Re-issuance of the Department of Transportation Acquisition Regulation, 6506-6542 [05-1506]

Agencies

• Office of the Secretary
• DEPARTMENT OF TRANSPORTATION

[Federal Register Volume 70, Number 24 (Monday, February 7, 2005)]
[Rules and Regulations]
[Pages 6506-6542]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-1506]



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Part II





Department of Transportation





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48 CFR Chapter 12



Re-issuance of the Department of Transportation Acquisition Regulation; 
Interim Final Rule

Federal Register / Vol. 70, No. 24 / Monday, February 7, 2005 / Rules 
and Regulations

[[Page 6506]]


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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

48 CFR Chapter 12

[Docket No. OST-2004-19899]
RIN 2105-AD28


Re-issuance of the Department of Transportation Acquisition 
Regulation

AGENCY: Office of the Secretary, DOT.

ACTION: Interim final rule with request for comments.

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SUMMARY: The Department of Transportation is reissuing the 
Transportation Acquisition Regulation (TAR). This interim final rule 
reflects changes made to implement and/or supplement the Federal 
Acquisition Regulation (FAR). The TAR has been substantially revised to 
update references to obsolete policies, procedures and organizations; 
incorporate electronic links to references such as provisions to the 
FAR, U.S. Codes, the Code of Federal Regulations; and adopt by 
reference Office of Federal Procurement Policy Letters and Executive 
orders. The reissued TAR eliminates coverage that is unnecessary or 
duplicates the FAR or other directives. Only coverage that is suitable 
and necessary will be retained in the regulation. These efforts will 
create a 2004 edition of the TAR that is consistent with the 2001 
edition of the FAR. The 2004 edition of the TAR will replace the 1994 
edition.

DATES: This rule is effective April 8, 2005. Comments should be 
received by March 9, 2005. Late-filed comments will be considered to 
the extent practicable.

ADDRESSES: Comments on this interim final rule should be filed with: 
the Docket Management System, U.S. Department of Transportation, Room 
PL-401, 400 Seventh Street, SW., Washington, DC 20590-0001. Please 
identify the docket number OST-2004-19899 at the beginning of your 
comments. You may also submit comments through the internet to https://
dms.dot.gov. You may review the public docket containing comments to 
these proposed regulations in person in the Dockets Office between 9 
a.m. and 5 p.m., Monday through Friday, except Federal holidays. The 
Dockets Office is on the plaza level of the NASSIF Building at the 
Department of Transportation at the above address. Also, you may review 
comments to the docket on the Internet at https://dms.dot.gov. Search by 
using the last set of digits in the docket number (omitting the ``OST-
2004'').

FOR FURTHER INFORMATION CONTACT: Rita Williams, Office of the Senior 
Procurement Executive, M-60, 400 Seventh Street SW., Washington, DC 
20590, (202) 366-9956.

SUPPLEMENTARY INFORMATION:

A. Background

    The Department of Transportation (DOT) has determined that changes 
to the Transportation Acquisition Regulation (TAR) are necessary to 
implement and align it with the 2001 Federal Acquisition Regulation 
(FAR). DOT conducted a comprehensive review of the 1994 Edition of the 
TAR with the goal of updating obsolete coverage, and implementing new 
internal policies applicable to the DOT acquisition workforce. As a 
result, the TAR Re-write team under the direction of the Senior 
Procurement Executive, has undertaken a complete re-write of the TAR.
    The TAR re-write project was conducted in coordination with all 
Operating Administrations (OAS) of the DOT. OAs participated in the 
development of the new TAR language and devised processes that were 
most efficient and least burdensome to its users.
    All United States Coast Guard (USCG) specific language and 
subsequent clauses were removed from the TAR as a result of the 
transfer of USCG from the DOT to the Department of Homeland Security on 
March 1, 2003. As a result of organizational restructuring within DOT, 
the Federal Motor Carrier Safety Administration (FMSCA) was established 
as an OA and given an appropriate agency code for the purpose of 
assigning contract numbers. The delegations of authority and 
responsibilities for internal acquisition functions have been 
authorized at the lowest reasonable level or allowed by higher level 
regulations or statutes. During the re-write of TAR, care was taken to 
eliminate unnecessary coverage including clauses, forms and obsolete 
DOT notices or orders that no longer exist, and restructured language 
that was misaligned with the FAR coverage. The goal of re-writing the 
TAR was to ensure the regulation would only contain current and 
appropriate coverage for a Department level acquisition regulation, and 
to remove and re-designate any internal agency guidance from the TAR to 
the Transportation Acquisition Manual (TAM). To implement Executive 
Order 13043, the Seat Belt Use Policies and Programs clause was 
established. In addition, implementation of the Federal Information 
Security Management Act of 2002 and the Computer Security Act of 1987 
required the establishment of the Requirements for Unclassified 
Information Technology Resources and revision of the Qualification of 
Contractor Employees clauses respectively.
    Those parts which contain no coverage, and have been reserved are: 
Parts 1208, 1209, 1210, 1212, 1218, 1220, 1221, 1225, 1226, 1229, 1230, 
1234, 1238, 1240, 1241, 1243, 1244, and 1248 through 1251.

B. Regulatory Analysis and Notices

    The Department has determined that this rule is not a significant 
regulatory action, and therefore, was not subject to review under 
Executive Order 12866 or under the Department's Regulatory Policies and 
Procedures. The Department does not believe that there would be 
significant federalism implications to warrant the preparation of a 
federalism assessment.

