Revision of Department of Transportation Acquisition Regulations

Federal RegisterFeb 1, 1994

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DEPARTMENT OF TRANSPORTATION

48 CFR Chapter 12

[Docket 49356; Notice 94-1]

RIN 2105-AB75

Revision of Department of Transportation Acquisition Regulations

AGENCY: Transportation.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: The Department is proposing to revise the Transportation

Acquisition Regulation (TAR). The TAR has been rewritten in its

entirety to eliminate coverage that is unnecessary (e.g., duplicates

the Federal Acquisition Regulation (FAR) or other directives; adds no

value), to present clear coverage that is written in plain English, and

to retain only that coverage considered suitable for a regulation.

These efforts would create a 1994 edition of the TAR that is in line

with the Reinventing Government initiatives by creating a simpler, more

comprehensible, and less burdensome regulation. The 1994 edition of the

TAR would replace the 1988 edition.

DATES: Comments on the proposal must be received on or before April 4,

1994.

ADDRESSES: Interested parties should submit written comments,

preferably in triplicate, to Docket Clerk, Docket No. 49356, Department

of Transportation, 400 7th Street, SW., Room 4107, Washington, DC,

20590. Please cite TAR rewrite in all correspondence concerning this

proposal.

FOR FURTHER INFORMATION CONTACT: Elaine Wheeler, Office of Acquisition

and Grant Management, M-61, 400 Seventh Street SW., Washington, DC

20590: (202) 366-4272.

SUPPLEMENTARY INFORMATION:

A. Background

The Department of Transportation (DOT) conducted a comprehensive

review of the September 1988 version of the Transportation Acquisition

Regulation (TAR) with the goal of streamlining processes, removing

guidance applicable to DOT internal operating procedures, and

eliminating unnecessary burdens. As a result, the Transportation

Acquisition Regulatory Council System, under the direction of the

Senior Procurement Executive, has undertaken the complete rewrite of

the TAR.

The rewrite project was conducted in consonance with the National

Performance Review (NPR) initiatives. Under the Transportation

Acquisition Regulatory Council System, all elements of the DOT had an

opportunity to participate in the development of the new TAR, and to

devise processes that were the most efficient and least burdensome on

its users. The same holds true for the delegations of authority and

responsibility for internal acquisition functions. Authority and

responsibility have been delegated as low as is reasonable or permitted

by higher level regulation or statute. These changes empower employees

in accordance with the NPR initiatives.

The project examined all DOT acquisition issuances including

internal directives, orders, and notices to ensure the information is

necessary, accurate and current, and located in the appropriate

document. When rewriting the TAR, care was taken to eliminate

unnecessary coverage including clauses and forms, and to remove

coverage pertaining to internal DOT operations (including delegations

of authority) and to place any needed coverage into internal guidance.

The goal of the rewriting effort was to ensure that the TAR would

contain only that coverage appropriate for an acquisition regulation

and enable continual improvement of the regulation through new,

innovative processes and streamlining initiatives.

The rewritten TAR is being published for public comment. Comments

on this proposal are requested within 30 days of this publication in

order to implement the NPR initiatives as expeditiously as possible.

All public comments received in response to this notice will be

considered in developing the final version of the TAR. Parties

responding to this notice are requested to separate their comments by

TAR part and address the specific cite (e.g., 1201.104-1).

The rewritten TAR would be rearranged and, in some instances, moved

to other parts, to more closely align the TAR text with the FAR text it

implements or supplements. The rewritten TAR includes changes which are

identified in the following discussion of revisions by part.

Those parts which contain no coverage, but have been reserved, are

Parts 1211, 1218, 1220, 1221, 1225, 1226, 1229, 1230, 1238 through

1241, 1243, 1244, and 1248 through 1251.

Part 1201, Federal Acquisition Regulations System. Section 1201.104

would be changed to clarify the TAR numbering system. Coverage

specifying the Office of Acquisition and Grant Management as having

responsibility for the review and coordination of cases submitted by

DOT to the Civilian Agency Acquisition Council would be reflected in

Section 1201.201. Section 1201.301 would clarify that the Senior

Procurement Executive would be delegated the authority to issue agency

acquisition regulations and procedures under FAR 1.301 and would

describe the TAR Council System, how changes will be made to the TAR,

and when those changes would be effective. The TAR Council System

provides a structure and a control and compliance mechanism within

which changes to the TAR will be made. This is discussed in Section

1201.304. The authority for granting individual deviations to the FAR

and TAR would be delegated down to the Head of the Contracting

Activity, as reflected in Section 1201.403. Section 1201.602 would be

changed to clearly state that procurements are to be made by authorized

personnel and provides the action which may occur against individuals

causing an unauthorized commitment.

Part 1202, Definitions of Words and Terms. A definition for

``Agency,'' ``Federal agency,'' or ``Executive agency'' would be added.

The definitions for the ``Head of the agency'' and ``Head of the

Contracting Activity'' would be changed. The definition for the

``Department of Transportation'' would be updated. The terms

``Operating administration,'' ``Head of the operating administration,''

``Chief of the Contracting Office,'' ``Contracting activity,'' and

``contracting officer,'' would be defined.

Part 1203, Improper Business Practices and Personal Conflicts of

Interest. Subpart 1203.1 would be revised to provide the statutory

reference for standards of ethical conduct for Executive Branch

employees, and to provide procedures for processing violations or

possible violations. Subparts 1203.5, 1203.6, 1203.70 and 1203.71 would

be removed and new Subparts 1203.1, 1203.2, 1203.3, 1204.4, 1203.5 and

1203.8 would be included to provide procedures for reporting/processing

suspected improper business practices.

Part 1204, Administrative Matters. Would remove DOT internal

contract distribution and acquisition funding requirements; would

increase the quick closeout threshold from $1 to 3 million or less to

reduce the backlog of contracts pending closeout; would relocate from

part 1253, DOT Forms F 4220.4, F 4220.45 (formerly F 4220.5) and F

4220.46 (formerly F 4220.6) and DOD Form 882 which apply to contract

closeouts.

Part 1205, Publicizing Contract Actions. Would include a

recommendation for meeting the FAR requirement for public examination

of solicitations. Would include information concerning the availability

of the DOT annual procurement forecast. Would revise the policy for

furnishing contract award information and include a reference to the

DOT Freedom of Information Act (FOIA) rules and regulations to cover

requests for specific contract award information. Would remove internal

DOT administrative guidance.

Part 1206, Competition Requirements. Subparts 1206.1, and 1206.3

would be removed because they provide internal administrative guidance.

Subpart 1206.5 would be replaced with new coverage on Competition

Advocate requirements.

Part 1207, Acquisition Planning. This part would reflect the

deletion of TAR clauses 1252.207-70, Implementation of Right of First

Refusal of Employment, and 1252.207-71, Financial and Technical

Ability, as unnecessary. TAR 1207.370 would be deleted since FAR

provides sufficient guidance and Section 1207.401 would be removed

because it provides internal guidance.

Part 1208, Required Sources of Supplies and Services. This part

would be deleted since it duplicated coverage in the FAR.

Part 1209, Contractor Qualifications. This part would be modified

to remove internal administrative coverage at (TAR) 48 CFR 1209.104

Standards and 1209.3 First Article Testing and Approval. Subpart (TAR)

48 CFR 1209.4 Debarment, Suspension and Ineligibility would be revised

to include debarment and suspension procedures.

Part 1210, Specifications, Standards, and Other Purchase

Descriptions. The coverage at (TAR) 48 CFR 1210.004-70 and (TAR) 48 CFR

1210.004-71 would be deleted as unnecessary since it is covered in FAR.

The clause (TAR) 48 CFR 1252.217-70 (renumbered 1252.210-71), Index for

Specifications, would be transferred from part 1217 and placed in the

more appropriate part 1210. The provision at (TAR) 48 CFR 1252.210-70,

Brand Name or Equal, would be modified to permit its use in all

solicitations when appropriate. Guidance for the U.S. Coast Guard

(USCG) would be added which incorporates the USCG clause at 1252.210-

90, Bar Coding Requirement, when the bar coding of supplies is

necessary.

Part 1212, Contract Delivery or Performance. Would delete clause

(TAR) 48 CFR 1252.212-71, Notice of Delay, because it duplicated

coverage in the FAR. Would add (TAR) 48 CFR 1212.302 coverage on

Priorities and Allocations, to advise that the Coast Guard is the only

DOT operating administration given authority by the Department of

Commerce to issue rated orders and contracts.

Part 1213, Small Purchase and Other Simplified Purchase Procedures.

Would remove internal administrative guidance concerning small

purchases, basic purchasing agreements, and imprest funds. Would

include in the USCG guidance to part 1252, the USCG clause (TAR) 48 CFR

1252.213-90, Evaluation Factor for Coast Guard Performance of Bar

Coding Requirement.

Part 1214, Sealed Bidding. Subsection (TAR) 48 CFR 1214.205-1 would

provide agency procedures for notifying prospective bidders that they

have been added to solicitation mailing lists, and guidance for

obtaining supplemental information to the Standard Form 129. Section

(TAR) 48 CFR 1214.303 would provide guidelines for receiving a

withdrawal of a bid in person. Other coverage would be deleted as

unnecessary.

Part 1215, Contracting by Negotiation. Coverage pertaining to

precontract costs would be covered under a more appropriate part 1231.

The provision at (TAR) 48 CFR 1252.209-71, Disclosure of Conflicts of

Interest, would be transferred to a more appropriate part 1209. The

clause at (TAR) 48 CFR 1252.215-71, Key personnel and facilities, would

be edited and renumbered as 1252.215-70. For ease of completion, the

clause at (TAR) 48 CFR 1252.215-72, Cost Proposal Instructions, would

be edited and reformatted into TAR form DOT F 4220.44, Contract Pricing

Summary (see (TAR) 48 CFR 1215.804-6). Coverage would be added to (TAR)

48 CFR section 1215.413 to explain under what conditions proposals may

be released outside the Government. (TAR) 48 CFR 1215.612 would be

revised to identify location of procedures for formal source selection.

(TAR) 48 CFR 1215.804 would be modified to remind contracting officers

when partial/limited cost or pricing data may be required and the

circumstances when certified cost or pricing data may be required.

(TAR) 48 CFR 1215.970 pertaining to profit for letter contracts (i.e.,

an undefinitized action) would be transferred from (TAR) 48 CFR

1216.603 and expanded to include all undefinitized actions. Other

coverage would be deleted because it was unnecessary or redundant with

the FAR.

Part 1216, Types of Contracts. The clause at (TAR) 48 CFR 1252.216-

71, Evaluation of Proposals Subject to Economic Price Adjustment, would

be modified to streamline the coverage. The clauses at (TAR) 48 CFR

1252.216-72 and 1252.216-73 would be deleted as superfluous and a

clause at (TAR) 48 CFR 1252.216-74, Settlement of Letter Contract,

would be added to specify that the definitized contract results in the

settlement of the letter contract. The remainder of the coverage would

be removed because it provides internal administrative guidance or

would be deleted as unnecessary.

Part 1217, Special Contracting Methods. Subparts 1217.1 and 1217.4

would be removed because they contained internal administrative

guidance. Subpart 1217.1 would be replaced with new coverage on multi-

year procurement. The clauses prescribed in Subpart 1217.7000 would be

revised to reflect simpler language. Subpart 1217.71 would be updated

to reflect terminology changes.

Part 1219, Small Business and Small Disadvantaged Business

Concerns. This part would be modified to remove internal administrative

guidance and to cancel the class set-aside for construction contracts

since construction contracts are now covered by the Small Business

Competitiveness Demonstration Program. A clause at (TAR) 48 CFR

1252.219-70 would be added to provide the address for submission of the

SF-295, Summary Subcontract Report. The coverage would include DOT's 10

Targeted Industry Categories previously published for public comment in

54 FR 24069, as amended by 58 FR 27613, and the increase to the

Emerging Small Business Reserve Amount published in 56 FR 46656.

Part 1220, Labor Surplus Area Concerns. This part would be modified

to add coverage required by Pub. L. 101-225, Coast Guard Authorization

Act of 1989, Section 206. A USCG clause at (TAR) 48 CFR 1252.220-90,

Local Hire Provisions, would be added for use in all contracts.

Part 1222, Application of Labor Laws to Government Acquisitions.

Would revise the prescription for clause 1252.222-72 to permit all DOT

operating administrations to use it when warranted. Would delete

clauses 1252.222-75, 1252.222-77, and 1252.222-79 which are superseded

by FAR clauses. Would remove DOT internal administrative guidance and

make editorial changes to clarify coverage on admittance of union

representatives to DOT installations. Would add the assignment of a DOT

labor coordinator. Would add 1222.406-9 to prescribe form DOT 4220.7

which is now illustrated under 1253.

Part 1223, Environment, Conservation, Occupational Safety, and

Drug-Free Workplace. Would remove internal administrative guidance

dealing with the submission of notifications delaying contract awards.

Would include clause 1252.223-70, Removal or Disposal of Hazardous

Substances-Applicable Licenses and Permits, in solicitations and

contracts involving the removal or disposal of hazardous waste

material.

Part 1224, Protection of Privacy and Freedom of Information. Would

revise numbering to correspond to FAR coverage. Would reword coverage

to more clearly define the applicability of the Privacy Act of 1974 and

include guidance for requesting contract information under FOIA.

Part 1225, Foreign Acquisition. Internal administrative

requirements would be removed. A supplement would be added which

contains Buy American Act requirements for steel and manufactured

products pertaining only to the Federal Aviation Administration.

Part 1227, Patents, Data and Copyrights. This part would be

modified to remove coverage at (TAR) 48 CFR 1227.201-1, 1227.302, and

1227.409 since the coverage was already in the FAR.

Part 1228, Bonds and Insurance. Would include a requirement for

providing coverage for taxes imposed by the U.S. in performance bonds.

Would substitute a recommendation to seek the advice of legal counsel

concerning legal remedies which may be available under the Miller Act

in lieu of specifying legal rights. Would revise the payment method for

records obtained under FOIA by referencing the DOT FOIA regulation.

Would remove the coverage at (TAR) 48 CFR 1228.106-7 concerning

withholding contract payments and the right of subrogation to contract

funds by a surety because it was confusing and unnecessary. Would

renumber clauses 1252.228-70, Accident and Fire Reporting, 1252.223-71,

Protection of Human Subjects, and 1252.228-72, Loss of or Damage to

Leased Aircraft to remove a previously ``reserved'' TAR clause number.

Would include in the USCG guidance to part 1252, USCG clause 1252.228-

90, Notification of Miller Act Payment Bond Protection.

Part 1231, Contract Cost Principles and Procedures. Precontract

cost coverage would be transferred from part 1215. In addition, to

assist contracting officers and provide ready identification by

contractors for the allowance of precontract costs, the clause at (TAR)

48 CFR 1252.231-70, Date of Incurrence of Costs, would be added.

Part 1232, Contract Financing. Would remove DOT internal

administrative guidance. Would remove paragraphs which paraphrase

sections of FAR part 32. Would add Appendix A which is instructions for

completing SF 1034s and SF 1035s submitted for payment under other than

fixed price contracts.

Part 1233, Protests, Disputes, and Appeals. Would remove internal

administrative guidance concerning protests. Would include coverage

concerning DOT Alternative Dispute Resolution (ADR) procedures, and

location of DOT ADR resolution specialist and preferred neutral to

perform the functions set forth in the Administrative Disputes

Resolution Act.

Part 1234, Major System Acquisition. The coverage would identify

where DOT's internal operating procedures are located for the

implementation of the Office of Management and Budget Circular A-109.

Part 1235, Research and Development Contracting. Subpart 1235.003

would be removed and replaced with new coverage designated as 1235.003

which covers cost sharing. Internal administrative guidance on

scientific and technical reports at Subpart 1235.010 would be removed.

The coverage at (TAR) 48 CFR 1235.070 and the clause at (TAR) 48 CFR

1252.235-70 on recoupment of development costs would be deleted.

Part 1236, Construction and Architect-Engineer Contracts. Would

remove internal administrative guidance regarding government estimates

of construction costs, liquidated damages provisions, award of

construction contracts to architect-engineer firms, agenda for pre-

construction conferences, conduct of architect-engineer evaluation

boards, and negotiation of architect-engineer contracts. Would revise

and reword criteria for selection of firms for architect-engineer

contracts to eliminate duplication of FAR criteria and to more closely

align with FAR coverage.

Part 1237, Service Contracting. Would delete erroneous information

on personal services contracts. Would remove unnecessary coverage on

consulting and stenographic reporting services. The previous 1237.70,

mortuary services, would be redesignated as guidance applicable to only

the USCG since USCG is the only DOT operating administration which

contracts for these services. The TAR coverage would remove unnecessary

DOT internal administrative guidance and delete DOD clause 22.237-7111.

The other DOD clauses would be given DOT numbers.

