Synopsis Solicitation - RFQ.pdf

RFQ #693JJ626Q000027

Synopsis/Solicitation: Post-Accident Toxicological Testing Oversight

Request for Quote (RFQ) – 693JJ626Q000027 Overview- Purchase Order

The Federal Railroad Administration (FRA) intends to award a Purchase Order to provide the technical oversight services necessary for the Office of Railroad Safety, Drug and Alcohol Division to meet the requirements described in the Statement of Work (SOW). This requirement supports the FRA by providing technical and scientific oversight specializing in forensic toxicology, laboratory testing procedures, proficiency testing, and 49 CFR Part 219/Part 40 compliance review services to ensure continuing public confidence in the forensic integrity and scientific credibility of the FRA Post-Accident Toxicological Testing (PATT) Program. This is a combined synopsis/solicitation for commercial services prepared in accordance with the format in the Federal Acquisition Regulation (FAR) Overhaul, Subpart 12.201, Solicitation Procedures, as supplemented with additional information included in this notice.

The FRA will conduct this acquisition using the format in the Federal Acquisition Regulation (FAR) Overhaul (RFO) - FAR Part Deviation Guidance, Subpart 12.201, Solicitation Procedures – and anticipates awarding a PO after receipt and evaluation of qualified quotations.

The quotations will be provided to Government Officials for the purpose of assuring that the Quoter has a complete understanding of the scope of this effort and has the capability to provide a complete solution to the Statement of Work (SOW). Any quotation that is incomplete or non-compliant with any requested submission requirement of this RFQ may immediately be removed from further consideration. Quotes that fail to include inspection team members with a Fellow (F-ABFT), Diplomate (D-ABFT-FT, D- ABFT-FA, or D-ABFT-FD), or equivalent certification from the American Board of Forensic Toxicology may be immediately removed from further consideration.

It is the Government’s intent to award a small-business set-aside purchase order to the responsible Quoter whose quotation, in conforming to the RFQ, provides the overall best-value to the Government. The total estimated value of this purchase order is estimated at $2,700,000.00.

The Government reserves the right to cancel this RFQ without award if the needs of the requirement are not met. This RFQ does not commit the Government to pay for the preparation and submission of a quotation.

The Government has assigned the North American Industry Classification System (NAICS) Code 541690

– Other Scientific and Technical Consulting Services for this procurement. The Product and Service Code (PSC) for this requirement is B529 – “Special Studies/Analysis: Scientific Data.”

1. Introduction

1.1. Purpose

This Request for Quotation (RFQ) is issued to quoters to provide technical oversight, scientific review of laboratory Post-Accident Toxicological Testing (PATT) procedures, proficiency testing, compliance review services, and expert consultation to support the FRA's mission to reduce drug and alcohol abuse in the railroad industry.

1.2 Scope

The Technical Oversight Contractor shall provide FRA support in all technical and scientific areas which relate to the detection and deterrence of drug and alcohol use in the railroad industry pursuant to Title 49, Code of Federal Regulations, Part 219 (49 CFR Part 219) and 49 CFR Part 40. The effort focuses on ongoing technical evaluation and scientific review of the designated FRA post-accident laboratory, proficiency testing, compliance audit support, and subject matter consultation.

The Quoter must perform the required services, as defined specifically in the SOW, across the following distinct performance task areas:

Task 1: Technical and Scientific Monitoring of Designated FRA Post-Accident Laboratory

• Subtask 1 - Inspection: Conduct tri-annual comprehensive inspections of the designated FRA toxicology laboratory for compliance with FRA regulations, Department of Health and Human Services (HHS) Mandatory Guidelines, and established forensic toxicology standards College of American Pathologists (CAP), the Society of Forensic Toxicologists (SOFT), the American Board of Forensic Toxicology (ABFT), or the American Academy of Forensic Sciences (AAFS).

Evaluate protocols, personnel qualifications, equipment, security, and quality assurance. Provide draft inspection reports within 30 working days and final reports within 10 working days of draft submission. Inspection team members must hold a Fellow of the American Board of Forensic Toxicology (F-ABFT), a Diplomate of the American Board of Forensic Toxicology (D-ABFT- FT, DABFT- FA, or D-ABFT-FD), or another equivalent credential, with demonstrated experience in blood/urine screening/confirmation methodologies and post-mortem toxicology.