C. Regulatory Flexibility Act

    The Department certifies that this final rule does not have a 
significant economic impact on a substantial number of small entities 
within the meaning of the Regulatory Flexibility Act, 5 U.S.C. 601, et 
seq., because the rule merely restates previous TAR coverage, deletes 
certification requirements which do not significantly alter the amount 
of information currently required, and makes various editorial 
revisions.
    This proposed rule is not expected to have a significant impact on 
a substantial number of small entities because any additional costs 
associated with the rule can be factored into the contract price and 
there is no distinction on this issue between a large or small 
business. Therefore, an Initial Regulatory Flexibility Analysis has not 
been performed. Comments are solicited from small businesses and other 
interested parties and will be considered in accordance with section 
610 of the Act in the development of the final rule.

D. Paperwork Reduction Act

    The information collection requirements associated with this rule 
have been 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 (TAR);
    Summary: This proposal implements requirements of the Federal 
Acquisition Regulation (FAR), other regulations and

[[Page 6507]]

statutes to solicit, negotiate, award, and administer contracts;
    Use of Information: This information supports the needs of the 
Department of Transportation to evaluate offers, to ensure appropriate 
contract controls are in place, and to minimize conditions conducive to 
fraud, waste, and abuse.
    Burden Estimate: 2,514 hours; Forms: DOT Form 1681 and DOT Form 
4220.43; clauses: 1252.217-76, 1252.237-70 and 73, 1252.242-70 and 72, 
and 1252.245-70.
    Respondents (including number of): The likely respondents to this 
proposed information are contractors and offerors who will respond to 
solicitations or are awarded DOT contracts.
    Frequency: Reports are submitted at different times depending upon 
the need or requirements stipulated in the FAR or TAR.
    Average burden hours per respondent: 7 hours 45 minutes. Comments 
on the proposed information collection requirement should be sent to 
the DOT rulemaking.
    The agency is soliciting comments to--
    (1) evaluate whether the proposed information requirements are 
necessary;
    (2) evaluate the accuracy of the Agency's estimate of the burden;
    (3) enhance the quality, utility, and clarity of the information to 
be collected; and
    (4) minimize the burden of the collection of information on those 
who are to respond, including through the use of appropriate automated, 
electronic, mechanical, or other technological collection techniques or 
other forms of information technology.
    Individuals and organizations may submit comments on the 
information collection requirement by directing them to the address 
listed in the ADDRESSES section of the document. Comments may also be 
submitted to the Office of Information and Regulatory Affairs, OMB, New 
Executive Building, Room 10202, 725 17th Street, NW., Washington, DC 
20053. Attention: Desk Officer for the Department of Transportation.

E. Justification for Interim Final Rule

    This rulemaking pertains exclusively to procedures concerning 
public contracts. Consequently, the requirements of the Administrative 
Procedure Act for notice and an opportunity for public comment prior to 
issuing a final rule do not apply. Under 5 U.S.C. Sec.  553(a)(2), 
matters relating to, among other things, public contracts are not 
subject to notice and comment requirements. For this reason, the 
Department has not issued a notice of proposed rulemaking for this 
final rule. However, consistent with the Department's Regulatory 
Policies and Procedures, the Department is providing an opportunity for 
public comment before the final rule goes into effect.

List of Subjects in 48 CFR Chapter 12

    Government procurement.

    This rule is issued this 13th day of January, 2005, at 
Washington, DC, under the delegated authority of the Senior 
Procurement Executive pursuant to 49 CFR 1.59a (a)(1).
David J. Litman,
Senior Procurement Executive.


0
For the reasons set out in the preamble, 48 CFR chapter 12 is revised 
to read as follows:

CHAPTER 12--DEPARTMENT OF TRANSPORTATION

SUBCHAPTER A--GENERAL

Part

1201 Federal Acquisition Regulation System
1202 Definitions of words and terms
1203 Improper business practices and personal conflicts of interest
1204 Administrative matters

SUBCHAPTER B--ACQUISITION PLANNING

1205 Publicizing contract actions
1206 Competition requirements
1207 Acquisition planning
1208 [Reserved]
1209 [Reserved]
1210 [Reserved]
1211 Describing agency needs
1212 [Reserved]

SUBCHAPTER C--CONTRACTING METHODS AND CONTRACT TYPES

1213 Simplified acquisition procedures
1214 Sealed bidding
1215 Contracting by negotiation
1216 Types of contracts
1217 Special contracting methods
1218 [Reserved]

SUBCHAPTER D--SOCIOECONOMIC PROGRAMS

1219 Small business programs
1220 [Reserved]
1221 [Reserved]
1222 Application of labor laws to government acquisitions
1223 Environment, energy and water efficiency, renewable energy 
technologies, occupational safety, and drug-free workplace
1224 Protection of privacy and freedom of information
1225 [Reserved]
1226 [Reserved]

SUBCHAPTER E--GENERAL CONTRACTING REQUIREMENTS

1227 Patents, data and copyrights
1228 Bonds and insurance
1229 [Reserved]
1230 [Reserved]
1231 Contract cost principles and procedures
1232 Contract financing
1233 Protests, disputes and appeals

SUBCHAPTER F--SPECIAL CATEGORIES OF CONTRACTING

1234 [Reserved]
1235 Research and development contracting
1236 Construction and architect-engineer contracts
1237 Service contracting
1238 [Reserved]
1239 Acquisition of information technology
1240 [Reserved]
1241 [Reserved]

SUBCHAPTER G--CONTRACT MANAGEMENT

1242 Contract administration and audit services
1243 [Reserved]
1244 [Reserved]
1245 Government property
1246 Quality assurance
1247 Transportation
1248 [Reserved]
1249 [Reserved]
1250 [Reserved]
1251 [Reserved]

SUBCHAPTER H--CLAUSES AND FORMS

1252 Solicitations provisions and contract clauses
1253 Forms

PART 1201--FEDERAL ACQUISITION REGULATIONS SYSTEM

Subpart 1201.1--Purpose, Authority, Issuance
Sec.
1201.101 Purpose.
1201.104 Applicability.
1201.105 Issuance.
1201.105-1 Publication and code arrangement.
1201.105-2 Arrangement of regulations.
1201.105-3 Copies.
1201.106 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 1201.4-70--Deviations From the FAR and TAR

1201.403 Individual deviations. 1201.105
1201.404 Class deviations.

[[Page 6508]]

Subpart 1201.6--Career Development, 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. 418b; (FAR) 48 CFR 1.3.
    Appendix to Part 1252-TAR Matrix

Subpart 1201.1--Purpose, Authority, Issuance


1201.101  Purpose.

    The Department of Transportation (DOT) Acquisition Regulation (TAR) 
establishes uniform acquisition policies and procedures, which 
implement and supplement the Federal Acquisition Regulation (FAR).