Part 1242, Contract Administration. Would remove internal DOT

administrative guidance and quick-closeout procedures and reinstate

them under 1204. Would delete 1242.12 on novation and change of name

agreements which is superseded by the FAR and would add clause (TAR) 48

CFR 1252.242-73, Contracting Officer's Technical Representative, to

provide a standard DOT clause. Would add coverage on the affect of

payment of invoices when contract administration is assigned to another

office/agency.

Part 1243, Contract Modifications. Would delete unnecessary

coverage.

Part 1244, Subcontracting Policies and Procedures. Would delete

unnecessary coverage.

Part 1245, Government Property. Would revise the entire coverage

and remove DOT internal administrative guidance and would delete

unnecessary requirements or requirements superseded by the FAR. Would

revise (TAR) 48 CFR 1245.505-14 to delete unnecessary reporting

requirements and convert remaining information collection requirements

to a standard format (Form DOT F 4220.43).

Part 1246, Quality Assurance. This part would be modified to remove

internal administrative guidance at (TAR) 48 CFR 1246.702, and to move

1246.770 to USCG guidance at 1246.7.

Part 1247, Transportation. Provisions and clauses would be added to

implement the requirements of FAR part 47 with the goal of streamlining

the process and eliminating the need for each contracting officer to

develop their own language to meet these requirements.

Part 1250, Extraordinary Contractual Actions. Would remove internal

administrative guidance regarding contract adjustment boards, and the

residual powers authority under Pub. L. 85-804.

Part 1252, Solicitation Provisions and Contract Clauses. Revisions

in provisions and clauses are identified in the discussion of the part

which prescribes use of the provision or clause.

Part 1253, Forms. Would delete DOD Forms DD 375, 1567, and 1568;

DOT Forms F 4220.8 and F 4220.10; and FHWA Form 1140 which would be

superseded by FAR forms. Would delete FAA Form 4450-2 as unnecessary.

Would correct internal administrative errors on Form DOT F 4220.45

(erroneously numbered F 4220.5), Contractor's Assignment of Refunds,

Rebates, Credits, and Other Amounts, and Form DOT F 4220.46

(erroneously numbered F 4220.6), Cumulative Claim and Reconciliation

Statement. Would illustrate Form DOT F 4220.7, Employee Claim for Wage

Restitution, which was previously referenced but not illustrated. Other

revisions in forms are identified in the discussion of the part which

prescribes use of the form.

B. Regulatory Flexibility Act

This proposal is not expected to have a significant economic impact

on a substantial number of small entities because the basic policies

remain unchanged. An Initial Regulatory Flexibility Analysis has not

been performed. Comments are solicited from small businesses and other

interested parties and will be considered in the development of the

final rule.

C. Paperwork Reduction Act

The information collection requirements associated with this rule

are being submitted to the Office of Management and Budget (OMB) for

approval in accordance with 44 U.S.C. Chapter 35 under OMB No. 2105-

0517; Administration: Office of the Secretary of Transportation; Title:

Transportation Acquisition Regulation; Need for Information: To

solicit, negotiate, award, and administer contracts in accordance with

the Federal Acquisition Regulation, other regulations, and statutes;

Proposed Use of Information: to evaluate offers, ensure appropriate

contract cost controls, and minimize conditions conducive to fraud,

waste, and abuse; Frequency: on occasion; Burden Estimate: 56,375

hours; Forms(s): DOT F 4220.4, 7, 43, 44, 45, 46 and DD Form 882;

Average Burden Hours Per Respondent: 1.372. Comments on the proposed

information collection requirement should be sent to the DOT rulemaking

docket for this proposed action and comments may also be submitted to:

Office of Management and Budget, Office of Information and Regulatory

Affairs, Washington, D.C. 20503, Attention: Desk Officer for the

Department of Transportation.

This proposal revises recordkeeping and information collection

requirements and require approval of OMB under 44 U.S.C. 3501, et seq.

List of Subjects in 48 CFR Chapter 12

Government procurement.

This NPRM is issued under delegated authority under 49 CFR part

1.59(q). This authority has been redelegated to the Senior Procurement

Executive. Issued this 7th day of January 1994, at Washington, DC.

Linda M. Higgins,

Director of Acquisition and Grant Management.

Adoption of Amendments

For the reasons set out in the preamble, 48 CFR chapter 12 is

revised to read as follows:

PART 1201--FEDERAL ACQUISITION REGULATION SYSTEM

Subpart 1201.1--Purpose, Authority, Issuance

1201.101 Purpose.

1201.102 Authority.

1201.103 Applicability.

1201.104 Issuance.

1201.104-1 Publication and code arrangement.

1201.104-2 Arrangement of regulations.

1201.104-3 Copies.

1201.105 OMB Approval Under the Paperwork Reduction Act.

Subpart 1201.2--Administration

1201.201 Maintenance of the FAR.

1201.201-1 The two councils.

Subpart 1201.3--Agency Acquisition Regulations

1201.301 Policy.

1201.301-70 Amendment of (TAR) 48 CFR chapter 12.

1201.301-71 Effective date.

1201.301-72 TAC or TN numbering.

1201.304 Agency control and compliance procedures.

Subpart 1201.470--Deviations From the FAR and TAR

1201.403 Individual deviations.

1201.404 Class deviations.

Subpart 1201.6--Contracting Authority and Responsibilities

1201.602-3 Ratification of unauthorized commitments.

1201.603-1 General.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1201.1--Purpose, Authority, Issuance

1201.101 Purpose.

The Department of Transportation Acquisition Regulation (TAR)

establishes uniform acquisition policies and procedures, which

implement and supplement the Federal Acquisition Regulation (FAR).

1201.102 Authority.

The Secretary of Transportation has delegated the authority to

issue Department of Transportation (DOT) procurement regulations (i.e.,

the TAR) to the Assistant Secretary for Administration who has

redelegated this authority to the Senior Procurement Executive (SPE).

1201.103 Applicability.

(a) Statute, the FAR, and (TAR) 48 CFR chapter 12 apply to all

acquisitions within the Department unless otherwise excluded by

statute, the FAR or (TAR) 48 CFR chapter 12.

(b) The following order of precedence applies to resolve any

acquisition regulation or procedural inconsistency found within (TAR)

48 CFR chapter 12 or the Transportation Acquisition Manual (TAM)

(stocked by the Government Printing Office): (1) Statute; (2) FAR or

other applicable regulation; (3) TAR; (4) DOT Orders; and (5) TAM.

the FAR and (TAR) 48 CFR chapter 12 as authorized by 40 U.S.C. 474(16),

but shall adhere to those regulations to the maximum extent

practicable. Exceptions from the requirements of the FAR and/or (TAR)

48 CFR chapter 12 shall be documented in Maritime Administration

procedures or each contract file, as appropriate.

1201.104 Issuance.

1201.104-1 Publication and code arrangement.

(a) The TAR is published in: (1) The Federal Register; (2)

cumulated form in the CFR; and (3) separate loose-leaf form.

(b) TAR is issued as Chapter 12 of Title 48 of the CFR.

1201.104-2 Arrangement of regulations.

(a) General. The TAR, which encompasses both Departmentwide and

operating administration-unique guidance (see Subpart 1201.3), conforms

with the arrangement and numbering system prescribed by (FAR) 48 CFR

1.104. Operating administration-unique guidance contains the operating

administration acronym directly preceding the cite/page number. The

following acronyms apply when regulatory coverage is written:

FAA--Federal Aviation Administration

FHWA--Federal Highway Administration

FRA--Federal Railroad Administration

FTA--Federal Transit Administration

MARAD--Maritime Administration

NHTSA--National Highway Traffic Safety Administration

OST--Office of the Secretary

RSPA--Research and Special Programs Administration

SLSDC--Saint Lawrence Seaway Development Corporation

USCG--United States Coast Guard

(b) Numbering--(1) Departmentwide guidance. (i) The numbering

illustrations at (FAR) 48 CFR 1.104-2(b) apply to the TAR.

(ii) Coverage within (TAR) 48 CFR chapter 12 is identified by the

prefix ``12'' followed by the complete FAR cite which may be down to

the subparagraph level (e.g., (TAR) 48 CFR 1201.201-1).

(iii) Coverage in this Chapter 12 that supplements the FAR will use

part, subpart, section and subsection numbers ending in ``70'' through

``89''. A series of numbers beginning with ``70'' is used for

provisions and clauses (e.g., (TAR) 48 CFR 1201.301-70).

(iv) Coverage in (TAR) 48 CFR chapter 12, other than that

identified with a ``70'' or higher number, that implements the FAR uses

the identical number sequence and caption of the FAR segment being

implemented which may be down to the subparagraph level. Subparagraph

numbers/letters may not be shown as sequential, but may be shown by the

specific paragraph/subparagraph implemented from the FAR (e.g., (TAR)

48 CFR 1201.201-1 contains subparagraphs (b) and (d) because only these

subparagraphs, correlating to FAR, are being implemented by (TAR) 48

CFR chapter 12).

(2) Operating administration-unique guidance. Supplementary

material for which there is no counterpart in the FAR or TAR shall be

identified using chapter, part, subpart, section, or subsection numbers

of ``90'' and up (e.g., the U.S. Coast Guard's acronym is ``USCG''; an

USCG-unique clause pertaining to ``Inspection and/or Acceptance'' would

be designated as ``USCG clause at (TAR) 48 CFR 1252.246-90'') and

introductory captions will be followed by the acronym of the operating

administration that the chapter, part, subpart, section, or subsection

applies to (e.g., USCG-unique guidance pertaining to Miller Act

notification would be designated ``1228.9000 Miller Act Notification

(USCG)''.

referred to as the Department of Transportation Acquisition Regulation

or the TAR. Cross reference to the FAR in (TAR) 48 CFR chapter 12 will

be cited by ``FAR'' followed by the FAR numbered cite, and cross

reference to the TAM (Transportation Acquisition Manual which is

stocked by the Government Printing Office) in (TAR) 48 CFR chapter 12

will be cited by ``TAM'' followed by the TAM numbered cite. References

to specific cites within (TAR) 48 CFR chapter 12 will be by the

numbered cite only.

1201.104-3 Copies.

Copies of the TAR in Federal Register, loose-leaf, and CFR form may

be purchased from the Superintendent of Documents, Government Printing

Office, Washington, DC, 20402.

1201.105 OMB Approval Under the Paperwork Reduction Act.

(a) Data collection by regulation. The information collection and

recordkeeping requirements contained in (TAR) 48 CFR chapter 12 have

been approved by the Office of Management and Budget (OMB). The

applicable OMB control number for DOT is 2105-0517.

(b) Data collection under proposed contracts. Under the regulations

implementing the requirements of the Paperwork Reduction Act (5 CFR

part 1320), OMB must approve, prior to obligation of funds, proposed

contracts which require the collection of information from ten or more

non-Federal persons or entities. Solicitations containing this type of

information collection may be released prior to OMB approval provided:

(1) A statement is included in the solicitation to the effect that

contract award will not be made until OMB approval of the information

collection requirements of the proposed contract has been obtained; and

(2) enough time is permitted to allow receipt of OMB approval prior to

contract award.

Subpart 1201.2--Administration

1201.201 Maintenance of the FAR.

1201.201-1 The two councils.

* * * * *

(b) The SPE is responsible for providing a DOT representative to

the Civilian Agency Acquisition Council.

* * * * *

(d) The Office of Acquisition and Grant Management is responsible

for Departmentwide review and coordination of cases containing proposed

FAR revisions, as necessary, approval of DOT-generated cases, and

submission of cases to the Civilian Agency Acquisition Council.

Subpart 1201.3--Agency Acquisition Regulations

1201.301 Policy.

(a)(1) Acquisition regulations--(i) Departmentwide acquisition

regulations. The authority of the agency head under (FAR) 48 CFR

1.301(a)(1) is delegated to the Assistant Secretary for Administration.

(ii) Operating administration acquisition regulations. Operating

administration acquisition regulations, and any changes thereto, shall

be reviewed and approved by the SPE for insertion into the TAR as a TAR

supplemental regulation before the SPE submits the proposed coverage

for publication in the Federal Register in accordance with (FAR) 48 CFR

1.501. operating administration regulations may be more restrictive or

require higher approval levels than those permitted by (TAR) 48 CFR

chapter 12 unless specified otherwise.

1201.301-70 Amendment of (TAR) 48 CFR Chapter 12.

(a) Changes to (TAR) 48 CFR chapter 12 may be the result of

recommendations from internal DOT personnel, other Government agencies,

or the public. These changes are to be submitted in the following

format to the Office of Acquisition and Grant Management, 400 7th

Street, SW., Washington, DC 20590:

(1) Problem: Succinctly state the problems created by current TAR

language and describe the factual and/or legal reasons necessitating

regulatory change.

(2) Recommendation: Identify the recommended change by using the

current language and lining through the words being deleted and

inserting proposed language in brackets. If the change is extensive,

deleted language may be displayed by forming a box with diagonal lines

connecting the corners.

(3) Discussion: Explain why the change is necessary and how the

change will solve the problem. Address any cost or administrative

impact on Government activities, offerors, and contractors. Provide any

other helpful information and documents such as statutes, legal

decisions, regulations, reports, etc.

(4) Collaterals: Address the need for public comment (see (FAR) 48

CFR 1.301 and subpart 1.5), the Paperwork Reduction Act, and the

Regulatory Flexibility Act (see (FAR) 48 CFR 1.301(c)).

(5) Point of Contact: Provide a point of contact for answering

questions regarding the recommendation.

(b) The TAR will be maintained by the SPE through the TAR Council

System (i.e., representatives from DOT operating administrations

specifically designated to formulate Departmental acquisition policies

and procedures).

(1) Transportation Acquisition Circular (TAC). TACs containing

loose-leaf replacement pages which revise parts, subparts, or

paragraphs (also see (TAR) 48 CFR 1201.301-72 of this subpart) will be

used to amend (TAR) 48 CFR chapter 12. Each replacement page will bear

at the top the TAC number and date. A vertical bar next to the coverage

indicates that a change has been made.

(2) TAR Notice (TN).

(i) TNs shall be issued when interim guidance is necessary and as

often as may be necessary, under any of the following circumstances:

(A) To promulgate, as rapidly as possible, selected material in a

general or narrative manner, in advance of a TAC issuance;

(B) To disseminate other acquisition related information; or

period of 1 year or less.

(ii) Each TN will terminate upon its specified expiration date.

1201.301-71 Effective date.

Unless otherwise stated, the following applies--

(a) Statements in TACs or TNs to the effect that the material

therein is ``effective upon receipt,'' ``upon a specified date,'' or

that changes set forth in the document are ``to be used upon receipt,''

mean that any new or revised provisions, clauses, procedures, or forms

must be included in solicitations, contracts or modifications issued

thereafter; and

(b) Unless expressly directed by statute or regulation, if

solicitations are already in process or negotiations complete when the

TAC or TN is received, the new information (e.g., forms and clauses)

need not be included if it is determined by the chief of the

contracting office that its inclusion would not be in the best interest

of the Government.

1201.301-72 TAC or TN numbering.

TACs and Tns will be numbered consecutively on a fiscal year basis

beginning with number ``01'' prefixed by the last two digits of the

fiscal year (e.g., TNs 93-01 and 93-02 indicate the first two Tns

issued in fiscal year 1993).

1201.304 Agency control and compliance procedures.

(a) DOT shall control the proliferation of acquisition regulations

by the TAR Council System. This (TAR) 48 CFR chapter 12 and any

revisions thereto (except for paragraph (b) of this section) will be

prepared and issued through the TAR Council System. The members of the

TAR Council System shall represent their operating administration's

viewpoints along with Departmentwide considerations and be selected for

their superior expertise and acquisition knowledge. Further

coordination (e.g., Offices of the Inspector General and General

Counsel) beyond the TAR Council System may be recommended by the TAR

Council to the SPE as deemed appropriate.

(b) Operating administration-unique regulations will not be

processed through the TAR Council System, but shall be reviewed by

operating administration legal counsel and submitted to M-60 for review

and approval. (See (TAR) 48 CFR 1252.101 for additional instructions

pertaining to provisions and clauses.)

Subpart 1201.470--Deviations From the FAR and TAR

1.403 Individual deviations.

Individual deviations from the FAR and (TAR) 48 CFR chapter 12 may

be granted in writing by the Head of the Contracting Activity within

the operating administration.

1.404 Class deviations.

Class deviations from the FAR and (TAR) 48 CFR chapter 12 may be

granted in writing by the Senior Procurement Executive unless (FAR) 48

CFR 1.405(e) is applicable.

Subpart 1201.6--Contracting Authority and Responsibilities

1201.602-3 Ratification of unauthorized commitments.

* * * * *

(b) Policy. It is the policy of DOT that all procurements are to be

made by only Government officials having authority to make such

acquisitions. Procurements made by other than authorized personnel are

contrary to Departmental policy and may be considered matters of

serious misconduct on the part of the employee making an unauthorized

commitment. Consideration will be given to initiating disciplinary

action against an employee who makes an unauthorized commitment.

1201.603-1 General.

Each DOT operating administration is responsible for appointing its

contracting officers.