• Subtask 2 - FRA Post-Accident Laboratory Proficiency Testing: Design, implement, and operate an open proficiency testing program for the designated FRA post-accident laboratory in collaboration with the FRA SME and COR. Retain 1–2 reference laboratories to analyze blank and spiked human whole blood and urine samples covering the full range of FRA-required analytes and cutoffs. Provide findings reports within 40 working days.

Task 2: Railroad Part 219 Compliance Review Services

• The Quoter shall provide expert advice and/or program support services related to the detection and deterrence of drug and alcohol use in the railroad industry. Provide technical experts to assist FRA in 49 CFR Part 219 and Part 40 compliance audits of rail carriers and service providers at various national locations.

Task 3: Expert Consultation Services

• Provide 7-day-a-week/extended hour telephone access for expert scientific, technical, and policy advice to support the entire Part 219 and Part 40 program . Deliver immediate verbal advice followed by written advice within 24 hours. The Quoter shall be prepared to consult in providing appropriate Part 219 and Part 40 subject matter training to the FRA inspector workforce and the railroad industry (including carrier personnel, rail labor, and program service providers) in areas requiring technical, scientific, and policy expertise including regulatory changes. Assist, as part of a joint FRA and Transport Canada (TC) working group, with joint FRA/Transport Canada working groups on cross-border operations. Support the development of program management tools (Plan-Policy builder, audit reporting tools).

Task 4: Deliverables

• Provide 3 Laboratory Inspection Reports per year (including QC/QA and proficiency testing analysis) and 5 Class 1 Railroad Part 219 Compliance Reviews per year electronically to the FRA SME and COR.

1.3 Period of Performance

The Base Period of Performance shall be one (1) year (12 months) from the effective date of award, with four (4) 12-month option periods. If all options are exercised, the total duration shall not exceed 60 months.

1.4 Specific Requirements

See RFQ 693JJ626Q000027 Attachment 1 – Post-Accident Toxicological Testing (PATT) Oversight Statement of Work.

1.5 Anticipated Contract Type

FRA anticipates awarding a Firm-Fixed-Price (FFP) Purchase Order.

1. Instructions

Responses to this RFQ must be submitted by the date and time listed in Table 1 of this section to the Contracting Officer (CO) by the deadline dates and times. The Contracting Officer shall provide a confirmation email if the Quotation was received.

All correspondence must have RFQ #693JJ626Q000027 included in the subject line.

NOTE: It is the Interested Quoter's responsibility to read the RFQ and all related documents carefully.

Additionally, it is the Quoter’s responsibility to ensure/verify that the Government receives its submission on or before the date/time specified. The Government reserves the right to not accept any late quotes. Please do not wait until the deadline to submit your quotation.

ANTICIPATED RFQ TIMELINE: The following table provides due dates for RFQ events. These dates are subject to change.

Table 1 Events Dates Times

Questions Due from Interested Quoters August 18, 2026 1200 Eastern Time Answers provided to Interested Quoters via RFQ Amendment

August 24, 2026

Quotes Due August 28, 2026 1200 Eastern Time Award Decision September 7, 2026

Late submissions will not be evaluated unless the Contracting Officer determines that it is in the best interest of the Government.

2.1 Questions

If your company has questions regarding this procurement, please submit your inquiries immediately via email, no later than by the date and time listed in Table 1 to the Contracting Officer identified below:

Name: KeriAnne Gallagher Contracting Officer Email: kerianne.gallagher@dot.gov

• Questions submitted by a method other than email will not be accepted or answered.

• Any questions received after the above specified cut-off date and time will not be accepted or answered.

• All email inquiries must have “Questions – RFQ #693JJ626Q000027” included in the subject line.

• A Government’s response shall be executed via an RFQ amendment on/about August 24, 2026.

2.2 Volumes, Page Limitations, Content, & Submission Requirements

All submissions shall be submitted electronically via email on or before the RFQ closing date as stated above. We kindly request a “no quote / no-bid reply” if your company chooses not to respond to this RFQ. A submission of a quotation shall be considered the Quoter’s official quotation.

A. Quotation Content:

Naming Convention

Title

Volume 1 (Cover Letter, Prior Experience Responses – Factor 1)

Volume 2

Volume 3

(Technical & Management Approach - Factor 2) Price – Factor 3

B. Submission Requirements

● The Quoter must have an active registration in the System for Award Management (SAM) at http://www.sam.gov.

● By submitting a quotation, the Quoter agrees to comply with all terms and conditions set forth in this Request for Quotations (RFQ).