1201.104  Applicability.

    (a) Statute, the (FAR) Title 48, Code of Federal Regulations (CFR) 
chapter 1, and (TAR) 48 CFR chapter 12 apply to all acquisitions within 
the Department unless otherwise excluded by statute, the (FAR) 48 CFR 
chapter 1, or (TAR) 48 CFR chapter 12.
    (b) The following order of precedence applies to resolve any 
question of applicability concerning an acquisition regulation or a 
procedure found within (TAR) 48 CFR chapter 12 or the Transportation 
Acquisition Manual (TAM):
    (1) Statute;
    (2) (FAR) 48 CFR chapter 1 or other applicable regulation;
    (3) (TAR) 48 CFR chapter 12;
    (4) DOT Orders; and
    (5) TAM.
    (c) The Maritime Administration may depart from the requirements of 
the (FAR) 48 CFR chapter 1 and (TAR) 48 CFR chapter 12 as authorized by 
40 U.S.C. 113(e)(15) but shall adhere to those regulations to the 
maximum extent practicable. Exceptions from the requirements of the 
(FAR) 48 CFR chapter 1 and/or (TAR) 48 CFR chapter 12 shall be 
documented according to Maritime Administration procedures or in each 
contract file, as appropriate.
    (d) The (FAR) 48 CFR chapter 1, (TAR) 48 CFR chapter 12 and TAM do 
not apply to the Federal Aviation Administration as provided by the 
Department of Transportation and Related Agencies Appropriations Act, 
1996, Public Law 104-50, unless otherwise directed by the Office of the 
Secretary of Transportation.


1201.105  Issuance.


1201.105-1  Publication and code arrangement.

    (a) The (TAR) 48 CFR chapter 12 is published in:
    (1) The Federal Register; and
    (2) Cumulative form in the CFR.
    (b) The TAR is issued as chapter 12 of Title 48 of the CFR.


1201.105-2  Arrangement of regulations.

    (a) General. The (TAR) 48 CFR chapter 12, which encompasses both 
Department and Operating Administration (OA)-specific guidance (see 
(TAR) 48 CFR 1201.3), conforms with the arrangement and numbering 
system prescribed by (FAR) 48 CFR 1.104. Guidance that is OA-specific 
contains the OA's acronym directly after the heading. The following 
acronyms apply:

FHWA--Federal Highway Administration
FMCSA--Federal Motor Carrier Safety 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

    (b) Numbering. (1) Departmentwide guidance. (i) The numbering 
illustrations at (FAR) 48 CFR 1.105-2 apply to (TAR) 48 CFR chapter 12.
    (ii) Coverage within (TAR) 48 CFR chapter 12 is identified by the 
prefix ``12'' followed by the complete (FAR) 48 CFR chapter 1 cite. For 
example, (TAR) 48 CFR 1201.201-1(b)).
    (iii) Coverage in (TAR) 48 CFR chapter 12 that supplements (FAR) 48 
CFR chapter 1 will use part, subpart, section and subsection numbers 
ending in ``70'' through ``89'' (e.g., (TAR) 48 CFR 1201.301-70). A 
series of numbers beginning with ``70'' is used for provisions and 
clauses.
    (iv) Coverage in (TAR) 48 CFR chapter 12, other than that 
identified with a ``70'' or higher number, that implements the (FAR) 48 
CFR chapter 1 uses the identical number sequence and caption of the 
(FAR) 48 CFR chapter 1 segment being implemented, which may be to the 
paragraph level. Paragraph numbers and letters are not always shown 
sequentially, but may be shown by the specific FAR paragraph 
implemented. For example, (TAR) 48 CFR 1201.201-1 contains only 
paragraph (b) because only this paragraph, correlated with FAR, 
implements (TAR) 48 CFR chapter 12.
    (2) Operating Administration-unique guidance. Supplementary 
material for which there is no counterpart in (FAR) 48 CFR chapter 1 or 
(TAR) 48 CFR chapter 12 shall be identified using chapter, part, 
subpart, section, or subsection numbers of ``90'' and higher.
    (c) References and citations. (TAR) 48 CFR chapter 12 may be 
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 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 referenced by the numbered cite 
only.


1201.105-3  Copies.

    (a) Copies of the TAR in Federal Register, and CFR form may be 
purchased from the Superintendent of Documents, Government Printing 
Office, Washington, DC 20402. The electronic version of the Federal 
Register may be found at https://www.nara.gov and the CFR at https://
www.gpoaccess.gov.
    (b) The (TAR) 48 CFR chapter 12 and Transportation Acquisition 
Circulars (TACs) are available on the Internet at https://www.dot.gov/
ost/m60.


1201.106  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).
    (b) Data collection under proposed contracts. Under the regulations 
implementing the requirements of the Paperwork Reduction Act (5 CFR 
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 requiring this level of 
information collection may be released prior to OMB approval provided 
that:
    (1) A statement is included in the solicitation to the effect that 
the contract will not be awarded 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

[[Page 6509]]

Civilian Agency Acquisition Council (CAAC).