PART 1202--DEFINITIONS OF WORDS AND TERMS

Subpart 1202.1--Definitions

1202.1 Definitions.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1202.1--Definitions

1202.1 Definitions.

(a) Agency, Federal agency, or Executive agency means the

Department of Transportation.

(b) Chief of the contracting office (COCO) means the individual(s)

responsible for managing the contracting office(s) within an operating

administration.

within an operating administration and is the same as the term

procuring activity.

(d) Contracting officer means an individual authorized by virtue of

his/her position or by appointment to perform the functions assigned by

the Federal Acquisition Regulation and the Transportation Acquisition

Regulation.

(e) Department of Transportation (DOT) means all of the operating

administrations included within the Department of Transportation.

(f) Head of the agency or agency head means the Secretary of

Transportation.

(g) Head of the contracting activity (HCA) means the individual

responsible for managing the contracting offices within an operating

administration who is a member of the Senior Executive Service or a

flag officer.

(h) Head of the operating administration (HOA) means the individual

appointed by the President to manage the operating administration. (For

acquisition related matters, the Assistant Secretary for Administration

is the HOA for the Office of the Secretary (OST)).

(i) Operating administration means the following components of DOT:

(1) Federal Aviation Administration (FAA);

(2) Federal Highway Administration (FHWA);

(3) Federal Railroad Administration (FRA);

(4) Federal Transit Administration (FTA);

(5) Maritime Administration (MARAD);

(6) National Highway Traffic Safety Administration (NHTSA);

(7) Office of the Secretary (OST);

(8) Research and Special Programs Administration (RSPA);

(9) Saint Lawrence Seaway Development Corporation (SLSDC); and

(10) United States Coast Guard (USCG).

(j) Senior Procurement Executive means the Director of the Office

of Acquisition and Grant Management (M-60).

PART 1203--IMPROPER BUSINESS PRACTICES AND PERSONAL CONFLICTS OF

INTEREST

Subpart 1203.1--Safeguards

1203.101-3 Agency regulations.

1203.104-11 Processing violations or possible violations.

Subpart 1203.2--Contractor Gratuities to Government Personnel

1203.203 Reporting suspected violations of the Gratuities clause.

1203.204 Treatment of violations.

Subpart 1203.3--Reports of Suspected Antitrust Violations

1203.301 General.

Subpart 1203.4--Contingent Fees

1203.409 Misrepresentations or violations of the Covenant Against

Contingent Fees.

Subpart 1203.5--Other Improper Business Practices

1203.502 Subcontractor kickbacks.

1203.502-2 General.

Subpart 1203.8--Limitation on the Payment of Funds To Influence Federal

Transactions

1203.806 Processing suspected violations.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1203.1--Safeguards

1203.101-3 Agency regulations.

(b) 5 CFR part 2635, Standards of Ethical Conduct for Employees of

the Executive Branch, supersedes the DOT regulation at 49 CFR part 99.

1203.104-11 Processing violations or possible violations.

(a)(1) When the contracting officer receives information of a

violation or possible violation, and concludes that the reported

violation or possible violation of the statutory prohibitions has no

impact on the pending procurement, the contracting officer shall

forward the information required by (FAR) 48 CFR 3.104-11(a)(1) to the

COCO for concurrence with the contracting officer's conclusion. If the

COCO concurs with the conclusion, the contracting officer shall proceed

with the award, and the COCO shall submit the information and

conclusion to the HCA.

(2) When the COCO does not concur with the conclusion of the

contracting officer, the COCO shall advise the contracting officer to

withhold award, and the COCO shall promptly forward the information and

documentation to the HCA.

(3) When the contracting officer determines that the information

concerning a violation or possible violation will impact the pending

procurement, the contracting officer shall promptly forward the

information and documentation to the HCA.

(b) The HCA shall review the information transmitted in accordance

with subparagraph (a)(1) through (a)(3) of this section and take

appropriate action, as required by (FAR) 48 CFR 3.104-11(b).

information should be disclosed to a criminal investigative agency

(e.g, the Department of Justice) or that there may be a possible

violation, and an investigation should be conducted, the HCA shall

obtain guidance from legal counsel and the IG prior to taking any

action. If the HCA, pursuant to (FAR) 48 CFR 3.104-11(f), determines

that award is justified by urgent and compelling circumstances, or is

otherwise in the interests of the Government, a memorandum of the facts

and circumstances shall be signed by the HCA and placed in the contract

file.

Subpart 1203.2--Contractor Gratuities to Government Personnel

1203.203 Reporting suspected violations of the Gratuities clause.

(a) Suspected violations of the Gratuities clause shall be reported

to the contracting officer responsible for the acquisition (or the COCO

if the contracting officer is suspected of the violation). The

contracting officer (or COCO) shall obtain from the person reporting

the violation, and any witnesses to the violation, the following

information:

(1) The date, time, and place of the suspected violation;

(2) The name and title (if known) of the individual(s) involved in

the violation; and

(3) The details of the violation (e.g., the gratuity offered or

intended) to obtain a contract or favorable treatment under a contract.

(b) The person reporting the violation and witnesses (if any)

should be requested to sign and date the information certifying that

the information furnished is true and correct.

Inspector General (J-1), 400 7th Street, S.W., Washington, DC, 20590,

with a copy to General Counsel (C-1) and the OA's Chief Counsel.

1203.204 Treatment of violations.

The COCO shall afford the contractor (and the contracting officer

if he/she is suspected) the opportunity for an informal hearing.

Government legal counsel should be consulted regarding appropriate

hearing procedures.

Subpart 1203.3--Reports of Suspected Antitrust Violations

1203.301 General.

(b) The same procedures contained in (TAR) 48 CFR 1203.203 shall

also be followed for suspected antitrust violations, except suspected

antitrust violation shall be reported through legal counsel in

accordance with (FAR) 48 CFR 3.303.

Subpart 1203.4--Contingent Fees

1203.409 Misrepresentations or violations of the Covenant Against

Contingent Fees.

(a) The same procedures contained in (TAR) 48 CFR 1203.203 shall

also be followed for misrepresentation or violations of the covenant

against contingent fees.

Subpart 1203.5--Other Improper Business Practices

1203.502 Subcontractor kickbacks.

1203.502-2 General.

(g) The same procedures contained in (TAR) 48 CFR 1203.203 shall

also be followed for subcontractor kickbacks.

Subpart 1203.8--Limitation on the Payment of Funds to Influence

Federal Transactions

1203.806 Processing suspected violations.

Contracting officers shall report, in accordance with OA

procedures, suspected violations of the requirements of 31 U.S.C. 1352

to the Assistant Inspector General for Investigations (JI-1), 400

Seventh Street, SW., Washington, DC, 20590.

PART 1204--ADMINISTRATIVE MATTERS

Subpart 1204.1--Contract Execution

1204.103 Contract clause.

Subpart 1204.8--Contract Files

1204.804 Closeout of contract files.

1204.804-1 Closeout by the office administering the contract.

1204.804-5 Detailed procedures closing out contract files.

1204.804-570 Supporting closeout documents.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1204.1--Contract Execution

1204.103 Contract clause.

The contracting officer shall insert the clause at (FAR) 48 CFR

52.204-1, Approval of Contract, filled in as appropriate, in

solicitations when approval to award the resulting contract must be

obtained from an official at a level above the contracting officer.

Subpart 1204.8--Contract Files

1204.804 Closeout of contract files.

1204.804-1 Closeout by the office administering the contract.

(b) If the contracting officer determines appropriate, the quick

closeout procedures under (FAR) 48 CFR 42.708 may be used for the

settlement of indirect costs under contracts when the estimated amount

(excluding any fixed fee) of the contract is $3 million or less.

1204.804-5 Detailed procedures for closing out contract files.

1204.804-570 Supporting closeout documents.

(a) When applicable (see parenthetical examples in this paragraph)

and prior to contract closure, the contracting officer shall obtain the

listed DOT and Department of Defense (DOD) forms from the contractor to

facilitate contract closeout.

(1) Form DOT F 4220.4, Contractor's Release (e.g., see (FAR) 48 CFR

52.216-7);

(2) Form DOT F 4220.45, Contractor's Assignment of Refunds,

Rebates, Credits and Other Amounts (e.g., see (FAR) 48 CFR 52.216-7);

(3) Form DOT F 4220.46, Cumulative Claim and Reconciliation

Statement (e.g., see (FAR) 48 CFR 4.804-5(a)(13); and

(4) DD Form 882, Report of Inventions and Subcontracts (e.g., see

(FAR) 48 CFR 52.227-14).

(b) The forms (see (TAR) 48 CFR part 1253) are used primarily for

the closeout of cost-reimbursement, time-and-materials, and labor-hour

contracts. However, the forms may also be used for closeout of other

contract types or when necessary to protect the Government's interest.

PART 1205--PUBLICIZING CONTRACT ACTIONS

Subpart 1205.1--Dissemination of Information

1205.101 Methods of disseminating information.

SUBPART 1205.4--RELEASE OF INFORMATION

1205.402 General public.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

SUBPART 1205.1--DISSEMINATION OF INFORMATION

1205.101 Methods of disseminating information.

(a)(2) To facilitate public examination of solicitations expected

to exceed $10,000, but not expected to exceed the small purchase

limitation, COCOs are encouraged to post the notice of the solicitation

or a copy of the solicitation in a central location within the

contracting office.

(b) DOT publishes a Procurement Forecast of planned procurements

each fiscal year, which is available from the DOT Office of Small and

Disadvantaged Business Utilization (S-40), 400 Seventh Street SW.,

Washington, DC, 20590.

Subpart 1205.4--Release of Information

1205.402 General public.

It is DOT policy to furnish to the general public, upon request,

the following information on proposed contracts and contract awards:

(a) Prior to the opening of sealed bids or the closing date for

receipt of proposals, the names of firms invited to submit sealed bids

or proposals;

(b) Prior to the opening of sealed bids or the closing date for

receipt of proposals, the names of firms which attended pre-proposal or

pre-bid conferences, when held;

submitted bids; and

(d) After contract award, the names of firms which submitted

proposals. Requests for other specific information shall be processed

in accordance with the DOT Freedom of Information Act rules and

regulations ((TAR) 48 CFR 1224.202).

PART 1206--COMPETITION REQUIREMENTS

Subpart 1206.5--Competition Advocates

1206.501 Requirement.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1206.5--Competition Advocates

1206.501 Requirement.

The DOT Senior Competition Advocate (SCA) is located in the Office

of the Assistant Secretary for Administration (M-66). Correspondence

may be sent directly to M-66 or via M-60.

PART 1207--ACQUISITION PLANNING

Subpart 1207.3--Contractor Versus Government Performance

1207.302 General.

1207.307 Appeals.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1207.3--Contractor Versus Government Performance

1207.302 General.

Procedures for DOT's implementation of OMB Circular A-76,

Performance of Commercial Activities, and (FAR) 48 CFR 7.3 is under DOT

Order 4400.2 series, Performance of Commercial Activities.

1207.307 Appeals.

DOT appeal procedures for informal administrative review of initial

cost-comparison results are contained in DOT Order 4400.2 series.

PART 1209--CONTRACTOR QUALIFICATIONS

Subpart 1209.4--Debarment, Suspension, and Ineligibility

1209.406 Debarment.

1209.406-3 Procedures.

1209.407 Suspension.

1209.407-3 Procedures.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1209.5--Organizational and Consultant Conflicts of Interest

1209.507 Solicitation provisions and contract clause.

Subpart 1209.4--Debarment, Suspension, and Ineligibility

1209.406 Debarment.

1209.406-3 Procedures.

(a) Investigation and referral. The COCO shall submit a notice of

proposed debarment for issuance by the SPE (see (FAR) 48 CFR 9.406-

3(c)). Reports and notices shall be coordinated with OA legal counsel

prior to submission to the SPE.

(b) Decisionmaking process. After receipt of the OA report, the SPE

may request from interested parties (including the contractor if deemed

appropriate) a meeting or additional supporting information to assist

in the debarment decision.

the dated, signed notice of proposed debarment to the COCO.

(d) Debarring official's decision. When it is found that the

contractor's submission raises a genuine dispute over facts material to

the proposed debarment, the SPE may request the DOT Board of Contract

Appeals (BCA) to conduct fact finding and provide a report containing

the results of the fact finding.

(e) Notice of debarring official's decision. The SPE shall notify

the COCO prior to deciding whether or not to impose debarment. The COCO

shall be furnished the original of the signed SPE decision to include

in the contract file. The SPE shall provide a copy of the decision to

GSA in accordance with (FAR) 48 CFR 9.404(c).

1209.407 Suspension.

1209.407-3 Procedures.

(a) Investigation and referral. The COCO shall submit a notice of

proposed suspension for issuance by the SPE (see (FAR) 48 CFR 9.407-

3(c)). Reports and notices shall be coordinated with OA legal counsel

prior to submission to the SPE.

(b) Decisionmaking process. After receipt of the OA report, the SPE

may request from interested parties (including the contractor if deemed

appropriate) a meeting or additional supporting information to assist

in the suspension decision.

dated, signed notice of suspension to the COCO.

(d) Suspending official's decision. When it is found that the

contractor's submission raises a genuine dispute over facts material to

the proposed suspension, the SPE may request the DOTBCA to conduct fact

finding and provide a report containing the results of the fact

finding. The SPE shall notify the COCO prior to deciding whether or not

to suspend. The COCO shall be furnished the original of the signed SPE

decision, which shall be included in the contract file. The SPE shall

provide a copy of the decision to GSA in accordance with (FAR) 48 CFR

9.404(c).

Subpart 1209.5--Organizational and Consultant Conflicts of Interest

1209.507 Solicitation provisions.

The contracting officer should insert the provision at (TAR) 48 CFR

1252.209-70, ``Disclosure of Conflicts of Interest'' in all

solicitations for negotiated acquisitions, above the small purchase

limitation in (FAR) 48 CFR part 13, when the contracting officer

believes the conditions under (FAR) 48 CFR 9.507-2 warrant inclusion.

PART 1210--SPECIFICATIONS, STANDARDS, AND OTHER PURCHASE

DESCRIPTIONS

1210.004 Selecting specifications or descriptions for use.

1210.004-70 Offer evaluation and award, brand name or equal

descriptions.

1210.011 Solicitation provisions and contract clauses.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

1210.004 Selecting specifications or descriptions for use.

1210.004-70 Offer evaluation and award, brand name or equal

descriptions.

(a) An offer may not be rejected for failure of the offered product

to equal a characteristic of a brand name product if it was not

specified in the brand name or equal description. However, if it is

clearly established that the unspecified characteristic is essential to

the intended end use, the solicitation may be defective and need to be

amended or the requirement resolicited.

(b) The contracting officer shall insert in the solicitation an

entry substantially as follows for completion by the offeror in the

item listing after each item or component part of an end item to which

a brand name or equal purchase description applies:

Offering on:-----------------------------------------------------------

Manufacturer's Name:---------------------------------------------------

Brand:-----------------------------------------------------------------

No.:-------------------------------------------------------------------

procurements, the following note shall be inserted in the item listing

after each brand name or equal item (or component part), or at the

bottom of each page, listing several such items, or in a manner that

may otherwise direct the offeror's attention to this note:

Offerors offering other than brand name items identified herein

should furnish with their offers adequate information to ensure that

a determination can be made as to equality of the product(s) offered

(see the provision at (TAR) 48 CFR 1252.210-70, Brand Name or

Equal).

1210.011 Solicitation provisions and contract clauses.

(a) The contracting officer shall insert the provision at (TAR) 48

CFR 1252.210-70, Brand Name or Equal, in solicitations using a brand

name or equal purchase description whenever practicable.

(b) The contracting officer shall insert the clause at (TAR) 48 CFR

1252.210-71, Index for Specifications, when an index or table of

contents may be furnished with the specification.

PART 1210--SPECIFICATIONS, STANDARDS, AND OTHER PURCHASE

DESCRIPTIONS

1210.011-90 Solicitation provision and contract clause. (USCG)

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

1210.011-90 Solicitation provision and contract clause. (USCG)

(a) The contracting officer shall insert the USCG clause at (TAR)

48 CFR 1252.210-90, Bar Coding Requirement, in solicitations and

contracts over the small purchase limitation (also see (TAR) 48 CFR

1213.507-90(a)) when the bar coding of supplies is necessary.

(b) See (TAR) 48 CFR 1213.507-90(b) for a provision required when

the USCG clause at (TAR) 48 CFR 1252.210-90, Bar Coding Requirement, is

used in small purchases.

PART 1212--CONTRACT DELIVERY OR PERFORMANCE

Subpart 1212.3--Priorities and Allocations

1212.302 General.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1212.3--Priorities and Allocations

1212.302 General.

Defense Priorities and Allocations System (DPAS) regulation (15 CFR

part 700) to assign priority ratings on contracts and orders placed

with contractors to acquire products, materials, and services in

support of USCG certified national defense related programs.