● Quoters must email an electronic copy of each Volume to the CO no later than the specified dates and times specified in Table 1.

● DOT-FRA will not provide any technical assistance or reimburse quote submission costs.

● Submission text must use a standard, professional font (Arial or Times New Roman) at a minimum font size of 11-point. Headings may be larger (14-point or 16-point) to establish a clear visual hierarchy.

2.3 Required Components of Each Volume and Section

Volume 1: Cover Letter, Prior Experience Responses – (Factor 1)

2.3.1 Cover Letter

An authorized official who can obligate the Quoter shall sign a Cover Letter submitted on the Quoter's letterhead demonstrating the Quoter's intent to be bound to the purchase order terms and conditions. The cover letter shall include the following information:

1. The RFQ number.

2. UEI number.

3. Taxpayer Identification Number (TIN).

4. GSA Contract Number (if applicable)

5. Socio-Economic Status

6. The name, complete address, telephone number, and email address of the authorized official with the authority to enter into an agreement with the DOT, FRA. Provide the name and contact information for more than one representative in the event of unforeseen events.

7. If applicable, acknowledgement of all RFQ amendments issued by clearly acknowledging each amendment in the cover letter and submitting a fully executed copy of each of the Standard Form (SF) 30 Amendments.

8. The RFQ form (SF 1449, Solicitation/contract/order for commercial products and commercial services) fully executed.

9. Include a statement specifying the extent of agreement with all terms, conditions, and provisions included in the RFQ.

10. Identify any exceptions or deviations to clauses, provisions, attachments, etc. which have been incorporated into this RFQ.

11. Acknowledgement of 1252.209-70 Organizational and Consultant Conflicts of Interest (if applicable)

The cover letter shall contain no pricing information.

2.3.2 Factor 1: Demonstrated Prior Experience

The Quoter shall submit a summary narrative detailing at least three (3) examples of their prior experience performing contracts that demonstrate experience similar in size, scope, and/or complexity to the SOW. Examples must be projects that are ongoing or were completed within the last five (5) calendar years. Examples may include projects performed by the Quoter or the Quoter’s proposed Subcontractors. However, at minimum, at least two of the examples shall be submitted for work performed by the Prime Quoter. The Government highly desires, but does not require, that each example demonstrate support of a Federal agency. Examples citing the Quoter’s experience as a subcontractor may be utilized, so as long as any subcontractor experience referenced is clearly identified. However, the Government desires, but does not require, that at least one example submitted is for efforts that the Quoter performed as a prime contractor. Examples should answer the Prior Experience Questions listed below.

The summary narrative shall provide the following:

A. Customer Federal Agency B. Program Name

C. Contract Number/Purchase order Number D. Contract Type (e.g., FFP, T&M, LH, CR, etc.)

E. Total Contract Cost/Price F. Period of Performance G. Description of work performed H. Valid name, phone number, and email address of CO and Contracting Officer’s

Representative (COR) or Program Manager (PM)

Quoter is advised that the Government may independently obtain and evaluate corporate experience data and/or verify actual accomplishment data. The burden of providing thorough and complete corporate experience information remains with the Quoter.

Quoters are expected to provide experience that is similar in size, scope and complexity to the SOW to be considered relevant under Factor 1.

Prior Experience Questions (Factor 1) (2-pages max)

a) What is your prior experience providing technical oversight, scientific review, and forensic toxicology inspection services for SAMHSA/DHHS or federally regulated post-accident toxicology testing laboratories? What is your experience designing and conducting laboratory and in-revenue field tests on active locomotive engines across varying environmental conditions?

b) What is your experience designing, implementing, and administering open proficiency testing programs involving spiked and blank whole blood and urine samples and managing reference laboratories?

c) What is your experience providing expert audit support, technical assistance, and compliance reviews for rail carriers and service providers under 49 CFR Part 219 and 49 CFR Part 40 regulations?