Subpart 1201.3--Agency Acquisition Regulations


1201.301  Policy.

    (a)(1) Acquisition regulations. (i) Departmentwide acquisition 
regulations. The Department of Transportation's (DOT's) Senior 
Procurement Executive (SPE) is the individual having authority to issue 
or authorize the issuance of agency regulations that implement or 
supplement the FAR and to include agency-unique policies, etc. that 
govern the contracting process. This authority was re-delegated from 
the Assistant Secretary for Administration.
    (ii) Operating Administration (OA) acquisition regulations. OA 
acquisition regulations, and any changes thereto, shall be reviewed and 
approved by the Senior Procurement Executive (SPE) for insertion into 
the (TAR) 48 CFR chapter 12 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. OA regulations may be 
more restrictive or require higher approval levels than those permitted 
by (TAR) 48 CFR chapter 12 unless otherwise specified.
    (2) Acquisition procedures. The SPE is the individual who issues or 
authorizes the issuance of internal agency guidance at any 
organizational level. DOT internal operating procedures are contained 
in the Transportation Acquisition Manual (TAM). OA procedures necessary 
to implement or supplement the (FAR) 48 CFR chapter 1, (TAR) 48 CFR 
chapter 12, or TAM may be issued by the Head of the Contracting Agency 
(HCA), who may delegate this authority to any organizational level 
deemed appropriate. OA procedures may be more restrictive or require 
higher approval levels than those permitted by the TAM unless otherwise 
specified.
    (b) The authority of the agency head under (FAR) 48 CFR 1.301(b) to 
establish procedures to ensure that agency acquisition regulations are 
published for comment in the Federal Register in conformance with the 
procedures in FAR Subpart 1.5 is delegated to the Office of the General 
Counsel, Assistant General Counsel for Regulation and Enforcement (C-
50).


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

    (a) Changes to the regulation may be the result of recommendations 
from internal DOT personnel, other Government agencies, or the public. 
Changes shall be submitted in the following format to the Office of the 
Senior Procurement Executive (OSPE), 400 7th Street, SW., Washington, 
DC 20590:
    (1) Problem: Succinctly state the problems created by current (TAR) 
48 CFR chapter 12 language and describe the factual or legal reasons 
necessitating regulatory change.
    (2) Recommendation: Identify the recommended change by using the 
current language (if applicable), and crossing out the deleted words 
with a horizontal line. Insert 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 it will 
solve the problem. Address any cost or administrative impact on 
Government activities, offerors, and contractors. Provide any other 
information and documents such as statutes, legal decisions, 
regulations, reports, etc., that may be helpful.
    (4) Point of contact: Provide a point of contact who can answer 
questions regarding the recommendation.
    (b) The (TAR) 48 CFR chapter 12 is maintained by the SPE through 
the TAR/TAM change process. This process consists of input from various 
DOT elements including representatives from DOT OAs specifically 
designated to formulate Departmental acquisition policies and 
procedures.
    (1) Transportation Acquisition Circular (TAC). TACs (see (TAR) 48 
CFR 1201.301-72) will be used to amend (TAR) 48 CFR chapter 12.
    (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 quickly promulgate selected material in a general or 
narrative manner, in advance of a TAC issuance;
    (B) To disseminate other acquisition related information; or
    (C) To issue guidance which may be effective for a period of 1 year 
or less.
    (ii) Each TN will expire by a specific 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, 
solicitations in process or completed negotiations when the TAC or TN 
is received, new information such as forms and clauses, need not be 
included if the chief of the contracting office determines that it 
would not be in the best interest of the Government to include the new 
information.


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 04-01 and 04-02 indicate the first two TNs 
issued in fiscal year 2004).


1201.304  Agency control and compliance procedures.

    (a) DOT shall control the proliferation of acquisition regulations 
and any revisions thereto (except as noted in paragraph (b) of this 
section) by using an internal (TAR) 48 CFR chapter 12 change process 
that involves input from many DOT elements including OA representatives 
on the Procurement Management Council. The OA member shall represent 
their OA's viewpoint along with Departmentwide considerations in 
reaching a decision on (TAR) 48 CFR chapter 12 changes.
    (b) OA-unique regulations will not be processed through the TAR/TAM 
change process, but shall be reviewed by OA legal counsel and submitted 
to the OSPE for review and approval. (See (TAR) 48 CFR 1252.101 for 
additional instructions pertaining to provisions and clauses.)

Subpart 1201.4-70--Deviations From the FAR and TAR


1201.403  Individual deviations.

    The Head of the Contracting Activity, or designee with a rank that 
is no lower than that of Senior Executive Service (SES) official or 
that of a Flag Officer, may authorize individual deviations (unless 
(FAR) 48 CFR 1.405(e) applies). However, see TAM 1201.403.


1201.404  Class deviations.

    The SPE may grant in writing class deviations from the (FAR) 48 CFR 
chapter 1 and (TAR) 48 CFR chapter 12, unless (FAR) 48 CFR 1.405(e) 
applies.

[[Page 6510]]

Subpart 1201.6--Career Development, Contracting Authority and 
Responsibilities


1201.602-3  Ratification of unauthorized commitments.

    (b) Policy. DOT policy requires that all procurement decisions 
shall be made only by Government officials having authority to carry 
out such acquisitions. Procurement decisions 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. Disciplinary action against an 
employee who makes an unauthorized commitment may be considered.


1201.603-1  General.

    Each DOT OA is responsible for appointing its contracting officers.

PART 1202--DEFINITIONS OF WORDS AND TERMS

Subpart 1202.1--Definitions
Sec.
1202.1 Definitions.
Subpart 1202.70--Internet Links
1202.7000 General.