PART 1213--SMALL PURCHASE AND OTHER SIMPLIFIED PURCHASE PROCEDURES

Subpart 1213.5--Purchase Orders

1213.107-90 Solicitation provision. (USCG)

1213.507-90 Clauses. (USCG)

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1213.1--General

1213.107-90 Solicitation provision (supplies). (USCG)

The contracting officer shall insert the USCG provision at (TAR) 48

CFR 1252.213-90, Evaluation Factor for Coast Guard Performance of Bar

Coding Requirement, in requests for quotations when the USCG clause at

(TAR) 48 CFR 1252.210-90(a), Bar Coding Requirement, is used in small

purchases.

Subpart 1213.5--Purchase Orders

1213.507-90 Clauses. (USCG)

(a) The contracting officer shall insert the USCG clause at (TAR)

48 CFR 1252.210-90, Bar Coding Requirement, in requests for quotations

and purchase orders issued by the Inventory Control Points when bar

coding of supplies is necessary.

PART 1214--SEALED BIDDING

Subpart 1214.2--Solicitation of Bids

1214.205 Solicitation mailing lists.

1214.205-1 Establishment of lists.

Subpart 1214.3--Submission of Bids

1214.302 Bid submission.

1214.303 Modification or withdrawal of bids.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1214.2--Solicitation of Bids

1214.205 Solicitation mailing lists.

1214.205-1 Establishment of lists.

(b) The issuance of a solicitation within a reasonable time (i.e.,

normally 45 days) after receipt of a SF 129, Solicitation Mailing List

Application, constitutes the notification required under (FAR) 48 CFR

14.205-1. If a solicitation is not anticipated for release within a

reasonable time after receipt of the SF 129 or if an applicant does not

meet the criteria for placement on the list, the contracting officer

shall provide a written notification of acceptance or non-acceptance to

the applicant within 45 days of application receipt.

(d) Requests for supplemental information shall normally be

attached to the SF 129 and forwarded to potential suppliers for

completion.

Subpart 1214.3--Submission of Bids

1214.302 Bid submission.

(b) Contracting officers may permit telegraphic bids to be

communicated by means of a telephone call from the telegraph office to

the designated office provided that procedures and controls have been

established by the COCO for receiving and safeguarding these incoming

bids.

1214.303 Modification or withdrawal of bids.

(b) The receipt required by (FAR) 48 CFR 14.303(b) for withdrawal

of a bid in person shall be worded substantially as follows:

I certify as a bona fide agent for or representative of

----------------------------------------------------------------------

(Bidder's name and address), I am authorized to withdraw the bid on

IFB No. ________ scheduled for opening on ______________ and hereby

acknowledge receipt of the unopened bid.

----------------------------------------------------------------------

(Name and telephone no.)

----------------------------------------------------------------------

(Date)

PART 1215--CONTRACTING BY NEGOTIATION

Subpart 1215.1--General Requirements for Negotiation

1215.106 Contract clauses.

SUBPART 1215.4--SOLICITATION AND RECEIPT OF PROPOSALS AND SOLICITATIONS

1215.407 Solicitation provisions.

1215.413 Disclosure and use of information before award.

1215.413-1 Alternate I.

1215.413-2 Alternate II.

SUBPART 1215.6--SOURCE SELECTION

1215.612 Formal source selection.

SUBPART 1215.8--PRICE NEGOTIATION

1215.804 Cost or pricing data.

1215.804-2 Requiring certified cost or pricing data.

1215.804-6 Submission of data.

Subpart 1215.9--Profit

1215.970 Payment of profit or fee under contracts.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1215.1--General Requirements for Negotiation

1215.106 Contract clauses.

The contracting officer shall insert the clause at (TAR) 48 CFR

1252.215-70, Key Personnel and/or Facilities, in solicitations and

contracts when the selection for award is substantially based on the

offeror's possession of special capabilities regarding personnel and/or

facilities.

Subpart 1215.4--Solicitation and Receipt of Proposals and

Quotations

1215.407 Solicitation provisions.

(i) The provision at (FAR) 48 CFR 52.215-35, Annual Representations

and Certifications--Negotiation, shall be included when applicable.

1215.413 Disclosure and use of information before award.

1215.413-1 Alternate I.

The alternate procedures at (FAR) 48 CFR 15.413-2 shall be used in

lieu of the alternate procedures prescribed at (FAR) 48 CFR 15.413-1.

1215.413-2 Alternate II.

(e) The notice at (FAR) 48 CFR 15.413-2(e) shall be placed on the

cover sheet of all proposals, whether solicited or unsolicited. The

cite(s) under the first paragraph of the notice shall be, as a minimum,

(TAR) 48 CFR 1215.413-2(f) and the cite of any OA implementing

procedures.

(f) Proposals may be released outside of the Government if it is

necessary to receive the most competent technical and/or management

evaluation available as long as the requirements of (FAR) 48 CFR

15.413-2(f) are met.

Subpart 1215.6--Source Selection

1215.612 Formal source selection.

DOT's formal source selection procedures are contained in TAM

(Transportation Acquisition Manual which is stocked by the Government

Printing Office), chapter 1215, Appendix A.

Subpart 1215.8--Price Negotiation

1215.804 Cost or pricing data.

1215.804-2 Requiring certified cost or pricing data.

(a)(5) When certified cost or pricing data are not required (e.g.,

the action is below the thresholds at (FAR) 48 CFR 15.804-2 or adequate

price competition is expected to exist), the contracting officer may

ask for partial/limited data when it is necessary for the Government's

analysis (e.g., cost realism). The contracting officer shall not

require this data to be certified.

(b) If, after receipt of proposals, the contracting officer

determines that adequate price competition does not exist, the

contracting officer shall obtain, as appropriate (see (FAR) 48 CFR

15.804-2), certified cost or pricing data.

1215.804-6 Submission of data.

The contracting officer may require the submission of DOT Form

4220.44, Contract Pricing Summary, when submitting a proposal that

requires a SF 1411.

Subpart 1215.9--Profit

1215.970 Payment of profit or fee under contracts.

Profit or fee shall only be paid on definitized contracts and

modifications. Any profit or fee earned during the undefinitized period

shall be paid once the contract and/or modification, as applicable, is

definitized.

PART 1216--TYPES OF CONTRACTS

Subpart 1216.2--Fixed-Price Contracts

1216.203 Fixed-price contracts with economic price adjustment.

1216.203-4 Contract clauses.

1216.203-470 Solicitation provision.

Subpart 1216.4--Incentive Contracts

1216.405 Contract clauses.

Subpart 1216.6--Time-and-Materials, Labor-Hour, and Letter Contracts

1216.603 Letter contracts.

1216.603-4 Contract clauses.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1216.2--Fixed-Price Contracts

1216.203 Fixed-price contracts with economic price adjustment.

1216.203-4 Contract clauses.

1216.203-470 Solicitation provision.

The contracting officer shall insert the provision at (TAR) 48 CFR

1252.216-70, Evaluation of Offers Subject to an Economic Price

Adjustment Clause, in solicitations containing an economic price

adjustment clause.

Subpart 1216.4--Incentive Contracts

1216.405 Contract clauses.

(a) The contracting officer shall insert the clause at (TAR) 48 CFR

1252.216-71, Determination of Award Fee, in all cost-plus-award-fee

solicitations and contracts.

(b) The contracting officer shall insert the clause at (TAR) 48 CFR

1252.216-72, Performance Evaluation Plan, in all cost-plus-award-fee

solicitations and contracts.

1252.216-73, Distribution of Award Fee, in all cost-plus-award-fee

solicitations and contracts.

Subpart 1216.6--Time-and-Materials, Labor-Hour, and Letter

Contracts

1216.603 Letter contracts.

1216.603-4 Contract clause.

The contracting officer shall insert the clause at (TAR) 48 CFR

1252.216-74, Settlement of Letter Contract, in all definitized letter

contracts.

Part 1217--Special Contracting Methods

Subpart 1217.1--Multiyear Contracting

1217.102 Policy.

1217.102-1 Uses.

Subpart 1217.70--Fixed Price Contracts for Vessel Repair, Alteration or

Conversion

1217.7000 Clauses.

Subpart 1217.71--Energy Savings Performance Contracts

1217.7100 Policy.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1217.1--Multiyear Contracting

1217.102 Policy.

1217.102-1 Uses.

The FAA Administrator has been granted specific statutory multiyear

contracting authority by the Aviation Safety and Capacity Expansion Act

of 1990 (Subtitle B of Title IX of Public Law 101-508, Omnibus Budget

Reconciliation Act of 1990, Section 9118). FAA implementing procedures

are contained in Federal Aviation Acquisition Manual Subchapter 1217.1.

Subpart 1217.70--Fixed Price Contracts for Vessel Repair,

Alteration or Conversion

1217.7000 Clauses.

The following clauses are to be used in specific solicitations and

contracts:

(a) The clauses set forth in (TAR) 48 CFR 1252.217-71 through (TAR)

48 CFR 1252.217-74 and (TAR) 48 CFR 1252.217-76 through (TAR) 48 CFR

1252.217-80 shall be included and clause (TAR) 48 CFR 1252.217-75 may

be included in sealed bid fixed-price solicitations and contracts for

vessel repair, alteration, or conversion which are to be performed

within the United States, its possessions, or Puerto Rico.

(b) Unless inappropriate, the clauses set forth in (TAR) 48 CFR

1252.217-71 through (TAR) 48 CFR 1252.217-74 and (TAR) 48 CFR 1252.217-

76 through (TAR) 48 CFR 1252.217-80 should be included and (TAR) 48 CFR

1252.217-75 may be included in negotiated solicitations and contracts

to be performed outside the United States.

used where general guarantee provisions are deemed desirable by the

contracting officer.

(1) When inspection and acceptance tests will afford full

protection to the Government in ascertaining conformance to

specifications and the absence of defects and deficiencies, no

guarantee clause for that purpose shall be included in the contract.

(2) The customary guarantee period, to be inserted in the first

sentence of the clause at (TAR) 48 CFR 1252.217-81, Guarantee, is 60

days. However, in certain instances, the contracting officer may desire

to include a clause in a contract for a guarantee period of more than

60 days. In such instances:

(i) Where, after full inquiry, it has been determined that such

longer guarantee period will not involve increased costs, a longer

guarantee period may be substituted by the contracting officer for the

usual 60 days; or

(ii) Where the full inquiry discloses that such longer guarantee

period will involve, or is reasonably expected to involve, increased

costs, such facts and the reasons for the need for such longer period

shall be set forth in letter form to the COCO, requesting approval for

use of guarantee period in excess of 60 days. Upon approval, the longer

period may be inserted by the contracting officer in the first sentence

of the clause at (TAR) 48 CFR 1252.217-81, Guarantee.

Subpart 1217.71--Energy Savings Performance Contracts

1217.7100 Policy.

Federal agencies may enter into multi-year contracts for a period

of up to 25 years under Title VIII of the National Energy Conservation

Policy Act, 42 U.S.C. 8287, as amended. Energy savings performance

arrangements are appropriate where a contractor makes improvements and/

or operating changes to Federally-owned buildings and facilities to

improve energy efficiency, at no cost to the Federal Government.

Proposed actions under this section shall be coordinated with M-60.

PART 1219--SMALL BUSINESS AND SMALL DISADVANTAGED BUSINESS CONCERNS

Subpart 1219.2--Policies

1219.201 General policy.

Subpart 1219.7--Subcontracting with Small Business and Small

Disadvantaged Business Concerns

1219.708 Solicitation provisions and contract clauses.

1219.708-70 DOT solicitation and contract clause.

Subpart 1219.10--Small Business Competitiveness Demonstration Program

1219.1005 Applicability.

1219.1006 Procedures.

Appendices

Appendix A Targeted Industry Categories

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1219.2--Policies

1219.201 General policy.

Utilization (S-40), is responsible for the implementation and execution

of the small and small disadvantaged business programs required by

sections 8 and 15 of the Small Business Act. HOAs or their designees

are responsible for appointing Small and Disadvantaged Business

Utilization Specialists within the OAs.

Subpart 1219.7--Subcontracting With Small Business and Small

Disadvantaged Business Concerns

1219.708 Solicitation provisions and contract clauses.

1219.708-70 DOT solicitation and contract clause.

The contracting officer shall insert the clause at (TAR) 48 CFR

1252.219-70, Small Business and Small Disadvantaged Business

Subcontracting Reporting, in solicitations and contracts containing the

clause at (FAR) 48 CFR 52.219-9.

Subpart 1219.10--Small Business Competitiveness Demonstration

Program

1219.1005 Applicability.

(b) Targeted industry categories. DOT's targeted industry

categories are shown in appendix A of this subpart.

1219.1006 Procedures.

in the Federal Register, dated September 13, 1991, that increased the

emerging small business reserve amount for Architect-Engineer (A-E)

services from $25,000 to $50,000. Therefore, A-E services below $50,000

are reserved for emerging small businesses, if the conditions of (FAR)

48 CFR 19.1006(c)(1) are met.

Appendix A

------------------------------------------------------------------------

Standard

FPDS product industrial

Industry category* and service classification

code code

------------------------------------------------------------------------

(1) Engineering Development............... AT94 8748

(2) Systems Engineering Services (Only)... R414 8748

(3) Radio/TV Communication Equipment 5820 3663

(except airborne).

(4) Maintenance Engine/Turbine and J028/J010 7699

Maintenance Repair, Rebuilding of Weapons

Equipment.

(5) ADP Central Processing Units..........

Analog.................................. 7020 3571

Digital................................. 7021 3571

Hybrid.................................. 7022 3571

(6) ADP Support Equipment................. 7035 3577

(7) ADP Components........................ 7050 3571

(8) ADP Teleprocessing and Systems D302/D305 7371

Development and Programming Services.

(9) Gas Turbines and Jet Engines, 2840 3724

Aircraft; and Components.

(10) Radar Equipment and Navigation and 5840/AT30 3812

Navigational Aids R&D.

------------------------------------------------------------------------

*The industry categories were derived from Federal Procurement Data

Product and Services Codes Manual, dated September 1991.

PART 1220--LABOR SURPLUS AREA CONCERNS

Subpart 1220.90--Local Hire

1220.9000 Policy. (USCG)

1220.9001 Solicitation provision and contract clause. (USCG)

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1220.90--Local Hire

1220.9000 Policy. (USCG)

Public Law 101-225, Coast Guard Authorization Act of 1989, Section

206, added Section 666 to Title 14 of the United States Code, which

requires the U.S. Coast Guard to include a provision for local hire in

each contract for construction or services to be performed in whole or

in part in a State that has an unemployment rate in excess of the

national average rate of unemployment (as determined by the Secretary

of Labor). The Secretary of Transportation may waive this requirement

in the interest of national security or economic efficiency.

1220.9001 Solicitation provision and contract clause. (USCG)

The contracting officer shall insert the USCG clause at (TAR) 48

CFR 1252.220-90, Local Hire Provision, in all solicitations and

contracts as required by (TAR) 48 CFR 1220.9000.

PART 1222--APPLICATION OF LABOR LAWS TO GOVERNMENT ACQUISITIONS

Subpart 1222.1--Basic Labor Policies

1222.101 Labor relations.

1222.101-70 Admittance of union representatives to DOT

installations.

1222.101-71 Contract clauses.

Subpart 1222.4--Labor Standards for Contracts Involving Construction

1222.406 Administration and enforcement.

1222.406-9 Withholding from or suspension of contract payments.

Subpart 1222.6--Walsh-Healey Public Contracts Act

1222.608 Procedures.

1222.608-4 Award pending final determination.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1222.1--Basic Labor Policies

1222.101 Labor relations.

1222.101-70 Admittance of union representatives to DOT installations.

(a) It is the policy of DOT to admit labor union representatives of

contractor employees to DOT installations to visit work sites and

transact labor union business with contractors, their employees, or

union stewards pursuant to existing union collective bargaining

agreements. Their presence shall not interfere with the contractor's

work progress under a DOT contract nor violate the safety or security

regulations that may be applicable to persons visiting the

installation. The union representatives will not be permitted to

conduct meetings, collect union dues, or make speeches concerning union

matters while visiting a work site.

(b) Whenever a union representative is denied entry to a work site,

the person denying entry shall make a written report to the DOT labor

coordinator (i.e., Director, Office of Economics (P-35), Office of the

Secretary) or OA labor advisor, if any, within two working days after

the request for entry is denied. The report shall include the reason(s)

for the denial, the name of the representative denied entry, the union

affiliation and number, and the name and title of the person that

denied the entry.

1222.101-71 Contract clauses.

(a) The contracting officer, may, when applicable, insert the

clause at (TAR) 48 CFR 1252.222-70, Strikes or Picketing Affecting

Timely Completion of the Contract Work, in solicitations and contracts.

(b) The contracting officer may, when applicable, insert the clause

at (TAR) 48 CFR 1252.222-71, Strikes or Picketing Affecting Access to a

DOT Facility, in solicitations and contracts.

Subpart 1222.4--Labor Standards for Contracts Involving

Construction

1222.406 Administration and enforcement.

1222.406-9 Withholding from or suspension of contract payments.