2.3.3 Volume 2: Factor 2 – Technical & Management Approach (Written Submission)

Written Submission – Technical and Management Approach

The Quoter shall provide their written quote in PDF and shall include the following:

This element shall consist of a narrative of the Quoter’s technical and management approach to successfully accomplish the work required in the SOW. At a minimum, please include the following:

o Communication with internal/external stakeholders o Handling conflicts or misalignments within the team or with clients o Staff Departure Continuity / Backfills

In addition, the Quoter should address the following with their technical approach:

o A Detailed technical methodology for conducting tri-annual laboratory inspections, applying the four-tier rating system (In Compliance, Recommendations Offered, Deficiencies Noted, Discrepancies Identified), and drafting inspection reports within required timelines.

o Approach to designing and operating an open proficiency testing program using reference laboratories across the full range of FRA analytes.

o Strategy for delivering 24/7 extended-hour expert consultation, post-accident analytical result interpretations, and compliance review support.

o Quoters shall also demonstrate their ability to meet all schedule requirements across the Period of Performance.

o Available corporate resources and capabilities to successfully fulfill the requirements and deliverables outlined in the SOW.

o Any information the Quoter wishes to bring to the attention of the Government.

The Quoter shall submit one (1) electronic copy of no more than three (3) pages in a written PDF format.

The Quoter may include a table of contents. The table of contents is not included in the page count.

May include Assumptions – Quoters must indicate, in this section only, if any technical related assumptions have been made, conditions have been stipulated. If technical assumptions are not noted in this Volume and this section of the quote, it will be assumed that the Quoter’s quotation reflects no technical assumptions for award, and the Quoter agrees to comply with all the terms and conditions set forth herein.

It is not the responsibility of the Government to seek out and identify assumptions, conditions or technical exceptions buried within the Quoter’s quote. Accordingly, any technical related assumptions listed in any other volume or section shall be null and void.

Volume 3: Factor 3 – Price Quotation

Volume II shall contain the Quoter’s price quote. The price quotation shall follow the template provided in Attachment 2 - Pricing Worksheet. Quoters are also encouraged to propose discounts and should clearly identify differences between their proposed prices and discounted prices.

Once the government determines the quoter that is the best‐suited (i.e., the apparent successful quoter), the government reserves the right to communicate with only that quoter to address any remaining issues, if necessary, and finalize a purchase order with that quoter. These issues may include technical and price.

If the parties cannot successfully address any remaining issues, as determined pertinent at the sole discretion of the government, the government reserves the right to communicate with the next best‐suited quoter based on the original analysis and address any remaining issues.

Only vendors that have a valid UEI and registered in the System for Awards Management (SAM) shall be eligible to be awarded a contract from the federal government.

Interested Quoters are reminded that award can only be made to a Quoter who is registered in accordance with FAR 52.204-7, Alternate I System for Award Management.

2. Evaluation Criteria

Confidence Ratings evaluation technique will be utilized with the following ratings:

Confidence Ratings

High Confidence

The Government has high confidence that the Quoter understands the requirement, proposes a sound approach, and will be successful in performing the contract.

Confidence Ratings

Some Confidence

The Government has some confidence that the Quoter understands the requirement, proposes an acceptable

Low Confidence

The Government has low confidence that the Quoter understands the requirement, proposes an adequate

Please note, price will not be given a confidence rating.

3.1 Basis for Award

It is the Government’s intent to award a purchase order to the quoter whose quote, in conforming to the RFQ, provides the overall best solution to the Government considering price and non-price factors. Evaluation and award will be conducted using the streamlined commercial procedures of FAR Part 12.

To be considered for award, Quoters must submit a full technical and price quote. The Government will utilize a best-value tradeoff process among the non-price and price factors to determine the optimal solution. Non-price factors (Factor 1 and 2), when combined, are significantly more important than price (Factor 3). However, price will become a more determining factor in the tradeoff analysis as technical ratings become closer.

The Government may reject any quote that is evaluated to be non-compliant with the RFQ requirements or reflects a failure to comprehend the complexity and risks of the work to be performed.

Should initial quotes not provide the Government with a satisfactory total solution, the Government reserves the right to engage with Quoters to obtain a better understanding and to reach a determination. The Government reserves the right to engage all, some, or none of the Quoters submitting quotations in response to this RFQ. Evaluations will be based solely on the information included in the quote. After receipt of quotations, the Government will conduct an evaluation. At any time prior to selection, including upon receipt of quotes, the Government may exclude a quote from further consideration for any material failure to follow instructions, including the omission of required information.

The government reserves the right to engage with only the apparent awardee to address any remaining issues, if necessary, and finalize a purchase order to that Quoter. If the parties cannot successfully address any remaining issues, as determined pertinent at the sole discretion of the government, the government reserves the right to engage other quoters based on the original analysis and address any remaining issues. This process will continue until an agreement is successfully reached and the resulting purchase order is awarded.

