agreement to be unenforceable, all other provisions shall remain in full force and effect.

I make this agreement in good faith, without mental reservation or purpose of evasion.

Printed Name Date

VDOT District/Division OR Company Name Phone Number

Company Address

Signature Signature of Authorized Agent (Not required for VDOT employees)

PART B: To Be Completed By Company Agent Only:

In addition to the provisions above, I certify:

All employees of this company involved with this VDOT project, regardless of location, who will have access to CII/SSI, myself included, will complete Part A of the Critical Infrastructure Information/Sensitive Security Information Multi-Purpose Non-Disclosure Agreement. The Agreement will be signed by me and accepted by VDOT prior to being granted access to CII/SSI. We will only access CII/SSI for which we have a need-to-know.

We will safeguard the confidentiality of all CII/SSI at all times. We will conduct ourselves in strict conformance to applicable laws and VDOT policies governing CII/SSI. Obligations with respect to the confidentiality and security of all CII/SSI disclosed to us shall survive the termination of any agreement or relationship with VDOT.

Authorized Company Agent:

Signature of Authorized Agent Date

Printed Name Title

Company Name Phone Number

Company Address

VDOT Contract Name and Number

CII/SSI Guide, Version 6.0, March 9, 2006 Page 11

Critical Infrastructure Information/Sensitive Security Information (CII/SSI) Multi-Purpose Non-Disclosure Agreement

Back Page

Retain a copy of both the front and back sides of this form for future reference.

Handling CII/SSI

You are responsible for safeguarding Critical Infrastructure Information/Sensitive Security Information (CII/SSI) in your custody or under your control.

The extent of protection afforded CII/SSI shall be sufficient to reasonably foreclose the possibility of its loss or compromise.

The terms of this clause (Handling CII/SSI), including this paragraph, must be included in any dissemination of any document, in whole or in part, that contains CII/SSI.

Protection - CII/SSI shall be protected at all times, either by appropriate storage or having it under the personal observation and control of a person authorized to receive it. Each person who works with protected CII/SSI is personally responsible for taking proper precautions to ensure that unauthorized persons do not gain access to it.

Use and Storage - During working hours, reasonable steps shall be taken to minimize the risks of access to CII/SSI by unauthorized personnel. After working hours, CII/SSI shall be secured in a secure container, such as a locked desk, file cabinet or facility where contract security is provided.

Reproduction - Documents or material containing CII/SSI may be reproduced to the minimum extent necessary consistent with the need to carry out official duties provided that the reproduced material is marked and protected in the same manner as the original material.

Disposal - Material containing CII/SSI shall be disposed of by any method that prevents unauthorized retrieval (e.g. shredding, burning, returning to original source, etc.).

Transmission - CII/SSI shall be transmitted only by VDOT courier, US first class, express, certified or registered mail, or through secure electronic means.

Provide the name of the employee(s) who will perform work on this contract with their skill levels below.