(1) Forwarding wage underpayments to the Comptroller General. The

contracting officer shall ensure that a completed Form DOT F 4220.7,

Employee Claim for Wage Restitution, is obtained from each employee

claiming restitution under the contract. The Comptroller General

(Claims Division) must receive this form with a completed SF 1093,

Schedule of Withholding Under the Davis-Bacon Act and/or the Contract

Work Hours and Safety Standards Act, before payment can be made to the

employee.

Subpart 1222.6--Walsh-Healey Public Contracts Act

1222.608 Procedures.

1222.608-4 Award pending final determination.

(b) The official authorized to approve the contracting officer's

written certification required by (FAR) 48 CFR 22.608-4(b)(1) is the

HCA.

PART 1223--ENVIRONMENT, CONSERVATION, OCCUPATIONAL SAFETY, AND

DRUG-FREE WORKPLACE

Subpart 1223.3--Hazardous Material Identification and Material Safety

Data

1223.303 Contract clause.

Subpart 1223.70--Safety Requirements for Selected Dot Contracts

1223.7000 Contract clauses.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1223.3--Hazardous Material Identification and Material

Safety Data

1223.303 Contract clause.

The contracting officer shall insert the clause at (TAR) 48 CFR

1252.223-70, Removal or Disposal of Hazardous Substances--Applicable

Licenses and Permits, in solicitations and contracts involving the

removal or disposal of hazardous waste material.

Subpart 1223.70--Safety Requirements for Selected DOT Contracts

1223.7000 Contract clauses.

(a) Where all or part of a contract will be performed on

Government-owned or leased property, the contracting officer shall

insert the clause at (TAR) 48 CFR 1252.223-71, Accident and Fire

Reporting.

(b) For all solicitations and contracts under which human test

subjects will be utilized, the contracting officer shall insert the

clause at (TAR) 48 CFR 1252.223-72, Protection of Human Subjects.

PART 1224--PROTECTION OF PRIVACY AND FREEDOM OF INFORMATION

1224.000 Scope of part.

Subpart 1224.1--Protection of Individual Privacy

1224.102-70 Applicability.

SUBPART 1224.2--FREEDOM OF INFORMATION ACT

1224.202 Policy.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

1224.000 Scope of part.

DOT's rules and regulations implementing the Privacy Act of 1974

are located at 49 CFR part 10.

Subpart 1224.1--Protection of Individual Privacy

1224.102-70 Applicability.

(a) Illustrations of systems of records to which the Privacy Act

applies and which shall not be released irrespective of whether the

Government or a contractor acting on behalf of the Government is

maintaining the records include the following:

(1) Personnel, payroll and background records personal to any

officer or employee of DOT, or other person, including his or her

residential address;

(2) Medical histories and medical records concerning individuals,

including applicants for licenses; and

(3) Any other detailed record containing information identifiable

with a particular person.

(b) Illustrations of systems of records to which the Privacy Act

does not apply include:

(1) Records that are maintained by a contractor on individuals

employed by the contractor in the process of providing goods and

services to the Federal Government; and

(2) The records generated, when contracting with an educational

institution, on contract students pursuant to their attendance (e.g.,

admission forms, grade reports), provided that they are similar to

those maintained on other students and are commingled with records of

other students.

Subpart 1224.2--Freedom of Information Act

1224.202 Policy.

DOT rules and regulations implementing the Freedom of Information

Act (FOIA) and the names and addresses of the OA FOIA offices are

located in 49 CFR part 7. Specific contract award information shall be

requested from the FOIA office of the OA making the contract award.

PART 1225--FOREIGN ACQUISITION

Subpart 1225.90--Buy American Act--Steel and Manufactured Products

1225.900 Scope. (FAA)

1225.9001 Definitions. (FAA)

1225.9002 Policy. (FAA)

1225.9003 Order of Precedence. (FAA)

1225.9004 Findings. (FAA)

1225.9005 Solicitation Provisions and Contract Clauses. (FAA)

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

1225.90 Steel and Manufactured Products. (FAA)

1225.9000 Scope. (FAA)

For the FAA, this subpart implements the Buy American provisions of

the Aviation Safety and Capacity Expansion Act of 1990 (Subtitle B of

Title IX of Pub. L. 101-508, the Omnibus Budget Reconciliation Act of

1990), and Pub. L. 102-581, The Airport and Airway Safety, Capacity,

Noise Improvement, and Intermodal Transportation Act of 1992, Title I,

Sec. 103 and 104, as these apply to the obligation of funds derived

from appropriations through Fiscal Year (FY) 1995.

1225.9001 Definitions. (FAA)

As used in this subpart:

Manufactured product means an item produced as a result of the

manufacturing process.

Manufacturing process means the application of processes to alter

the form or function of materials or of elements of the product in a

manner adding value and transforming those materials or elements so

that they represent a new end product functionally different from that

which would result from mere assembly of the elements or materials.

1225.9002 Policy. (FAA)

(a) This subpart sets forth the policy for the FAA pursuant to Pub.

L. 101-508, and notwithstanding any other provision of law, the

Secretary of Transportation shall not obligate any funds authorized to

be appropriated for any project unless steel and manufactured products

used in such projects are produced in the United States. Projects

funded by the Research, Engineering and Development appropriation are

excluded from this provision.

(b) The Act provides that the general provisions in paragraph (a)

shall not apply where the Secretary of Transportation finds that:

(1) Their application would be inconsistent with the public

interest;

(2) Such materials and products are not produced in the United

States in sufficient and reasonably available quantities and of a

satisfactory quality;

(3) In the case of the procurement of facilities and equipment

under the Airport and Airway Improvement Act of 1982, (i) the cost of

components and subcomponents which are produced in the United States is

more than 60 percent of the cost of all components of the facility or

equipment used in the project, and (ii) final assembly of the facility

or equipment described in this paragraph has taken place in the United

States; or

(4) Inclusion of domestic material will increase the cost of the

overall project contract by more than 25 percent.

steel or manufactured products in its bid or proposal. The FAA,

however, may not award to that company unless it is pursuant to one of

the exceptions listed under the FAA guidance at (TAR) 48 CFR

1225.9002(b).

(d) For the purpose of this subpart, in calculating components'

costs, labor costs involved in final assembly shall not be included in

the calculation.

1225.9003 Order of precedence. (FAA)

(a) Any acquisition of FAA not subject to Pub. L. 101-508 should be

treated as covered under the Buy American Act, unless a Buy American

Act exception applies.

(b) Nothing in this subpart relieves the contracting officer of

responsibility for complying with the Federal Acquisition Regulation

(FAR) 48 CFR subpart 25.1, Buy American Act--Supplies, and (FAR) 48 CFR

subpart 25.2, Buy American Act Construction Materials, including the

requirement to insert any FAR required Buy American clause or provision

in solicitations or contracts. To the extent that there may be a

conflict between the requirements of the clause prescribed by this

subpart and a FAR prescribed Buy American clause, both of which may be

required to be included in the same contract, this subpart's clause

takes precedence.

entitled, ``Buy American Certificate--Steel and Manufactured Products''

((TAR) 48 CFR 1252.225-90), will be in addition to any Buy American

certification required by the FAR. Although this may appear to be a

situation of a clear duplication of certifications (two Buy American

certificates in the same acquisition) the separate certificates

implement two separate statutes, which differ in coverage.

Consequently, the contents of the two certificates included in the same

acquisition may differ. As one example: such materials as copper or

aluminum, if end products in the contract and if nondomestic, would be

listed in the FAR Buy American certificate, whereas they would not be

listed in the certificate required by this subpart. This is because

only steel, among nonmanufactured materials, is subject to the

restrictions of Pub. L. 101-508, whereas all nondomestic end products

are subject to restrictions of the Buy American Act (unless a Buy

American Act exception applies).

1225.9004 Findings. (FAA)

In respect to the four findings enumerated in FAA guidance at (TAR)

48 CFR 1225.9002(b), the following applies:

(a) Based on delegations from the Secretary and the Federal

Aviation Administrator, authorities for the making of these findings

are established as follows:

(1) Contracts exceeding $1,000,000: Head of the Contracting

Activity. For construction contracts, this is for an amount exceeding

$100,000.

(2) Contracts below the above dollar thresholds: Contracting

officer.

(b) All findings, except those authorized to be made by the

contracting officer, shall be coordinated with the Director, Office of

Acquisition Policy and Oversight, ACQ-1. Every finding shall be

coordinated with the Office of Chief Counsel and the appropriate

Program Office.

1225.9005 Solicitation provision and contract clause. (FAA)

(a) If the procurement includes the acquisition of steel or

manufactured products, the contracting officer shall insert the FAA

provision at (TAR) 48 CFR 1252.225-90, Buy American Certificate--Steel

and Manufactured Products (July 1992), in solicitations. Projects

funded by the Research, Engineering and Development appropriation to

carry out the purpose of Section 302 of the Federal Aviation Act of

1958, as amended (49 U.S.C. App. 1353) are excluded from this

requirement. Only those contract actions obligating funds made

available in appropriations for FY 1995 or for earlier fiscal years are

subject to this requirement.

(b) If the procurement includes the acquisition of steel or

manufactured products, the contracting officer shall insert the FAA

clause at (TAR) 48 CFR 1252.225-91, Buy American--Steel and

Manufactured Products (July 1992) in solicitations and contracts.

Projects funded by the Research, Engineering and Development

appropriation to carry out the purpose of Section 302 of the Federal

Aviation Act of 1958, as amended (49 U.S.C. App. 1353) are excluded

from this requirement. Only those contract actions obligating funds

made available in appropriations for FY 1995 or for earlier fiscal

years are subject to this requirement.

PART 1227--PATENTS, DATA, AND COPYRIGHTS

Subpart 1227.3--Patent Rights Under Government Contracts

1227.305 Administration of patent rights clauses.

1227.305-4 Conveyance of invention rights acquired by the

Government.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1227.3--Patent Rights Under Government Contracts

1227.305 Administration of patent rights clauses.

1227.305-4 Conveyance of invention rights acquired by the Government.

The contracting officer shall ensure that solicitations and

contracts which include a patent rights clause include a means for the

contractor to report inventions made in the course of contract

performance and at contract completion. This requirement may be

fulfilled by requiring the contractor to submit a DD Form 882, Report

of Inventions and Subcontracts.

PART 1228--BONDS AND INSURANCE

Subpart 1228.1--Bonds

1228.106 Administration.

1228.106-1 Bonds and bond-related forms.

1228.106-6 Furnishing of information.

1228.106-70 Execution and administration of bonds.

Subpart 1228.3--Insurance

1228.306 Insurance under fixed-price contracts.

1228.306-70 Contracts for lease of aircraft.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1228.1--Bonds

1228.106 Administration.

1228.106-1 Bonds and bond-related forms.

(a) SF 25, Performance Bond, prescribed at (FAR) 48 CFR 28.106-

1(c), must provide coverage for taxes imposed by the United States

which are collected, deducted, or withheld from wages paid by the

contractor. Forms other than the SF 25 (e.g., a commercial form) shall

not be used by contractors when a performance bond is required.

1228.106-6 Furnishing of information.

(b) The contracting officer shall, upon request, furnish the name

and address of the prime contractor's surety or sureties to employees,

suppliers, and subcontractors having a contractual or employment

relationship with prime contractors, subcontractors or suppliers. When

furnishing surety information, the inquirer may also be informed that:

(1) Persons believing that they have legal remedies under the

Miller Act are cautioned to consult their own legal advisor regarding

the proper steps to take to obtain remedies.

(2) On construction contracts exceeding $2,000, if the contracting

officer is informed (through routine compliance checking, a complaint,

or a request for information) that a laborer, mechanic, apprentice,

trainee, watchman, or guard employed by the contractor or subcontractor

at any tier may have been paid wages less than those required by the

applicable labor standards provisions of the contract, the contracting

officer shall promptly initiate an investigation in accordance with

(FAR) 48 CFR subpart 22.4, irrespective of the employee's rights under

the Miller Act. When an employee's request for information is involved,

the contracting officer shall inform the inquirer that such

investigation will be made. Such investigation is required pursuant to

the provisions of the Davis-Bacon Act, Contract Work Hours and Safety

Standards Act, and Copeland (Anti-Kickback) Act for assuring proper

payment to such employees.

accordance with (FAR) 48 CFR 28.106-6(c), the requirement for a copy of

the contract may be satisfied by furnishing a machine-duplicate copy of

the contractor's first pages which show the contract number and date,

the contractor's name and signature, the contracting officer's

signature, and the description of the contract work. The contracting

officer furnishing the copies shall place the statement ``Certified to

be a true and correct copy'' followed by his/her signature, title and

name of the OA. The fee for furnishing the requested certified copies

shall be determined in accordance with the DOT Freedom of Information

Act regulation, 49 CFR part 7 ((TAR) 48 CFR 1224.202).

1228.106-70 Execution and administration of bonds.

(a) The surety shall be notified, as soon as feasible, of the

contractor's failure to perform in accordance with the terms of the

contract.

(b) When a partnership is a principal on a bond, the names of all

the members of the firm shall be listed in the bond following the name

of the firm, and the phrase ``a partnership composed of.'' If a

principal is a corporation, the state of incorporation must also appear

on the bond.

antedate the contract to which it pertains.

(d) Bonds shall be filed with the original contract to which they

apply, or all bonds shall be separately maintained and reviewed

quarterly for validity. If separately maintained, each contract file

shall cross-reference the applicable bonds.

Subpart 1228.3--Insurance

1228.306 Insurance under fixed-price contracts.

1228.306-70 Contracts for lease of aircraft.

(a) The contracting officer shall insert the clauses at (TAR) 48

CFR 1252.228-70 through 1252.228-72, unless otherwise indicated by the

specific instructions for their use, in any contract for the lease of

aircraft (including aircraft used in out-service flight training).

(b) The contracting officer shall insert the clause at (TAR) 48 CFR

1252.228-70, Loss of or Damage to Leased Aircraft, in any contract for

the lease of aircraft, except in the following circumstances:

(1) When the hourly rental rate does not exceed $250 and the total

rental cost for any single transaction is not in excess of $2,500;

(2) When the cost of hull insurance does not exceed 10 percent of

the contract rate; or

(3) When the lessor's insurer does not grant a credit for uninsured

hours, thereby preventing the lessor from granting the same to the

Government.

1252.228-71, Fair Market Value of Aircraft, when fair market value of

the aircraft can be determined.

(d) Section 504 of the Federal Aviation Act of 1958, as amended,

provides that no lessor of an aircraft under a bona fide lease of 30

days or more shall be liable by reason of his interest as lessor or

title-holder of the aircraft for any injury to or death of persons, or

damage to or loss of property, unless such aircraft is in the actual

possession or control of such person at the time of such injury, death,

damage or loss. On short-term or intermittent-use leases, however, the

owner may be liable for damage caused by operation of the aircraft. It

is usual for the aircraft owner to retain insurance covering this

liability during the term of such lease. Such insurance can, often for

little or no increase in premium, be made to cover the Government's

exposure to liability as well. In order to take advantage of this

coverage, the Risks and Indemnities clause at (TAR) 48 CFR 1252.228-72

prescribed in paragraph (d)(1) of this section shall be used.

(1) The contracting officer shall insert the clause at (TAR) 48 CFR

1252.228-72, Risk and Indemnities, in any contract for out-service

flight training or for the lease of aircraft when the Government will

have exclusive use of the aircraft for a period of less than thirty

days.

(2) Any contract for out-service flight training shall include a

clause in the contract schedule stating substantially that the

contractor's personnel shall at all times during the course of the

training be in command of the aircraft, and that at no time shall other

personnel be permitted to take command of the aircraft.

Subpart 1228.106--Bonds

1228.9000 Miller Act notification. (USCG)

The contracting officer shall insert the USCG clause at (TAR) 48

CFR 1252.228-90, Notification of Miller Act Payment Bond Protection, in

solicitations and contracts, and shall require its first-tier

subcontractors to insert the clause in all of their subcontracts, when

payment bonds are required.

PART 1231--CONTRACT COST PRINCIPLES AND PROCEDURES

Subpart 1231.2--Contracts With Commercial Organizations

1231.205 Selected costs.

1231.205-32 Precontract costs.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

SUBPART 1231.2--CONTRACTS WITH COMMERCIAL ORGANIZATIONS

1231.205 Selected costs.

1231.205-32 Precontract costs.

(a) The decision to incur precontract costs is that of the

contractor. No DOT employee can authorize, demand, or require a

contractor to incur precontract costs. The contracting officer may

advise the prospective contractor that any costs incurred before

contract award are at the contractor's sole risk and that if

negotiations fail to result in a binding contract, payment of these

costs may not be made by the Government.

(b) When the contracting officer determines that incurring

precontract costs was necessary to meet the proposed contract delivery

schedule of a cost-reimbursement contract, the clause at (TAR) 48 CFR

1252.231-70, Date of Incurrence of Costs, may be inserted in the

resultant contract.