A. Non- Price Factors

• Factor 1 : Prior Experience

The Government will evaluate the depth, breadth, and relevance of the Quoter’s prior experience within the past five (5) years to assess the likelihood of successful performance under the SOW.

• Factor 2: Technical and Management Approach

The Government will evaluate the Quoter’s technical volume to assess the technical soundness, feasibility, and efficiency of the proposed technical and management approach in fulfilling the requirements of the SOW.

B. Price

• Factor 3: Price Quote (Firm Fixed Price)

The Government will evaluate the Quoter’s Price Quote to ensure completeness, accuracy, and overall price reasonableness. Price will not receive a qualitative technical rating.

3. Contract Clauses and Provisions

Provisions

52.212-1 Instructions to Offerors—Commercial Products and Commercial Services. (SEP 2023)

52.204-7 System for Award Management. (NOV 2024)

52.207-6 Solicitation of Offers from Small Business Concerns and Small Business Teaming Arrangements or Joint Ventures (Multiple-Award Contracts). (AUG 2024)

52.209-5 Certification Regarding Responsibility Matters. (AUG 2020)

52.209-7 Information Regarding Responsibility Matters. (OCT 2018)

52.209-11 Representation by Corporations Regarding Delinquent Tax Liability or a Felony Conviction under any Federal Law. (FEB 2016)

52.222-50 Combating Trafficking in Persons. (OCT 2025)

Clauses

FEDERAL ACQUISITION REGULATIONS

52.203-5 Covenant Against Contingent Fees. (MAY 2014)

52.203-7 Anti-Kickback Procedures. (JUN 2020)

52.203-16 Preventing Personal Conflicts of Interest (JUN 2020)

52.203-19 Prohibition on Requiring Certain Internal Confidentiality Agreements or Statements.

(JAN 2017)

(a) Definitions. As used in this clause-

Internal confidentiality agreement or statement means a confidentiality agreement or any other written statement that the quoter requires any of its employees or subcontractors to sign regarding nondisclosure of quoter information, except that it does not include confidentiality agreements arising out of civil litigation or confidentiality agreements that contractor employees or subcontractors sign at the behest of a Federal agency.

Subcontract means any contract as defined in subpart 2.1 entered into by a subcontractor to furnish supplies or services for performance of a prime contract or a subcontract. It includes but is not limited to purchase orders, and changes and modifications to purchase orders.

Subcontractor means any supplier, distributor, vendor, or Schedule Holder (including a consultant) that furnishes supplies or services to or for a prime contractor or another subcontractor.

(b) The Contractor shall not require its employees or subcontractors to sign or comply with internal confidentiality agreements or statements prohibiting or otherwise restricting such employees or subcontractors from lawfully reporting waste, fraud, or abuse related to the performance of a Government contract to a designated investigative or law enforcement representative of a Federal department or agency authorized to receive such information (e.g., agency Office of the Inspector General).

(c) The Contractor shall notify current employees and subcontractors that prohibitions and restrictions of any preexisting internal confidentiality agreements or statements covered by this clause, to the extent that such prohibitions and restrictions are inconsistent with the prohibitions of this clause, are no longer in effect.

(d) The prohibition in paragraph (b) of this clause does not contravene requirements applicable to Standard Form 312 (Classified Information Nondisclosure Agreement), Form 4414 (Sensitive Compartmented Information Nondisclosure Agreement), or any other form issued by a Federal department or agency governing the nondisclosure of classified information.

(e) In accordance with section 743 of Division E, Title VII, of the Consolidated and Further Continuing Appropriations Act, 2015, (Pub. L. 113-235), and its successor provisions in subsequent appropriations acts (and as extended in continuing resolutions) use of funds appropriated (or otherwise made available) is prohibited, if the Government determines that the Contractor is not in compliance with the provisions of this clause.

(f) The Contractor shall include the substance of this clause, including this paragraph (f), in subcontracts under such contracts.

(End of clause)

52.204-26 Covered Telecommunications Equipment or Services-Representation. (OCT 2020)

52.212-4 Contract Terms and Conditions - Commercial Products and Commercial Services, Alternate I. (NOV 2021)

52.217-8 Option to Extend Services (Nov 1999)

The Government may require continued performance of any services within the limits and at the rates specified in the contract. These rates may be adjusted only as a result of revisions to prevailing labor rates provided by the Secretary of Labor. The option provision may be exercised more than once, but the total extension of performance hereunder shall not exceed 6 months. The Contracting Officer may exercise the option by written notice to the Contractor at any time prior to contract expiration.