    Authority: 5 U.S.C. 301; 41 U.S.C. 418b; (FAR) 48 CFR 1.3.

Subpart 1202.1--Definitions


1202.1  Definitions.

    Agency, Federal agency or Executive agency means the Department of 
Transportation.
    Chief Information Officer means the Director of the Office of the 
Chief Information Officer (CIO) (S-80).
    Chief of the Contracting Office (COCO) means the individual(s) 
responsible for managing the contracting office(s) within an Operating 
Administration.
    Contracting activity includes all the contracting offices within an 
Operating Administration and is the same as the term ``procuring 
activity.''
    Contracting officer (CO) means an individual authorized by virtue 
of their position or by appointment to perform the functions assigned 
by the Federal Acquisition Regulation (FAR), the Transportation 
Acquisition Regulation (TAR) and Transportation Acquisition Manual 
(TAM).
    Department of Transportation means all of the Operating 
Administrations included within the Department of Transportation (DOT).
    Head of the agency or agency head for Departmental procurement 
means the Deputy Secretary except for acquisition actions that, by the 
terms of a statute or delegation, must be done specifically by the 
Secretary of Transportation.
    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 and is the same as the term ``Head of the Procuring 
Activity.''
    Head of the Operating Administration (HOA) means the individual 
appointed by the President to manage the operating administration.
    Operating Administration (OA) means the following components of 
DOT:
    (1) Federal Aviation Administration (FAA); (FAA is exempt from FAR, 
TAR and TAM pursuant to the Department of Transportation and Related 
Agencies Appropriations Act, 1996, Public Law 104-50;
    (2) Federal Highway Administration (FHWA);
    (3) Federal Motor Carrier Safety Administration (FMCSA);
    (4) Federal Railroad Administration (FRA);
    (5) Federal Transit Administration (FTA);
    (6) Maritime Administration (MARAD);
    (7) National Highway Traffic Safety Administration (NHTSA);
    (8) Office of the Secretary of Transportation (OST);
    (9) Research and Special Programs Administration (RSPA);
    (10) Saint Lawrence Seaway Development Corporation (SLSDC).
    Senior Procurement Executive (SPE) means the Director of the Office 
of the Senior Procurement Executive (M-60).
    Small Business Specialist (SBS) means the individual appointed by 
each HCA to assist the Director, Office of the Small and Disadvantaged 
Business Utilization in carrying out the purpose of the Small Business 
Act.

Subpart 1202.70--Internet Links


1202.7000  General.

    Most documents cited throughout (TAR) 48 CFR chapter 12, can be 
found on the internet. (TAR) 48 CFR chapter 12 will cite the 
corresponding internet address.

PART 1203--IMPROPER BUSINESS PRACTICES AND PERSONAL CONFLICTS OF 
INTEREST

Subpart 1203.1--Safeguards
Sec.
1203.101-3 Agency regulations.
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.
1203.303 Reporting suspected antitrust violations.
Subpart 1203.4--Contingent Fees
1203.405 Misrepresentations or violations of the Covenant Against 
Contingent Fees.
Subpart 1203.5--Other Improper Business Practices
1203.502 Subcontractor kickbacks.
1203.502-2 Subcontractor kickbacks.

    Authority: 5 U.S.C. 301; 41 U.S.C. 418b; (FAR) 48 CFR 1.3.

Subpart 1203.1--Safeguards


1203.101-3  Agency regulations.

    (b) 5 CFR part 2635, Standards of Ethical Conduct for Employees of 
the Executive Branch, takes precedence over the DOT regulation at 49 
CFR part 99.

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.
    (c) The COCO shall report suspected violations to the Office of the 
Inspector General (OIG) (J-1), 400 7th Street, SW., Washington, DC 
20590, with a copy to General Counsel (C-1) and the OA's Chief Counsel.


1203.204  Treatment of violations.

    (a) The HCA is authorized to determine whether a Gratuities clause 
violation has occurred. If the HCA has been personally and 
substantially involved in the procurement,

[[Page 6511]]

Government legal counsel advice should be sought to determine if a 
substitute for the HCA should be designated.
    (b) The COCO shall ensure that the contractor is afforded the 
hearing procedures required by (FAR) 48 CFR 3.204(b). Government legal 
counsel should be consulted regarding the appropriateness of the 
hearing procedures.
    (c) If the HCA determines that the alleged gratuities violation 
occurred during the ``conduct of an agency procurement'' the COCO shall 
consult with Government legal counsel regarding the approach for 
appropriate processing of either the Procurement Integrity Act 
violation and/or the Gratuities violation.

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 reports of 
suspected antitrust violations shall be coordinated with legal counsel 
for referral to the Department of Justice, if deemed appropriate.


1203.303  Reporting suspected antitrust violations.

    (b) The same procedures contained in (TAR) 48 CFR 1203.203 shall 
also be followed for suspected antitrust violations, except reports of 
suspected antitrust violations shall be coordinated with legal counsel 
for referral to the Department of Justice, if deemed appropriate.

Subpart 1203.4--Contingent Fees


1203.405  Misrepresentations or violations of the Covenant Against 
Contingent Fees.

    (a) and (b)(4) The same procedures contained in (TAR) 48 CFR 
1203.203 shall also be followed for misrepresentation or violations of 
the covenant against contingent fees, except reports of 
misrepresentation or violations of the covenant against contingent fees 
shall be coordinated with legal counsel for referral to the Department 
of Justice, if deemed appropriate.

Subpart 1203.5--Other Improper Business Practices


1203.502  Subcontractor kickbacks.


1203.502-2  Subcontractor kickbacks.

    (g) The same procedures contained in (TAR) 48 CFR 1203.203 shall 
also be followed for subcontractor kickbacks.