PART 1232--CONTRACT FINANCING

Subpart 1232.70--Contract Payments

1232.7002 Invoice and voucher review and approval.

Appendices

Appendix A Instructions for completing the SF 1034.

Appendix B Instructions for completing the SF 1035.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1232.70--Contract Payments

1232.7002 Invoice and voucher review and approval.

(a) Under fixed-price contracts, the contracting officer shall

require the contractor to submit an invoice or voucher in order to

receive payment under the contract. The invoice or voucher may be on a

form or company letterhead as long as it meets the requirements of the

Prompt Payment Act as implemented by OMB Circular A-125--Prompt

Payment, (FAR) 48 CFR subpart 32.9, and the contract.

(b) Under other than fixed-price contracts, the contracting office

shall require the contractor to submit the SF 1034, Public Voucher for

Purchases and Services Other Than Personal, and the SF 1035, Public

Voucher for Purchases and Services Other Than Personal (Continuation

Sheet), to request payments. The forms must be completed as required by

Appendix A, Instructions for Completing the SF 1034, and Appendix B,

Instructions for Completing the SF 1035.

Appendix A--Instructions for Completing the SF 1034

The SF 1034, Public Voucher for Purchases and Services Other

Than Personal, shall be completed in accordance with the below

instructions. The lettered items correspond to the entries on the

form.

------------------------------------------------------------------------

Caption on the SF 1034 Data to be inserted in the block

------------------------------------------------------------------------

1. U.S. DEPARTMENT, BUREAU, OR Name and address of the contracting

ESTABLISHMENT AND LOCATION. office which issued the contract.

2. DATE VOUCHER PREPARED........... Date voucher submitted to the

designated billing office cited

under the contract or order.

3. CONTRACT NO. AND DATE........... Contract No. and, when applicable,

the Order No. and date as shown on

the award document.

4. REQUISITION NO. AND DATE........ Leave blank or fill-in in

accordance with the instructions

in the contract.

5. VOUCHER NO...................... Start with ``1'' and number

consecutively. A separate series

of consecutive numbers must be

used beginning with ``1'' for each

contract number or order number

(when applicable). Note: Insert

the word ``FINAL'' if this is the

last voucher.

6. SCHEDULE NO.; PAID BY; DATE Leave all these blocks blank.

INVOICE RECEIVED; DISCOUNT TERMS;

PAYEE'S ACCOUNT NO.; SHIPPED FROM/

TO; WEIGHT; GOVERNMENT B/L.

7. PAYEE'S NAME AND ADDRESS........ Name and address of contractor as

it appears on the contract. If the

contract is assigned to a bank,

also show ``CONTRACT ASSIGNED''

below the name and address of the

contractor.

8. NUMBER AND DATE OF ORDER........ Leave blank. (See 3 above.)

9. DATE OF DELIVERY OR SERVICE..... The period for which the incurred

costs are being claimed (e.g.,

month and year; beginning and

ending date of services, etc.).

10. ARTICLES OR SERVICES........... Insert the following: ``For detail,

see the total amount of the claim

transferred from the attached SF

1035, page X of X.'' One space

below this line, insert the

following: ``COST REIMBURSABLE-

PROVISIONAL PAYMENT.''

11. QUANTITY; UNIT PRICE; (COST; Leave blank.

PER).

12. AMOUNT......................... Insert the total amount claimed

from the last page of the SF 1035.

Payee must NOT use the space below. Do NOT write or type below this

line.

------------------------------------------------------------------------

Appendix B--Instructions for Completing the SF 1035

The SF 1035, Public Voucher for Purchases and Services Other

Than Personal (Continuation Sheet), shall be completed in accordance

with the below instructions.

1. Use the same basic instructions for the SF 1035 as used for

the SF 1034. Ensure that the contract and, if applicable, order

number, are shown on each continuation sheet. Use as many sheets as

necessary to show the information required by the contract,

contracting officer, or cognizant audit agency; however, if more

than one sheet of SF 1035 is used, each sheet shall be in numerical

sequence.

2. The following items are generally entered below the line with

Number and Date of Order; Date of Delivery or Service; Articles or

Services; Quantity; Unit Price; and Amount (but do not necessarily

tie to these captions).

3. Description of data to be inserted as it applies to the

contract or order number.

a. Show, as applicable, the target or estimated costs, target or

fixed-fee, and total contract value, as adjusted by any

modifications to the contract or order. The FAR permits the

contracting officer to withhold a percentage of fixed fee until a

reserve is set aside in an amount that is considered necessary to

protect the Government's interest.

b. Show the following costs and supporting data (as applicable)

to the contract or order:

(1) Direct Labor. List each labor category, rate per labor hour,

hours worked, and extended total labor dollars per labor category.

(2) Premium Pay/Overtime. List each labor category, rate per

labor hour, hours worked, and the extended total labor dollars per

labor category. Note: Advance written authorization must be received

from the contracting officer to work overtime or to pay premium

rates; therefore, identify the contracting officer's written

authorization to the contractor.

(3) Fringe Benefits. If fringe benefits are included in the

overhead pool, no entry is required. If the contract allows for a

separate fringe benefit pool, cite the formula (rate and base) in

effect during the time the costs were incurred. If the contract

allows for billing fringe benefits as a direct expense, show the

actual fringe benefit costs.

(4) Materials, Supplies, Equipment. Show those items normally

treated as direct costs. Expendable items need not be itemized and

may be grouped into major classifications such as office supplies.

However, items valued at $5,000 or more must be itemized. See (FAR)

48 CFR part 45, Government Property, for reporting of property.

(5) Travel. List the name and title of traveller, place of

travel, and travel dates. If the travel claim is based on the actual

costs expended, show the amount for the mode of travel (i.e.,

airline, private auto, taxi, etc.), lodging, meals, and other

incidental expenses separately, on a daily basis. These actual costs

must be supported with receipts to substantiate the costs paid.

Travel costs for consultants must be shown separately and also

supported.

(6) Other Direct Costs. Itemize those costs that cannot be

placed in categories (1) through (5) above. Categorize these costs

to the extent possible.

(7) Total Direct Costs. Cite the sum of categories (1) through

(6) above.

(8) Overhead. Cite the rate, base, and extended amount.

(9) G&A Expense. Cite the rate, base, and extended amount.

(10) Total Costs. Cite the sum of categories (7) through (9)

above.

(11) Fee. Cite the rate, base, and extended amount.

(12) Total Cost and Fee Claimed. Enter this amount on the SF

1034.

Completion Voucher

The completion (final) voucher is the last voucher to be

submitted for incurred, allocable, and allowable costs expended to

perform the contract or order. This voucher should include all

contract reserves, allowable cost withholdings, balance of fixed

fee, etc. However, the amount of the completion voucher when added

to the total amount previously paid cannot exceed the total amount

of the contract.

PART 1233--PROTESTS, DISPUTES, AND APPEALS

Subpart 1233.2--Disputes and Appeals

1233.211 Contracting officer's decision.

1233.214 Alternative dispute resolution.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1233.2--Disputes and Appeals

1233.211 Contracting officer's decision.

For DOT contracts, the Board of Contract Appeals (BCA) referenced

at (FAR) 48 CFR 33.211 is the Department of Transportation Board of

Contract Appeals (S-20), 400 7th Street SW, Washington, DC, 20590. The

DOTBCA Rules of Procedure are contained in 48 CFR chapter 63, part

6301.

1233.214 Alternative dispute resolution.

(b) The Administrative Dispute Resolution Act (ADRA), Pub. L. 101-

552, authorizes and encourages agencies to use mediation, conciliation,

arbitration, and other techniques for the prompt and informal

resolution of disputes, and for other purposes. The DOTBCA Alternate

Dispute Resolution (ADR) procedures are contained in 48 CFR chapter 63,

section 6302.30, ADR Methods (Rule 30), which will be distributed to

the parties, if ADR procedures are used, and may be obtained from the

DOTBCA upon request. ADR procedures may be used when:

(1) There is mutual consent by the parties to participate in the

ADR process (with consent being obtained either before or after an

issue in controversy has arisen);

(2) Prior to the submission of a claim; and

(3) In resolution of a formal claim.

is located in the DOT Office of the General Counsel, C-1.

(d) The DOTBCA is designated as the preferred neutral to perform

the functions set forth in the Administrative Disputes Resolution Act

for DOT operating administrations on a non-reimbursable basis. The BCA

may conduct any of the alternative means of dispute resolution set

forth in Title 5, U.S.C. Section 581(3), including settlement

negotiations under the auspices of a settlement judge, conciliation,

facilitation, mediation, fact finding, mini-trials, and arbitration, or

any combination of these methods.

PART 1234--MAJOR SYSTEM ACQUISITION

1234.003 Responsibilities.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

1234.003 Responsibilities.

DOT's internal procedures for implementing OMB Circular A-109,

Major System Acquisitions, is contained in Chapter 1234, Appendix A, of

the Transportation Acquisition Manual.

PART 1235--RESEARCH AND DEVELOPMENT CONTRACTING

1235.003 Policy.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

1235.003 Policy.

(b) Cost sharing. DOT cost sharing policies shall be in accordance

with (FAR) 48 CFR 16.303, 48 CFR 42.707(a), and OA procedures.

PART 1236--CONSTRUCTION AND ARCHITECT-ENGINEER CONTRACTS

Subpart 1236.3--Special Aspects of Sealed Bidding in Construction

Contracting

1236.305 Preconstruction conference.

Subpart 1236.5--Contract Clauses

1236.570 Special precautions for work at operating airports.

Subpart 1236.6--Architect-Engineer Services

1236.602 Selection of firms for architect-engineer contracts.

1236.602-1 Selection criteria.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1236.3--Special Aspects of Sealed Bidding in Construction

Contracting

1236.305 Preconstruction conference.

When the contracting officer considers such action warranted, he/

she shall arrange a preconstruction conference with the contractor and

such subcontractors as the contractor may designate to assure that

there is a clear understanding of the contract requirements (including

labor standards provisions) and the rights and obligations of the

parties.

Subpart 1236.5--Contract Clauses

1236.570 Special precautions for work at operating airports.

Where any acquisition will require work at an operating airport,

insert the clause at (TAR) 48 CFR 1252.236-70, Special Precautions for

Work at Operating Airports, in solicitations and contracts.

Subpart 1236.6--Architect-Engineer Services

1236.602 Selection of firms for architect-engineer contracts.

1236.602-1 Selection criteria.

(a) Appropriate criteria in addition to those under (FAR) 48 CFR

36.602-1(a) may include, but are not limited to, the criteria listed in

this section. The extent to which these criteria are used will depend

on the size and the complexity of the project. For instance, for small

and straight-forward projects, particularly those under the small

purchase limitation, the data provided by the SFs 254 and 255 may

provide an adequate measure of the firm's experience and qualification

required for the project. However, on large and more complex projects,

the evaluation criteria should be extended to consider such factors as

the firm's suggested design approach, methods, and design ability, such

as:

(1) Capability of the firm to accomplish the work:

(i) Relevant, recent experience and technical knowledge of key

project personnel and key outside consultants;

(ii) Total number of personnel the Architect-Engineer (A-E) firm

employs in the technical disciplines required for the proposed work.

(2) Capacity of the firm to accomplish the work. In assessing the

firm's capacity to accomplish the work in the required time,

considerations shall be given to the firm's current workload, total

number of ongoing projects, and percentage of completion.

(3) Design ability and understanding of the requirements:

(i) Technical approach (planning and design process, overall

planning and design philosophy), possible concepts (narrative), special

design opportunities, innovative design possibilities (including

environmental), and provisions for the handicapped;

(ii) Understanding of, and experience in, energy conservation

design:

(A) Approach to maximizing energy conservation;

(B) Project building and equipment systems that would significantly

impact energy consumption;

and equipment design; and

(D) Examples of previously used design techniques and measure of

results (in BTUs consumed per square foot or energy costs);

(iii) Proposed project schedule and personnel-loading plan;

(iv) Quality of examples of previous work; and

(v) Major awards and other major recognition the firm or members of

the firm have received for design excellence;

(4) Organization and management:

(i) Project team organization and key personnel roles and

responsibilities;

(ii) Project management procedures such as coordination of design

effort among technical disciplines;

(iii) Methods used to control project schedule and construction

cost estimates; and

(iv) Quality control procedures.

(5) Record of past performance:

(i) Accuracy of construction cost estimates (compared to

construction bids received and value of awarded construction

contract(s);

(ii) Number, dollar amount and reason for construction change

orders, if any; and

(iii) A-E/client relationship (for Government contracts, the above

information is available from SF 1421, Performance Evaluation (A-E)).

(b) If a design competition is to be used, written approval by the

COCO shall be obtained prior to soliciting proposals.

be used in the A-E evaluation process for A-E acquisitions above the

small purchase limitation. The criteria shall be evaluated separately

from other criteria in terms of bonus or penalty points and added to

the basic numerical evaluation rating for a composite rating. For the

purposes of calculating bonus or penalty points, paragraphs (c)(1) and

(2) of this section may not be double counted.

(1) Minority Employment--Percentage of minority employees in all

job classifications and pay scales, noting the percentage of minorities

in the immediate locality where the work is to be performed (i.e. city,

town, county, or township) and the Standard Metropolitan Statistical

Area where the work is to be performed.

(2) Women Employment--The number of women in all job

classifications and pay scales compared to the women that will actually

work on the immediate project.

PART 1237--SERVICE CONTRACTING

Subpart 1237.1--Service Contracts--General

1237.110 Solicitation provisions and contract clauses.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1237.1--Service Contracting--General

1237.110 Solicitation provisions and contract clauses.

Contracting officers shall insert the clause at (TAR) 48 CFR

1252.237-70, Qualifications of Employees, in all solicitations and

contracts for services which require contract performance at a

Government facility.

PART 1237--SERVICE CONTRACTING

Subpart 1237.90--Mortuary Services

1237.9000 Solicitation provisions and contract clauses. (USCG)

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1237.90--Mortuary Services

1237.9000 Solicitation provisions and contract clauses. (USCG)

(a) The contracting officer shall insert the following clauses in

solicitations and contracts for mortuary services. However, USCG

clauses (TAR) 48 CFR 1252.237-91 and 1252.237-97 shall not be inserted

in solicitations and contracts that include port of entry requirements:

(1) (TAR) 48 CFR 1252.237-90, Requirements (JAN 1994);

(2) (TAR) 48 CFR 1252.237-91, Area of Performance (JAN 1994);

(3) (TAR) 48 CFR 1252.237-92, Performance and Delivery (JAN 1994);

(4) (TAR) 48 CFR 1252.237-93, Subcontracting (JAN 1994);

(5) (TAR) 48 CFR 1252.237-94, Termination for Default (JAN 1994);

(6) (TAR) 48 CFR 1252.237-95, Group Interment (JAN 1994);

(7) (TAR) 48 CFR 1252.237-96, Permits (JAN 1994);

(8) (TAR) 48 CFR 1252.237-97, Facility Requirements (JAN 1994); and

(9) (TAR) 48 CFR 1252.237-98, Preparation History (JAN 1994).

(b) The contracting officer shall insert USCG provision (TAR) 48

CFR 1252.237-99, Award to Single Offeror, in all sealed bid

solicitations for mortuary services. Use the basic provision with

Alternate I in negotiated solicitations for mortuary services.

Government-Furnished Property (Short Form) in solicitations and

contracts that include port of entry requirements.

PART 1242--CONTRACT ADMINISTRATION

Subpart 1242.2--Assignment of Contract Administration

1242.203 Retention of contract administration.

1242.203-70 Contract clauses.

1242.205 Designation of the paying office.

Subpart 1242.3--Contract Administration Office Functions

1242.302 Contract administration functions.

Subpart 1242.70--Contracting Officer's Technical Representative

1242.7000 Contract clause.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1242.2--Assignment of Contract Administration

1242.203 Retention of contract administration.

(a) Contracting offices may obtain contract administration

assistance from the Defense Logistics Agency (DLA), Defense Contract

Management Command, Alexandria, VA, when the contracting officer

determines that such action is to be in the best interest of DOT.

1242.203-70 Contract clauses.

(a) The contracting officer may use the clause at (TAR) 48 CFR

1252.242-70, Dissemination of Information--Educational Institutions, in

lieu of the clause at (TAR) 48 CFR 1252.242-72, Dissemination of

Contract Information, in DOT research contracts with educational

institutions, except contracts that require the release or coordination

of information.

(b) The contracting officer shall insert the clause at (TAR) 48 CFR

1252.242-71, Contractor Testimony, in all solicitations and contracts

issued by NHTSA. Other OAs may use the clause as deemed appropriate.

1252.242-72, Dissemination of Contract Information, in all DOT

contracts except contracts that require the release or coordination of

information.

1242.205 Designation of the paying office.

(a) The assignment of contract administration to a DLA Contract

Administration Office (CAO) by the contracting officer does not affect

the designation of the paying office unless a transfer of DOT funds to

the agency of the CAO is effected, and the funds are converted to the

agency's account for payment purposes.