(End of clause)

52.217-9 Option to Extend the Term of the Contract (Mar 2000)

(a) The Government may extend the term of this contract by written notice to the Contractor at any time prior to contract expiration; provided that the Government gives the Contractor a preliminary written notice of its intent to extend at least 1 day before the contract expires. The preliminary notice does not commit the Government to an extension.

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

(c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed 66 months.

(End of clause)

52.222-43 Fair Labor Standards Act and Service Contract Labor Standards-Price Adjustment (Multiple Year and Option Contracts). (AUG 2018)

52.222-44 Fair Labor Standards Act and Service Contract Labor Standards-Price Adjustment.

(MAY 2014)

52.222-90 Addressing DEI Discrimination by Federal Contractors.

FAR Class Deviation (CD) 2026-24

Addressing DEI Discrimination by Federal Contractors (APRIL 2026)

(a) Definitions. As used in this clause—

Program participation means membership or participation in, or access or admission to: training, mentoring, or leadership development programs; educational opportunities; clubs; associations; or similar opportunities that are sponsored or established by the contractor or subcontractor.

Racially discriminatory diversity, equity, and inclusion (DEI) activities means disparate treatment based on race or ethnicity in the recruitment, employment (e.g., hiring, promotions), contracting (e.g., vendor agreements), program participation, or allocation or deployment of an entity's resources.

(b) In connection with the performance of work under this contract, the Contractor agrees as follows:

(1) The Contractor will not engage in any racially discriminatory DEI activities;

(2) The Contractor will furnish all information and reports, including providing access to books, records, and accounts, as required by the Contracting Officer, for purposes of ascertaining compliance with this clause;

(3) In the event of the Contractor's or a subcontractor's noncompliance with this clause, this contract may be canceled, terminated, or suspended in whole or in part, and the Contractor or subcontractor may be declared ineligible for further Government contracts;

(4) The Contractor will report any subcontractor's known or reasonably knowable conduct that may violate this clause to the Contracting Officer and take any appropriate remedial actions directed by the Contracting Officer; and

(5) The Contractor will inform the Contracting Officer if a subcontractor sues the Contractor and the suit puts at issue, in any way, the validity of this clause.

(6) The Contractor recognizes that compliance with the requirements of this clause are material to the Government's payment decisions for purposes of 31 U.S.C. 3729(b)(4).

(c) The Contractor must include the substance of this clause, including this paragraph (c), in subcontracts at any tier, including those for commercial products and commercial services, except those where the place of delivery or performance is outside the United States.

(End of clause)

52.227-14 Rights in Data-General (MAY 2014)

52.232-1 Payment (APR 1984)

52.232-7 Payments under Time-and-Material and Labor-Hour Contract (NOV 2021)

52.232-8 Discounts for Prompt Payment (FEB 2002)

52.232-18 Availability of Funds (APR 1984)

52.232-22 Limitation of Funds (APR 1984)

52.242-15 Stop-Work Order (AUG 1989)

52.246-4 Inspection of Services - Fixed-Price. (AUG 1996)

52.246-6 Inspection - Time-and-Material and Labor-Hour. (MAY 2001)

52.249-14 Excusable Delays (APR 1984)

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 this/these address(es): www.acquisition.gov

TRANSPORTATION ACQUISITION REGULATIONS

1252.201-70 Contracting Officer’s Representative (NOV 2022)

(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.

http://www.acquisition.gov/

(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.

(End of clause)

1252.204-70 Contractor Personnel Security and Agency Access (NOV 2022)

(a) Definitions. As used in this clause -

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

Applicant means a contractor employee for whom the Contractor applies for a DOT identification card.

Contractor employee means a prime contractor and subcontractor employee who requires agency access to perform work under a DOT contract.

Identification card (or “ID card”) means a government issued or accepted identification card such as a Personal Identity Verification (PIV) card, a PIV-Interoperable (PIV-I) card from an authorized PIV- 1 issuer, or a non-PIV card issued by DOT, or a nonPIV card issued by another Federal agency and approved by DOT. PIV and PIV-1 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.