PART 1204--ADMINISTRATIVE MATTERS

Subpart 1204.1--Contract Execution
Sec.
1204.103 Contract clause.
Subpart 1204.8--Government Contract Files
1204.804-5 Procedures for closing out contract.
1204.804-570 Supporting closeout documents.

    Authority: 5 U.S.C. 301; 41 U.S.C. 418b; (FAR) 48 CFR 1.3.

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 and contracts when approval to award the resulting 
contract must be obtained from an official at a level above the 
contracting officer.

Subpart 1204.8--Government Contract Files


1204.804-5  Procedures for closing out contract files.


1204.804-570  Supporting closeout documents.

    (a) When applicable (see paragraphs (a)(1) through (4) of this 
section) and prior to contract closeout, 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, see (FAR) 48 CFR 
52.216-7;
    (2) Form DOT F 4220.45, Contractor's Assignment of Refunds, 
Rebates, Credits and Other Amounts, (FAR) 48 CFR 52.216-7;
    (3) Form DOT F 4220.46, Cumulative Claim and Reconciliation 
Statement, see (FAR) 48 CFR 4.804-5(a)(13); and
    (4) DD Form 882, Report of Inventions and Subcontracts https://
www.dior.whs.mil/forms/DD0882.PDF, see (FAR) 48 CFR 52.227-14.
    (b) The forms listed in paragraph (a) of this section 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
Sec.
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. 418b; (FAR) 48 CFR 1.3.

Subpart 1205.1--Dissemination Of Information


1205.101  Methods of disseminating information.

    (b) The DOT Office of Small and Disadvantaged Business Utilization 
(S-40), 400 7th Street, SW., Washington, DC 20590 publishes a 
Procurement Forecast of planned procurements each fiscal year on their 
Web site at: https://osdbuweb.dot.gov/business/procurement/
forecast.html.

Subpart 1205.4--Release of Information


1205.402  General public.

    (a) Upon request, DOT will furnish the general public with the 
following information on proposed contracts and contract awards:
    (1) 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;
    (2) 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, if any;
    (3) After the opening of sealed bids, names of firms which 
submitted bids; and
    (4) After contract award, the names of firms which submitted 
proposals.
    (b) Requests for other specific information shall be processed in 
accordance with the DOT Freedom of Information Act rules and 
regulations ((TAR) 48 CFR 1224.203).

PART 1206--COMPETITION REQUIREMENTS

Subpart 1206.5--Competition Advocates

Sec.
1206.501 Requirement.

    Authority: 5 U.S.C. 301; 41 U.S.C. 418b; (FAR) 48 CFR 1.3.

Subpart 1206.5--Competition Advocates


1206.501  Requirement.

    The DOT Senior Competition Advocate (SCA) is the Deputy Assistant 
Secretary for Administration.

PART 1207--ACQUISITION PLANNING

Subpart 1207.3--Contractor Versus Government Performance
Sec.

[[Page 6512]]

1207.302 General.
1207.305 Solicitation provisions and contract clause.

    Authority: 5 U.S.C. 301; 41 U.S.C. 418b; (FAR) 48 CFR 1.3.

Subpart 1207.3--Contractor Versus Government Performance


1207.302  General.

    DOT follows OMB Circular A-76, Performance of Commercial 
Activities, and (FAR) 48 CFR 7.3 when cost comparisons between 
Government and contractor performance are conducted.


1207.305  Solicitation provisions and contract clause.

    The contracting officer may insert clause (TAR) 48 CFR 1252.237-73, 
Key Personnel, in solicitations and contracts when the acquisition is 
conducted pursuant to OMB Circular A-76 and meets the clause 
prescription requirements at (TAR) 48 CFR 1237.110(b).

PART 1211--DESCRIBING AGENCY NEEDS

Subpart 1211.1--Selecting and Developing Requirements Documents
Sec.
1211.101 Order of precedence for requirements documents.
Subpart 1211.2--Using and Maintaining Requirements Documents
1211.204-70 Solicitation provisions and contract clauses.

    Authority: 5 U.S.C. 301; 41 U.S.C. 418b; (FAR) 48 CFR 1.3.

Subpart 1211.1--Selecting and Developing Requirements Documents


1211.101  Order of precedence for requirements documents.

    Safeguards to ensure safety, security (including sensitive 
information and information technology security) and environmental 
protection shall be included, as applicable, in requirements documents.

Subpart 1211.2--Using and Maintaining Requirements Documents


1211.204-70  Solicitation provisions and contract clauses.

    The contracting officer shall insert the clause at (TAR) 48 CFR 
1252.211-70, Index for Specifications, when an index or table of 
contents may be furnished with the specification.

PART 1213--SIMPLIFIED ACQUISITION PROCEDURES

Subpart 1213.71--Department of Transportation Procedures for Acquiring 
Training Services
Sec.
1213.7100 Applicability.
1213.7101 Solicitation provision and contract clause.

    Authority: 5 U.S.C. 301; 41 U.S.C. 418b; (FAR) 48 CFR 1.3.

Subpart 1213.71--Department of Transportation Procedures for 
Acquiring Training Services


1213.7100  Applicability.

    (a) DOT policy at (TAR) 48 CFR 1237.7000 also applies to the 
Standard Form (SF) 182, Request, Authorization, Agreement and 
Certification of Training, which may be used to acquire training 
services; however, the policy does not apply to training services 
acquired by the Government purchase/credit card. The Government 
purchase/credit card can only be used to acquire training services 
valued at $2,500 or less.
    (b) As reflected in (TAR) 48 CFR 1237.7002, this policy does not 
apply to training attended by DOT employees which is scheduled and 
conducted by Government sources of supply, educational institutions, or 
private entities where DOT does not control or sponsor the training. 
Examples of when the policy does and does not apply include:
    (1) When SF 182s are issued for three DOT employees to attend a one 
week course at a university or other private entity, the policy does 
not apply. DOT does not control this course because the university or 
private entity has a contract in place with the training provider and 
DOT is placing an order under an existing contract; and
    (2) When DOT awards a contract to a university or other private 
entity to provide training for DOT and/or other Government personnel, 
the policy applies. DOT controls this course; therefore, no soliciting 
or advertising of private non-Government training while conducting the 
contracted-for training is permitted.