(b) When the contracting officer proposes to delegate the contract

payment function to another agency (e.g., DLA), the contracting officer

shall discuss the transfer of funds procedures with the OA cognizant

payment office.

Subpart 1242.3--Contract Administration Office

1242.302 Contract administration functions.

(a)(13) The CAO, or the contracting officer's designee under fixed

price contracts, shall review and approve the contractor's invoice for

payment. The CAO shall review and approve contractors' vouchers under

cost-reimbursement contracts, and this function cannot be delegated to

a COTR. All payments to contractors will be made by the payment office

designated in the contract to make payments.

Subpart 1242.70--Contracting Officer's Technical Representative

1242.7000 Contract clause.

The contracting officer shall insert the clause at (TAR) 48 CFR

1252.242-73, Contracting Officer's Technical Representative, in

solicitations and contracts when it is intended that a representative

will be assigned to the contract to perform functions of a technical

nature.

PART 1245--GOVERNMENT PROPERTY

Subpart 1245.5--Management of Government Property in the Possession of

Contractors

1245.505 Records and reports of Government property.

1245.505-14 Reports of Government property.

1245.505-70 Solicitation provisions and contract clauses.

1245.508-2 Reporting results of inventories.

1245.508-3 Quantitative and monetary control.

1245.511 Audit of property control system.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1245.5--Management of Government Property in the Possession

of Contractors

1245.505 Records and reports of Government property.

1245.505-14 Reports of Government property.

When Government property is furnished to or acquired by the

contractor to perform the contract, the contract shall require the

contractor to submit annual reports (see (FAR) 48 CFR 45.505-14) to the

contracting officer not later than September 15 of each year. The

contractor's report shall be submitted on Form DOT F 4220.43,

Contractor Report of Government Property.

1245.505-70 Solicitation provisions and contract clauses.

Contracting officers shall insert the clause at (TAR) 48 CFR

1252.245-70 in solicitations and contracts when the contract will

require Government provided or contractor acquired property.

1245.508-2 Reporting results of inventories.

The inventory report shall also include the following:

(a) Name and title of the individual(s) that performed the physical

inventory;

(b) An itemized, categorized listing of all property capitalized:

(1) land and rights therein; (2) other real property; (3) plant

equipment; (4) special test equipment; and (5) special tooling;

or stolen, the circumstances surrounding each incident, and the

resolution of the incident; and

(d) Any discrepancies between the physical inventory and the

contractor's record of Government property.

1245.508-3 Quantitative and monetary control.

Contracting officers shall require the contractor to provide the

quantity and unit cost of each item of Government property reported

under (TAR) 48 CFR 1245.508-2(b) and (c).

1245.511 Audit of property control system.

(a) The property administrator (or other Government official

authorized by the contracting officer) shall audit the contractor's

property control system whenever there are indications that the

contractor's property control system may be deficient. Examples of

deficiencies are:

(1) Failure of the contractor to acknowledge receipt of GFP;

(2) Failure of the contractor to submit the annual property reports

required by (TAR) 48 CFR 1245.505-14;

(3) Failure of the contractor to reconcile its physical inventory

with its property control record; or

(4) Failure of the contractor to submit a Government property

listing when requested by the property administrator.

(b) When it is determined that the contractor's property control

system is deficient, the property administrator, in coordination with

the contracting officer, shall discuss the deficiencies with the

contractor. If the contractor does not take action to correct the

deficiencies, the contracting officer shall provide the contractor with

a written notice of the deficiencies and the date all deficiencies must

be corrected.

PART 1246--QUALITY ASSURANCE

Subpart 1246.7--Warranties

1246.701 Definitions.

1246.701-70 Additional definitions.

1246.703 Criteria for use of warranties.

1246.705 Limitations.

1246.706 Warranty terms and conditions.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1246.7--Warranties

1246.701 Definitions.

1246.701-70 Additional definitions.

At no additional cost to the Government, means at no increase in

price for firm-fixed-price contracts, at no increase in target or

ceiling price for fixed price incentive contracts (see (FAR) 48 CFR

46.707), or at no increase in estimated cost or fee for cost-

reimbursement contracts.

Defect means any condition or characteristic in any supplies or

services furnished by the contractor under the contract that is not in

compliance with the requirements of the contract.

Design and manufacturing requirements means structural and

engineering plans and manufacturing particulars, including precise

measurements, tolerances, materials and finished product tests for the

major system being produced.

Major system means a system or major subsystem used directly by DOT

to carry out its mission(s), as defined by TAM (Transportation

Acquisition Manual which is stocked by the Government Printing Office)

Chapter 1234, Major Acquisition Policies and Procedures (for dollar

threshold applicable to U.S. Coast Guard, see Coast Guard guidance at

(TAR) 48 CFR 1246.701-90). The term does not include: (a) Related

support equipment, such as ground-handling equipment, training devices

and accessories thereto, unless a cost effective warranty for the

system would require inclusion of such items; or (b) commercial items

sold in substantial quantities to the general public as described in

(FAR) 48 CFR 15.804-3(c).

Performance requirements means the operating capabilities,

maintenance, and reliability characteristics of a system that are

determined to be necessary for it to fulfill the requirement for which

the system is designed.

1246.703 Criteria for use of warranties.

(a) Major Systems: The use of warranties in the procurement of

major systems by the USCG is mandatory, unless waived (see USCG

guidance at (TAR) 48 CFR 1246.792). Other OAs may use the procedures in

USCG guidance at (TAR) 48 CFR 1246 and this part as a guideline for

major systems acquisitions.

(b) Other Systems: (1) Acquisition of warranties in the procurement

of supplies that do not meet the definition of a major system (e.g.,

spare, repair, or replenishment parts) is governed by (FAR) 48 CFR

46.703.

(2) Contracting officers should negotiate a warranty that meets or

exceeds the requirements of (TAR) 48 CFR 1246.706 when it is

advantageous.

1246.705 Limitations.

(a) The following restrictions are applicable to DOT contracts:

(1) The USCG is the only DOT OA which is required to include a

warranty in cost reimbursement contracts for the production of major

systems acquisitions.

(2) Any warranty on major systems acquisitions shall not apply in

the case of any system or component thereof which has been furnished by

the Government to a contractor except as indicated in the USCG guidance

at (TAR) 48 CFR 1246.790-3.

(3) Any warranty obtained shall specifically exclude coverage of

combat damage.

1246.706 Warranty terms and conditions.

(a) The contracting officer, in developing the warranty terms and

conditions, shall consider the following, and, where appropriate and

cost beneficial, shall:

(1) Identify the affected line item(s) and the applicable

specification(s);

(2) Require that the line item's design and manufacture will

conform to: (i) an identified revision of a top-level drawing; and/or

(ii) an identified specification or revision thereof;

(3) Require that the system conform to the specified Government

performance requirements;

(4) Require that all systems and components delivered under the

contract will be free from defects in materials and workmanship;

(5) State that in the event of failure due to nonconformance with

specification and/or defects in material and workmanship, the

contractor will bear the cost of all work necessary to achieve the

specified performance requirements, including repair and/or replacement

of all parts;

(6) Require the timely replacement/repair of warranted items and

specify lead times for replacement/repair where possible;

(7) Identify the specific paragraphs containing Government

performance requirements which must be met;

(8) Ensure that any performance requirements identified as goals or

objectives in excess of specification requirements are excluded from

the warranty provision;

(9) Define what constitutes the start of the warranty period (e.g.,

delivery, acceptance, in-service date), the ending of the warranty

(e.g., passing a test or demonstration, or operation without failure

for a specified time period), and circumstances requiring an extension

of warranty duration (e.g., extending the warranty period as a result

of mass defect correction during warranty period);

(10) Identify what transportation costs will be paid by the

contractor in conjunction with warranty coverage;

(11) Identify any conditions which will not be covered by the

warranty, other than the exclusion of combat damage; and

(12) Identify any limitation on the total dollar amount of the

contractor's warranty exposure, or agreement to share costs after a

certain dollar threshold to avoid unnecessary warranty returns.

(b) In addition, any contract that contains a warranty clause must

contain warranty implementation procedures, including warranty

notification content and procedures, and identify the individuals

responsible for implementation of warranty provisions. The contract may

also permit the contractor's participation in investigation of system

failures, providing that the contractor is reimbursed at established

rates for fault isolation work, and that the Government receive credit

for any payments where equipment failure is covered by warranty

provisions.

PART 1246--QUALITY ASSURANCE

Subpart 1246.7--Warranties

1246.701 Definitions. (USCG)

1246.701-90 Additional USCG definitions. (USCG)

1246.790 Use of warranties in major system acquisitions by the

USCG. (USCG)

1246.790-1 Policy. (USCG)

1246.790-2 Tailoring warranty terms and conditions. (USCG)

1246.790-3 Warranties on Government-furnished property. (USCG)

1246.791 Cost benefit analysis. (USCG)

1246.792 Waiver and notification procedures. (USCG)

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1246.7--Warranties

1246.701 Definitions. (USCG)

1246.701-90 Additional USCG definitions. (USCG)

For the USCG, in accordance with Public Law 99-190, the dollar

threshold as it pertains to the inclusion of a warranty in major

systems acquisitions is $10 million.

1246.790 Use of warranties in major systems acquisitions by the USCG.

(USCG)

This subpart sets forth the policy for the USCG to use in obtaining

warranties from contractors when contracting for the acquisition of a

major system.

1246.790-1 Policy. (USCG)

The USCG shall include a warranty in all contracts for major

systems acquisitions. When drafting warranty provisions/clauses for

major systems acquisitions, the contracting officer shall ensure that

the items listed at (TAR) 48 CFR 1246.706 have been considered. The

warranty shall also meet the following requirements:

(a) For systems or components which are commercially available,

such warranty as is normally provided by the manufacturer or supplier

shall be obtained in accordance with (FAR) 48 CFR 46.703(d) and

46.710(b)(2).

(b) For systems or components provided in accordance with either

design and manufacturing or performance requirements as specified in

the contract or any modification to that contract, a warranty of

compliance with the stated requirements shall be obtained.

provide that in the event the major system or any component thereof

fails to meet the terms of the warranty provided, the contracting

officer may:

(1) Require the contractor to promptly take such corrective action

as the contracting officer determines to be necessary at no additional

cost to the Government, including repairing or replacing all parts

necessary to achieve the requirements set forth in the contract;

(2) Require the contractor to pay costs reasonably incurred by the

United States in taking necessary corrective action; or

(3) Equitably reduce the contract price.

(d) Any warranty shall specifically exclude coverage of combat

damage.

1246.790-2 Tailoring warranty terms and conditions. (USCG)

(a) As the objectives and circumstances vary considerably among

major systems acquisition programs, contracting officers shall

appropriately tailor the warranty on a case-by-case basis, including

remedies, exclusions, limitations and durations, provided the tailoring

is consistent with the specific requirements of this subpart and (FAR)

48 CFR 46.706.

(b) Contracting officers of major systems acquisitions may exclude

from the terms of the warranty certain defects for specified supplies

(exclusions) and may limit the contractor's liability under the terms

of the warranty (limitations), as appropriate, if necessary to derive a

cost-effective warranty in light of the technical risk, contractor

financial risk, or other program uncertainties.

more comprehensive warranty where such is advantageous. Likewise, the

contracting officer may narrow the scope of a warranty when appropriate

(e.g., where it would be inequitable to require a warranty of all

performance requirements because a contractor had not designed the

system).

(d) Contracting officers shall not include in a warranty clause any

terms that require the contractor to incur liability for loss, damage,

or injury to third parties.

1246.790-3 Warranties on Government-furnished property. (USCG)

A contractor for a major systems acquisition shall not be required

to provide the warranties specified in (TAR) 48 CFR 1246.790-1 on any

property furnished to that contractor by the Government except for: (a)

defects in installation; and (b) installation or modification in such a

manner that invalidates a warranty provided by the manufacturer of the

property.

1246.791 Cost benefit analysis. (USCG)

Warranties shall be obtained for a major systems acquisition only

when it is cost beneficial in accordance with TAM (Transportation

Acquisition Manual which is stocked at the Government Printing Office)

1246.703(c). If a specific warranty is considered not to be cost

beneficial by the contracting officer, a waiver request shall be

initiated in accordance with the USCG guidance at (TAR) 48 CFR

1246.792.

1246.792 Waiver and notification procedures. (USCG)

(a) The Secretary of Transportation, without delegation, may waive

the requirement for a warranty for USCG major systems acquisitions when

the waiver is in the interest of national defense or if the warranty

obtained would not be cost beneficial. A waiver may be granted provided

that the Committees on Appropriations of the Senate and the House of

Representatives, the Committee on Commerce, Science and Transportation

of the Senate, and the Committee on Merchant Marine and Fisheries of

the House of Representatives are notified, in writing, of the

Secretary's intention to waive the warranty requirements and the

reasons supporting such a determination prior to granting the waiver.

The request for Secretarial waiver shall include, at a minimum:

(1) A brief description of the major system and its stage of

production (e.g., the number of units delivered and anticipated to be

delivered during the life of the program);

(2) The specific waiver requested, the duration of the waiver if it

is to involve more than one contract, and the rationale for the waiver;

and

(3) All documentation supporting the request for waiver, such as a

cost-benefit analysis.

(b) The waiver request shall be forwarded to the Secretary, via the

Office of Acquisition and Grant Management (M-60). The USCG shall

maintain a written record of each waiver granted and the Congressional

notification and report made, together with supporting documentation.

PART 1247--TRANSPORTATION

Subpart 1247.1--General

1247.104-370 Contract clause.

Subpart 1247.3--Transportation in Supply Contracts

1247.305 Solicitation provisions, contract clauses, and

transportation factors.

1247.305-70 Solicitation provisions.

1247.305-71 Contract clause.

Subpart 1247.5--Ocean Transportation by U.S.-Flag Vessels

1247.506 Procedures.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1247.1--General

1247.104-370 Contract clause.

The contracting officer shall insert the clause at (TAR) 48 CFR

1252.247-1, Acceptable Service at Reduced Rates, to implement the

requirements of (FAR) 48 CFR 47.104-3.

Subpart 1247.3--Transportation in Supply Contracts

1247.305 Solicitation provisions, contract clauses, and transportation

factors.

1247.305-70 Solicitation provisions.

The contracting officer shall insert the following provisions in

solicitations, as applicable:

(a) 1252.247-2, F.o.b. Origin Information, with Alternates I or II,

as applicable, shall be inserted in accordance with (FAR) 48 CFR

47.305-3(b);

(b) 1252.247-3, F.o.b. Origin Only, shall be inserted in accordance

with (FAR) 48 CFR 47.305-3(e);

accordance with (FAR) 48 CFR 47.305-4(b);

(d) 1252.247-5, Shipments to Ports and Air Terminals, with

Alternates I, II, and III, shall be inserted in accordance with (FAR)

48 CFR 47.305-6(a)(1) through (a)(4);

(e) 1252.247-6, F.o.b. Designated Air Carrier's Terminal, Point of

Exportation, implements the requirements of (FAR) 48 CFR 47.305-

6(a)(5); and

(f) 1252.247-7, Nomination of Additional Ports, implements the

requirements of (FAR) 48 CFR 47.305-6(d).

1247.305-71 Contract clause.

The contracting officer shall insert the clause at (TAR) 48 CFR

1252.247-8, Supply Movement in the Defense Transportation System, in

contracts to implement the requirements of (FAR) 48 CFR 47.305-6(f)(1).

Subpart 1247.5--Ocean Transportation by U.S.-Flag Vessels

1247.506 Procedures.

(d) Reports concerning cargo preference shipments/ocean shipments

(see (FAR) 48 CFR 47.506(d)) shall, as a minimum, contain the

information and follow the procedures within subparagraph (c) of (FAR)

48 CFR 52.247-64, Preference for Privately Owned U.S.-Flag Commercial

Vessels.

PART 1252--SOLICITATION PROVISIONS AND CONTRACT CLAUSES

Subpart 1252.1--Instructions for Using Provisions and Clauses

1252.101 Using part 1252.

Subpart 1252.2--Texts of Provisions and Clauses

1252.209-70 Disclosure of Conflicts of Interest.

1252.210-70 Brand Name or Equal.

1252.210-71 Index for Specifications.

1252.215-70 Key Personnel and/or Facilities.

1252.216-70 Evaluation of Offers Subject to an Economic Price

Adjustment Clause.

1252.216-71 Determination of Award Fee.

1252.216-72 Performance Evaluation Plan.

1252.216-73 Distribution of Award Fee.

1252.216-74 Settlement of Letter Contract.

1252.217-71 Delivery and Shifting of Vessel.

1252.217-72 Performance.

1252.217-73 Inspection and Manner of Doing Work.

1252.217-74 Subcontracts.

1252.217-75 Lay Days.

1252.217-76 Liability and Insurance.

1252.217-77 Title.

1252.217-78 Discharge of Liens.

1252.217-79 Delays.

1252.217-80 Department of Labor Safety and Health Regulations for

Ship Repairing.

1252.217-81 Guarantee.