(b) Risk and sensitivity level designations. For contracts requiring access to DOT facilities, sensitive information, information systems or other DOT resources, 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. The following risk and sensitivity level designations and associated level of processing are required, and each level includes the prior levels -

(1) Low risk level: National Agency Check with Written Inquiries (NACI);

(2) Moderate risk level: Minimum Background Investigation (MBI); and

(3) High risk level: Background Investigation.

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

(d) Pre-screening of contractor employees. The Contractor must pre-screen individuals designated for employment under any DOT contract by verifying minimal suitability requirements to ensure that only candidates that appear to meet such requirements 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 -

(1) Conviction of a felony, a crime of violence, or a misdemeanor involving moral turpitude;

(2) Falsification of information entered on forms or of other documents submitted;

(3) 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; and

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

(e) Citizenship status. The Contractor must monitor a non-citizen's continued authorization for employment in the United States. The Contractor must provide documentation to the Contracting Officer or the Contracting Officer's Representative (COR) during the background investigation process that validates that the E-Verify requirement has been met for each contractor employee.

(f) Background investigation and adjudication. A 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-1 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 Contracting Officer.

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.

(g) 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 Contracting Officer provides notice of approval, which is authorized only by the DOT Office of Security (M-40), or a DOT organization delegated authority by M-40. Where a proposed contractor employee is denied agency access by the Government or, if for any reason a proposed application is withdrawn by the

Contractor during the agency access process, the additional costs and administrative burden for conducting additional background investigations caused by a lack of effective prescreening or planning on the part of the Contractor may be considered as part of the Contractor's overall performance evaluation.

(h) 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. 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 following applies -

(1) PIV card. The applicant must complete a DOT on-line application for a PIV card;

(2) Non-PIV card. The applicant must complete and submit a hard copy of Form 1681 to the COR/Sponsor; and

(3) 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 F-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.

(i) 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 shall:

(1) Provide a listing of personnel for whom an identification (ID) card is requested to the COR or PM who will provide a copy of the listing to the card issuing office. This may include Contractor and subcontractor personnel. Follow issuing office directions for submittal of an application package(s).

(2) While visiting or performing work on a DOT facility, as specified by the issuing office, PM or COR, ensure that contractor employees prominently display their ID card.

(3) Immediately notify the COR or, if the COR is unavailable, the Contracting Officer when a contractor employee's status changes and no longer requires agency access (e.g., employee's transfer, completion of a project, retirement, removal from work on the contract, or termination of employment) that may affect the employee's eligibility for access to the facility, sensitive information, or resources.

(4) Promptly deliver to the issuing office: (a) all ID cards assigned to an employee who no longer requires access to the facility; and (b) all expired ID cards within five (5) days of their expiration or all cards at time of contract termination, whichever occurs first.

(5) Immediately report any lost or stolen ID cards to the issuing office and follow its instructions.

(i) 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 Contracting Officer when an ID card is lost, stolen or damaged.

(ii) 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.

(iii) Specific actions and activities are required in certain events -

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

(B) Lost/stolen. Immediately upon detection, the Contractor or contractor employee must report a lost or stolen DOT ID card to the COR, or if the COR is unavailable, the Contracting Officer, 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 Contracting Officer, 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 Contracting Officer. 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.

(D) 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 Contracting Officer, the issuing office, or the local security servicing organization in accordance with agency procedures.

(j) Flow down of clause. The Contractor is required to include this clause in any subcontracts at any tier that require the subcontractor or subcontractor's employees to have access to DOT facilities, sensitive information, information systems or other resources.

(End of clause)

1252.209-70 Organizational and Consultant Conflicts of Interest (NOV 2022)

(a) An Quoter shall identify in its proposal, quote, bid or any resulting contract, any potential or actual Organizational and Consultant Conflicts of Interest (OCCI) as described in FAR subpart 9.5.

This includes actual or potential conflicts of interests of proposed subcontractors. If a Quoter identifies in its proposal, quote, bid or any resulting contract, a potential or actual conflict of interests the Quoter shall submit an Organizational and Consultant Conflicts of Interest Plan (OCCIP) to the contracting officer. The OCCIP shall describe how the Quoter addresses potential or actual conflicts of interest and identify how they will avoid, neutralize, or mitigate present or future conflicts of interest.

(b) Quoters must consider whether their involvement and participation raises any OCCI issues, especially in the following areas when:

(1) Providing systems engineering and technical direction.

(2) Preparing specifications or work statements and/or objectives.

(3) Providing evaluation services.

(4) Obtaining access to proprietary information.