1213.7101  Solicitation provision and contract clause.

    (a) Contracting officers shall insert the provision at (TAR) 48 CFR 
1252.237-71, Certification of Data, in all solicitations and requests 
for quotations, and the clause at (TAR) 48 CFR 1252.237-72, Prohibition 
on Advertising, in solicitations, requests for quotations, and all 
contracts (e.g., purchase orders, SF 182s) for training services when 
the content and/or presentation of the training is controlled by DOT. 
(Notice: The Secretary of Transportation has determined that the 
certification required by (TAR) 48 CFR 1252.237-71 shall be retained in 
accordance with Section 4301(b)(1)(B)(i)(II) of the Federal Acquisition 
Reform Act (Public Law 104-106, 41 U.S.C. 425, note) and DOT Memorandum 
dated July 17, 1996.)
    (b) Contracting officers shall incorporate the successful offeror's 
certified data into any resultant contract(s). Certified data may be 
adopted by reference, if the contracting officer determines it contains 
information sufficient to reliably describe the certified data 
submitted. For example, this type of information includes dated 
material such as resumes and company or personnel qualifications.

PART 1214--SEALED BIDDING

Subpart 1214.3--Submission of Bids
Sec.
1214.302 Bid submission.

    Authority: 5 U.S.C. 301; 41 U.S.C. 418b; (FAR) 48 CFR 1.3.

Subpart 1214.3--Submission of Bids


1214.302  Bid submission.

    (b)(1) 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.

PART 1215--CONTRACTING BY NEGOTIATION

Subpart 1215.2--Solicitation and Receipt of Proposals and Information
Sec.
1215.207 Handling proposals and information.
Subpart 1215.4--Contract Pricing
1215.404 Proposal analysis.
1215.404-470 Payment of profit or fee.
Subpart 1215.6--Unsolicited Proposals
1215.602 Policy.
1215.603 General.
1215.604 Agency points of contact.
1215.606 Agency procedures.
1215.606-1 Receipt and initial review.
1215.606-2 Evaluation.

    Authority: 5 U.S.C. 301; 41 U.S.C. 418b; (FAR) 48 CFR 1.3.

Subpart 1215.2--Solicitation and Receipt of Proposals and 
Information


1215.207  Handling proposals and information.

    (a) Offeror's proposals and information received in response to a

[[Page 6513]]

request for information shall be marked as required by TAM 1203.104-4, 
as applicable.
    (b) Proposals may be released outside the Government whenever it is 
the only means of receiving the most competent technical and/or 
management evaluation available.

Subpart 1215.4--Contract Pricing


1215.404  Proposal analysis.


1215.404-470  Payment of profit or fee.

    The contracting officer shall not pay profit or fee on 
undefinitized contracts or undefinitized contract modifications. Any 
profit or fee earned shall be paid after the contract or modification 
is definitized.

Subpart 1215.6--Unsolicited Proposals


1215.602  Policy.

    DOT's policy encourages submission of new and innovative ideas that 
will support DOT's mission. Through the various Operating 
Administrations (OAs), DOT is responsible for transportation safety 
improvements, international transportation agreements and the 
continuity of transportation services in the public interest.


1215.603  General.

    DOT will accept unsolicited proposals from any entity for review 
and consideration. However, DOT will not pay any costs associated with 
the preparation of these proposals. Proposals that do not meet the 
definition and applicable content and marking requirements of (FAR) 48 
CFR 15.6 will not be considered under any circumstances and will be 
returned to the submitter.


1215.604  Agency points of contact.

    (a) The DOT does not have a centralized location to receive 
unsolicited proposals. The type of effort submitted in the proposal 
determines which DOT OA should receive and evaluate the proposal.
    (b) Unsolicited proposals should be submitted to the responsible OA 
contracting office for appropriate handling. Specific information 
concerning the mission of each DOT OA is available on the worldwide web 
at https://www.dot.gov. Prospective contractors are urged to contact 
these contracting/procurement offices prior to submitting a proposal to 
ensure that the unsolicited proposal reaches the correct contracting 
office for action. This action will reduce unnecessary paperwork and 
wasted time for both the Government and the prospective contractors.


1215.606  Agency procedures.

    (a) The Chief of the Contracting Office is responsible for 
establishing procedures for controlling unsolicited proposals received 
in the contracting office. Within ten working days after receipt of an 
unsolicited proposal, the contracting office shall review the proposal 
and determine whether the proposal meets the content and marking 
requirements of (FAR) 48 CFR 15.6. If the proposal does not meet these 
requirements, it shall be returned to the submitter giving the reasons 
for noncompliance.
    (b) The OA contracting office is the designated point of contact 
for receipt and handling of unsolicited proposals. Persons within DOT 
who receive unsolicited proposals, such as technical personnel, shall 
forward the document to their responsible contracting office.


1215.606-1  Receipt and initial review.

    (a) The agency contact point must make an initial review 
determination within seven calendar days after receiving a proposal.
    (b) If the proposal meets the requirements at (FAR) 48 CFR 15.606-
1(a), the agency contact point must acknowledge receipt within three 
calendar days after making the initial review determination and advise 
the offeror of the general timeframe for completing the evaluation.
    (c) If the proposal does not meet the requirements of (FAR) 48 CFR 
15.606-1(a), the agency contact point must return the proposal within 
three calendar days after making the determination. The agency point of 
contact must inform the offeror, in writing, of the reasons for 
returning the proposal.