1252.219-70 Small Business and Small Disadvantaged Business

Subcontracting Reporting

1252.222-70 Strikes or Picketing Affecting Timely Completion of the

Contract Work.

1252.222-71 Strikes or Picketing Affecting Access to a DOT

Facility.

1252.223-70 Removal or Disposal of Hazardous Substances--Applicable

Licenses and Permits.

1252.223-71 Accident and Fire Reporting.

1252.223-72 Protection of Human Subjects.

1252.228-70 Loss of or Damage to Leased Aircraft.

1252.228-71 Fair Market Value of Aircraft.

1252.228-72 Risk and Indemnities.

1252.231-70 Date of Incurrence of Costs.

1252.236-70 Special Precautions for Work at Operating Airports.

1252.237-70 Qualifications of Employees.

1252.242-70 Dissemination of Information--Educational Institutions.

1252.242-71 Contractor Testimony.

1252.242-72 Dissemination of Contract Information.

1252.242-73 Contracting Officer's Technical Representative.

1252.245-70 Government Property Reports.

1252.247-1 Acceptable Service at Reduced Rates.

1252.247-2 F.o.b. Origin Information.

1252.247-3 F.o.b. Origin Only.

1252.247-4 F.o.b. Destination Only.

1252.247-5 Shipments to Ports and Air Terminals.

1252.247-6 F.o.b. Designated Air Carrier's Terminal, Point of

Exportation.

1252.247-7 Nomination of Additional Ports.

1252.247-8 Supply Movement in the Defense Transportation System.

Authority: 5 U.S.C. 301; 41 U.S.C. 418(b); 48 CFR 3.1.

Subpart 1252.1--Instructions for Using Provisions and Clauses

1252.101 Using part 1252.

(b) Numbering.

(2)(i) Provisions or clauses that supplement the FAR.

(A) Agency-prescribed provisions and clauses permitted by TAR and

used on a standard basis (i.e., normally used in two or more

solicitations or contracts regardless of contract type) shall be

prescribed and contained in the TAR. OAs desiring to use a provision or

a clause on a standard basis shall submit a request containing a copy

of the clause(s), justification for its use, and evidence of legal

counsel review to M-60 in accordance with (TAR) 48 CFR 1201.304 for

possible inclusion in the TAR.

(B) Provisions and clauses used on a one-time basis (i.e., non-

standard provisions and clauses) may be approved by the contracting

officer, unless a higher level is designated by the OA. This authority

is permitted subject to: (1) evidence of legal counsel review in the

contract file; (2) inserting these clauses in the appropriate sections

of the uniform contract format; and (3) ensuring the provisions and

clauses do not deviate from the requirements of the FAR and TAR.

Subpart 1252.2--Texts of Provisions and Clauses

1252.209-70 Disclosure of conflicts of interest.

As prescribed in 1209.507, insert the following provision:

Disclosure of Conflicts of Interest (Jan 1994)

It is the Department of Transportation's (DOT) policy to award

contracts to only those offerors whose objectivity is not impaired

because of any related past, present, or planned interest, financial

or otherwise, in organizations regulated by DOT or in organizations

whose interests may be substantially affected by Departmental

activities. Based on this policy:

(a) The offeror shall provide a statement in its proposal which

describes in a concise manner all past, present or planned

organizational, financial, contractual or other interest(s) with an

organization regulated by DOT, or with an organization whose

interests may be substantially affected by Departmental activities,

and which is related to the work under this solicitation. The

interest(s) described shall include those of the proposer, its

affiliates, proposed consultants, proposed subcontractors and key

personnel of any of the above. Past interest shall be limited to

within one year of the date of the offeror's technical proposal. Key

personnel shall include any person owning more than 20% interest in

the offeror, and the offeror's corporate officers, its senior

managers and any employee who is responsible for making a decision

or taking an action on this contract where the decision or action

can have an economic or other impact on the interests of a regulated

or affected organization.

(b) The offeror shall describe in detail why it believes, in

light of the interest(s) identified in (a) above, that performance

of the proposed contract can be accomplished in an impartial and

objective manner.

above, the offeror shall submit in its proposal a statement

certifying that to its best knowledge and belief no affiliation

exists relevant to possible conflicts of interest. The offeror must

obtain the same information from potential subcontractors prior to

award of a subcontract.

(d) The Contracting Officer will review the statement submitted

and may require additional relevant information from the offeror.

All such information, and any other relevant information known to

DOT, will be used to determine whether an award to the offeror may

create a conflict of interest. If any such conflict of interest is

found to exist, the Contracting Officer may (1) disqualify the

offeror, or (2) determine that it is otherwise in the best interest

of the United States to contract with the offeror and include

appropriate provisions to mitigate or avoid such conflict in the

contract awarded.

(e) The refusal to provide the disclosure or representation, or

any additional information required, may result in disqualification

of the offeror for award. If nondisclosure or misrepresentation is

discovered after award, the resulting contract may be terminated. If

after award the Contractor discovers a conflict of interest with

respect to the contract awarded as a result of this solicitation,

which could not reasonably have been known prior to award, an

immediate and full disclosure shall be made in writing to the

Contracting Officer. The disclosure shall include a full description

of the conflict, a description of the action the contractor has

taken, or proposes to take, to avoid or mitigate such conflict. The

Contracting Officer may, however, terminate the contract for

convenience if he or she deems that termination is in the best

interest of the Government.

(End of provision)

1252.210-70 Brand name or equal.

As prescribed in (TAR) 48 CFR 1210.011, insert the following

provision:

Brand Name or Equal (Jan 1994)

(As used in this provision, the term ``brand name'' includes

identification of products by make and model.)

(a) If items called for by this solicitation have been

identified in the schedule by a ``brand name or equal'' description,

such identification is intended to be descriptive, but not

restrictive, and is intended to indicate the quality and

characteristics of products that will be satisfactory. Offers

offering ``equal'' products (including products of the brand name

manufacturer other than the one described by brand name) will be

considered for award if such products are clearly identified in the

offers and are determined by the Government to meet fully the

salient characteristic requirements listed in the solicitation.

(b) Unless the offeror clearly indicates in its offer that it is

offering an ``equal'' product, its offer shall be considered as

offering the brand name product referenced in the solicitation.

brand name, if any, of the product to be furnished shall be inserted

in the space provided in the solicitation, or such product shall be

otherwise clearly identified in the offer. The evaluation of offers

and the determination as to equality of the product offered shall be

the responsibility of the Government and will be based on

information furnished by the offeror or identified in its offer as

well as other information reasonably available to the contracting

office.

Caution to Offerors: The contracting office is not responsible

for locating or securing any information which is not identified in

the offer and reasonably available to the contracting office.

Accordingly, to insure that sufficient information is available, the

offeror must furnish as a part of its offer all descriptive material

(such as cuts, illustrations, drawings, or other information)

necessary for the contracting office to: (1) determine whether the

product offered meets the salient characteristic requirements of the

solicitation; and (2) establish exactly what the offeror proposes to

furnish and what the Government would be binding itself to acquire

by making an award. The information furnished may include specific

reference to information previously furnished or to information

otherwise available to the contracting office.

(d) If the offeror proposes to modify a product so as to make it

conform to the requirements of the solicitation, it shall: (1)

include in its offer a clear description of such proposed

modifications; and (2) clearly mark any descriptive material to show

the proposed modifications.

(e) Modifications to make a product conform to a brand name

product referenced in the solicitation and proposed after the time

for receipt of offers, will not be considered.

(End of provision)

1252.210-71 Index for specifications.

As prescribed in (TAR) 48 CFR 1210.011, insert the following

clause:

Index for Specifications (Jan 1994)

If an index or table of contents is furnished in connection with

specifications, it is understood that such index or table of

contents is for convenience only. Its accuracy and completeness is

not guaranteed, and it is not to be considered as part of the

specification. In case of discrepancy between the index or table of

contents and the specifications, the specifications shall govern.

(End of clause)

1252.215-70 Key personnel and/or facilities.

As prescribed in (TAR) 48 CFR 1215.106, insert the following

clause:

Key Personnel and/or Facilities (Jan 1994)

(a) The personnel and/or facilities as specified below are

considered essential to the work being performed hereunder and may,

with the consent of the contracting parties, be changed from time to

time during the course of the contract by adding or deleting

personnel and/or facilities, as appropriate.

(b) Prior to removing, replacing, or diverting any of the

specified individuals or facilities, the Contractor shall notify, in

writing, and receive consent from, the Contracting Officer

reasonably in advance of the action and shall submit justification

(including proposed substitutions) in sufficient detail to permit

evaluation of the impact on this contract.

written consent of the Contracting Officer. The Contracting Officer

may ratify, in writing, the change and such ratification shall

constitute the consent of the Contracting Officer required by this

clause.

The Key Personnel and/or Facilities under this Contract:

(specify key personnel and/or facilities)

(End of clause)

1252.216-70 Evaluation of offers subject to an economic price

adjustment clause.

As prescribed in (TAR) 48 CFR 1216.203-470, insert the following

provision:

Evaluation of Offers Subject to an Economic Price Adjustment Clause

(Jan 1994)

Offers shall be evaluated without an amount for an economic

price adjustment being added. Offers will be rejected which: (1)

increase the ceiling stipulated; (2) limit the downward adjustment;

or (3) delete the economic price adjustment clause. If the offer

stipulates a ceiling lower than that included in the solicitation,

the lower ceiling will be incorporated into any resulting contract.

(End of provision)

1252.216-71 Determination of award fee.

As prescribed in (TAR) 48 CFR 1216.405(a), insert the following

clause:

Determination of Award Fee (Jan 1994)

(a) The Government shall, at the conclusion of each specified

evaluation period(s), evaluate the contractor's performance for a

determination of award fee earned. The contractor agrees that the

determination as to the amount of the award fee earned will be made

by the Government Fee Determination Official (FDO) and such

determination is binding on both parties and shall not be subject to

appeal under the ``Disputes'' clause or to any board or court.

(b) It is agreed that the evaluation of contractor performance

shall be in accordance with a Performance Evaluation Plan and that

the contractor shall be promptly advised in writing of the

determination and reasons why the award fee was or was not earned.

It is further agreed that the contractor may submit a self-

evaluation of performance of each period under consideration. While

it is recognized that the basis for the determination of the fee

shall be the evaluation by the Government, any self-evaluation which

is received within ______ (insert number) days after the end of the

period being evaluated may be given such consideration, if any, as

the FDO shall find appropriate.

earned during the period evaluated may be accumulated and be

available for allocation to one or more subsequent periods. In that

event, the distribution of award fee shall be adjusted to reflect

such allocations.

(End of clause)

1252.216-72 Performance evaluation plan.

As prescribed in (TAR) 48 CFR 1216.405(b), insert the following

clause:

Performance Evaluation Plan (Jan 1994)

(a) A Performance Evaluation Plan shall be unilaterally

established by the Government and used for the determination of

award fee. This plan shall include the criteria used to evaluate

each area and the percentage of award fee (if any) available for

each area. A copy of the plan shall be provided to the contractor

______ (insert number) calendar days prior to the start of the first

evaluation period.

(b) The criteria contained within the Performance Evaluation

Plan may relate to: (1) Technical (including schedule) requirements

if appropriate; (2) Management; and (3) Cost.

contract, be revised unilaterally by the Government at any time

during the period of performance. Notification of such changes shall

be provided to the contractor ______ (insert number) calendar days

prior to the start of the evaluation period to which the change will

apply.

(End of clause)

1252.216-73 Distribution of award fee.

As prescribed in (TAR) 48 CFR 1216.405(c), insert the following

clause:

Distribution of Award Fee (Jan 1994)

(a) The total amount of award fee available under this contract

is assigned according to the following evaluation periods and

amounts:

Evaluation Period:

Available Award Fee:

(Insert appropriate information)

(b) Payment of the base fee and award fee shall be made,

provided that after payment of 85 percent of the base fee and

potential award fee, the Government may withhold further payment of

the base fee and award fee until a reserve is set aside in an amount

that the Government considers necessary to protect its interest.

This reserve shall not exceed 15 percent of the total base fee and

potential award fee or $100,000, whichever is less.

part, the amount of award fee available shall represent a prorata

distribution associated with evaluation period activities or events

as determined by the Government.

(d) The Government will promptly make payment of any award fee

upon the submission by the contractor to the contracting officer's

authorized representative, of a public voucher or invoice in the

amount of the total fee earned for the period evaluated. Payment may

be made without using a contract modification.

(End of clause)

1252.216-74 Settlement of letter contract.

As prescribed in (TAR) 48 CFR 1216.603-4, insert the following

clause:

Settlement of Letter Contract (Jan 1994)

(a) This contract constitutes the definitive contract

contemplated by issuance of letter contract ____________ (insert

number) dated ____________ (insert effective date). It supersedes

the letter contract and its modification number(s) ____________

(insert number(s)) and, to the extent of any inconsistencies,

governs.

(b) The cost(s) and fee(s), or price(s), established in this

definitive contract represents full and complete settlement of

letter contract ____________ (insert number(s) and modification

number(s) ____________ (insert number(s)). Payment of the agreed

upon fee or profit withheld pending definitization of the letter

contract, may commence immediately at the rate and times stated

within this contract.

(End of clause)

1252.217-71 Delivery and shifting of vessel.

As prescribed at (TAR) 48 CFR 1217.7000 (b) and (c), insert the

following clause:

Delivery and Shifting of Vessel (Jan 1994)

The Government shall deliver the vessel to the Contractor at his

place of business. Upon completion of the work, the Government shall

accept delivery of the vessel at the Contractor's place of business.

The Contractor shall provide, at no additional charge, upon 24

hours' advance notice, a tug or tugs and docking pilot, acceptable

to the Contracting Officer, to assist in handling the vessel between

(to and from) the Contractor's plant and the nearest point in a

waterway regularly navigated by vessels of equal or greater draft

and length. While the vessel is in the hands of the Contractor, any

necessary towage, cartage, or other transportation between ship and

shop or elsewhere, which may be incident to the work herein

specified, shall be furnished by the Contractor without additional

charge to the Government.

(End of clause)

1252.217-72 Performance.

As prescribed at (TAR) 48 CFR 1217.7000 (b) and (c), insert the

following clause:

Performance (Jan 1994)

(a) Upon the award of the contract, the Contractor shall

promptly start the work specified and shall diligently prosecute the

work to completion. The Contractor shall not start work until the

contract has been awarded except in the case of emergency work

ordered by the Contracting Officer.

(b) The Government shall deliver the vessel described in the

contract at the time and location specified in the contract. Upon

completion of the work, the Government shall accept delivery of the

vessel at the time and location specified in the contract.

(1) Make available to personnel of the vessel while in dry dock

or on a marine railway, sanitary lavatory and similar facilities at

the plant acceptable to the Contracting Officer;

(2) Supply and maintain suitable brows and gangways from the

pier, dry dock, or marine railway to the vessel;

(3) Treat salvage, scrap or other ship's material of the

Government resulting from performance of the work as items of

Government-furnished property, in accordance with the Government

Property (Fixed Price Contracts) clause;

(4) Perform, or pay the cost of, any repair, reconditioning or

replacement made necessary as the result of the use by the

Contractor of any of the vessel's machinery, equipment or fittings,

including, but not limited to, winches, pumps, rigging, or pipe

lines; and

(5) Furnish suitable offices, office equipment and telephones at

or near the site of the work for the Government's use.

(d) The contract will state whether dock and sea trials are

required to determine whether or not the Contractor has

satisfactorily performed the work.

(1) If dock and sea trials are required, the vessel shall be

under the control of the vessel's commander and crew.

(2) The Contractor shall not conduct dock and sea trials not

specified in the contract without advance approval of the

Contracting Officer. Dock and sea trials not specified in the

contract shall be at the Contractor's expense and risk.

(3) The Contractor shall provide and install all fittings and

appliances necessary for dock and sea trials. The Contractor shall

be responsible for care, installation, and removal of instruments

and apparatus furnished by the Government for use in the trials.

(End of clause)

1252.217-73 Inspection and manner of doing work.

As prescribed at (TAR) 48 CFR 1217.7000 (b) and (c), insert the

following clause:

Inspection and Manner of Doing Work (Jan 1994)

(a) The Contractor shall perform work in accordance with the

contract, any drawings and specifications made a part of the job

order, and any change or modification issued under the Changes

clause.

(b)(1) Except as provided in paragraph (b)(2) of this clause,

and unless otherwise specifically provided in the contract, all

operational practices of the Contractor and all workmanship,

material, equipment, and articles used in the performance of work

under this contract shall be in accordance with the best commercial

marine practices and the rules and requirements of the American

Bureau of Shipping, the U.S. Coast Guard, and the Institute of

Electrical and Electronic Engineers, in effect at the time of

Contractor's submission of offer.

(2) When Navy specifications are specified in the contract, the

Contractor shall follow Navy standards of material and workmanship.

The solicitation shall prescribe the Navy standard whenever

applicable.

This text is long and has been trimmed here. Open the source document for the complete record.

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.