(c) If a prime contractor or subcontractor breaches any of the OCCI restrictions or does not disclose or misrepresents any relevant facts concerning its conflict of interest, the government may take appropriate action, including terminating the contract, in addition to any remedies that may be otherwise permitted by the contract or operation of law.

(End of clause)

1252.217-74 Subcontracts (NOV 2022)

1252.222-70 Strikes or Picketing Affecting Timely Completion of the Contract Work (NOV 2022)

1252.223-73 Seat Belt Use Policies and Programs (NOV 2022)

In accordance with Executive Order 13043, Increasing Seat Belt Use in the United States, dated April 16, 1997, the Contractor is encouraged to adopt and enforce on-the-job seat belt use policies and programs for its employees when operating company-owned, rented, or personally-owned vehicles.

The National Highway Traffic Safety Administration (NHTSA) is responsible for providing leadership and guidance in support of this Presidential initiative. For information on how to implement such a program or for statistics on the potential benefits and cost-savings to your company or organization, please visit the Click it or Ticket seat belt safety section of NHTSA's website at https://www.nhtsa.gov/campaign/click-it-or-ticket and https://www.nhtsa.gov/risky-driving/seat-belts.

(End of clause)

1252.232-70 Electronic Submission of Payment Requests (NOV 2022)

(a) Definitions. As used in this clause -

(1) Contract financing payment has the meaning given in FAR 32.001.

(2) Payment request means a bill, voucher, invoice, or request for contract financing payment or invoice payment with associated supporting documentation. The payment request must comply with the requirements identified in FAR 32.905(b), “Content of Invoices,” this clause, and the applicable Payment clause included in this contract.

(3) Electronic form means an automated system transmitting information electronically according to the accepted electronic data transmission methods and formats identified in paragraph (c) of this clause. Facsimile, email, and scanned documents are not acceptable electronic forms for submission of payment requests.

(4) Invoice payment has the meaning given in FAR 32.001.

(b) Electronic payment requests. Except as provided in paragraph (e) of this clause, the contractor shall submit payment requests in electronic form. Purchases paid with a Governmentwide commercial purchase card are considered to be an electronic transaction for purposes of this rule, and therefore no additional electronic invoice submission is required.

(c) Processing system. The Department of Transportation utilizes the DELPHI system for processing invoices. The DELPHI module for submitting invoices is called iSupplier. Access to DELPHI is granted with electronic authentication of credentials (name & valid email address) utilizing the GSA credentialing platform login.gov. Vendors submitting invoices are required to submit invoices via iSupplier (DELPHI) and authenticated via www.login.gov.

(d) Invoice requirements. To receive payment and in accordance with the Prompt Payment Act, all invoices submitted as attachments in iSupplier (DELPHI) shall contain the following:

(1) Invoice number and invoice date.

(2) Period of performance covered by invoice.

(3) Contract number and title.

(4) Task/Delivery Order number and title (if applicable).

(5) Amount billed (by CLIN), current and cumulative.

(6) Total ($) of billing.

(7) Cumulative total billed for all contract work to date.

(8) Name, title, phone number, and mailing address of person to be contacted in the event of a defective invoice.

(9) Travel. If the contract includes allowances for travel, all invoices which include charges pertaining to travel expenses will catalog a breakdown of reimbursable expenses with the appropriate receipts to substantiate the travel expenses.

(TAR Class Deviation 2025-02_A1)

(10) The Contractor certifies that, by submitting this invoice to the Government, the supplies and/or services billed have been shipped, rendered, or delivered in accordance with instructions issued by the ordering officer; that they are reflected in the quantities and/or period of performance stated on the invoice; and that such supplies and/or services conform to the quantity and quality requirements specified in the applicable contract, order, or blanket purchase agreement.

Furthermore, pursuant to Executive Order 14173, Ending Illegal Discrimination And Restoring Merit-Based Opportunity, the Contractor certifies that it is in compliance with the Equal Protection principles of the Constitution and all applicable Federal anti-discrimination laws, and acknowledges that such compliance is material to the Government’s payment decision under the False Claims Act (31 U.S.C. § 3729(b)(4)). The Contractor also affirms that it does not operate any diversity, equity, and inclusion (DEI) initiatives that are inconsistent with the Equal Protection principles of the Constitution and the non-discrimination requirements of Federal law, as interpreted by the Supreme Court in Students for Fair Admissions v. Harvard, 600 U.S.