1215.606-2  Evaluation.

    (a) Comprehensive evaluations should be completed within sixty 
calendar days after making the initial review determination. If 
additional time is needed, then the agency contact point shall advise 
the offeror accordingly and provide a new evaluation completion date. 
The evaluating office must neither reproduce nor disseminate the 
proposal to other offices without the consent of the contracting office 
from which the proposal was received for evaluation. If additional 
information from the offeror is required by the evaluating office, the 
evaluator must convey this request to the responsible contracting 
office. The evaluator shall not directly contact the proposal 
originator.
    (b) If the evaluator recommends acceptance of the proposal, the 
responsible contracting officer shall ensure compliance with all of the 
requirements of (FAR) 48 CFR 15.607.

PART 1216--TYPES OF CONTRACTS

Subpart 1216.2--Fixed-Price Contracts
Sec.
1216.203 Fixed-price contracts with economic price adjustment.
1216.203-4 Contract clauses.
1216.203-470 Solicitation provision.
Subpart 1216.4--Incentive Contracts
1216.406-70 DOT contract clauses.
Subpart 1216.5--Indefinite-Delivery Contracts
1216.505 Ordering.
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. 418b; (FAR) 48 CFR 1.3.

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


1216.406-70  DOT contract clauses.

    (a) As authorized by (FAR) 48 CFR 16-406(e), 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.
    (c) The contracting officer shall insert the clause at (TAR) 48 CFR 
1252.216-73, Distribution of Award Fee, in all cost-plus-award-fee 
solicitations and contracts.

Subpart 1216.5--Indefinite-Delivery Contracts


1216.505  Ordering.

    (b)(5) Unless otherwise designated by the Head of the Operating 
Administration, the Competition Advocate for the Operating 
Administration (OA) is designated as the OA Task and Delivery Order 
Ombudsman. If any corrective action is needed after reviewing 
complaints from

[[Page 6514]]

contractors on task and delivery order contracts, the OA Ombudsman 
shall provide a written determination of such action to the contracting 
officer. Issues that cannot be resolved within the OA, shall be 
forwarded to the DOT Task and Delivery Order Ombudsman for review and 
resolution. The DOT Task and Delivery Order Ombudsman is located in the 
Office of the Senior Procurement Executive.

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


1216.603  Letter contracts.


1216.603-4  Contract clauses.

    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 1217.70--Fixed Price Contracts for Vessel Repair, Alteration or 
Conversion
Sec.
1217.7000 Definition.
1217.7001 Clauses.

    Authority: 5 U.S.C. 301; 41 U.S.C. 418b; (FAR) 48 CFR 1.3.

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


1217.7000  Definition.

    Lay Days means the time allowed to the master of a vessel for 
loading and unloading the same.


1217.7001  Clauses.

    (a) The clause at (TAR) 48 CFR 1252.217-70, Guarantee, shall be 
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 1252.217-70, Guarantee, is 60 
days. In certain instances, it may be advisable for the contracting 
officer to include a contract clause for a guarantee period longer than 
60 days. These instances are as follows:
    (i) If, as result of a full inquiry, the contracting officer 
determines that there will be no increased costs as a result of a 
longer guarantee period, the contracting officer may substitute 
guarantee longer than the usual 60 days; or
    (ii) When the contracting officer's inquiry discloses that 
increased costs will result or are expected to result from a longer 
guarantee period, the contracting officer shall submit a letter to the 
Chief of the Contracting Office, requesting approval for use of 
guarantee period in excess of 60 days. The letter must contain 
sufficient facts to justify the use of a longer guarantee period. Upon 
approval, the contracting officer may insert a longer period in the 
first sentence of the clause at (TAR) 48 CFR 1252.217-70, Guarantee.
    (b) The following clauses are required:
    (1) (TAR) 48 CFR 1252.217-71 through (TAR) 48 CFR 1252.217-74; and,
    (2) (TAR) 48 CFR 1252.217-76 through (TAR) 48 CFR 1252.217-80.
    (c) (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.
    (d) 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 shall be included.
    (e) (TAR) 48 CFR 1252.217- may be included in negotiated 
solicitations and contracts to be performed outside the United States.

PART 1219--SMALL BUSINESS PROGRAMS

Subpart 1219.2--Policies
Sec.
1219.201 General policy.
Subpart 1219.8--Contracting with the Small Business Administration (The 
8(a) Program)
1219.800 General.
1219.811-3 Contract clauses.
1219.812 Contract administration.
Subpart 1219.10--Small Business Competitiveness Demonstration Program
1219.1003 Purpose.
1219.1005 Applicability.
Appendix A to Part 1219--Targeted Industry Categories

    Authority: 5 U.S.C. 301; 41 U.S.C. 418b; (FAR) 48 CFR 1.3.

Subpart 1219.2--Policies


1219.201  General policy.

    (c) The Director, Office of Small and Disadvantaged Business 
Utilization (S-40), is responsible for carrying out the functions and 
duties in sections 8, 15, and 31 of the Small Business Act, as amended. 
(15 U.S.C. 637, 644, and 657.)

Subpart 1219.8--Contracting with the Small Business Administration 
(The 8(a) Program)


1219.800  General.

    (f) The Small Business Administration (SBA) and DOT have entered 
into a Partnership Agreement (PA) authorizing DOT contracting officers 
to enter into direct 8(a) contracts on behalf of SBA.


1219.811-3  Contract clauses.

    (d)(3) When an acquisition is processed pursuant to the DOT/SBA 
Partnership Agreement, the contracting officer shall use the clause at 
(FAR) 48 CFR 52.219-18, Notification of Competition Limited to Eligible 
8(a) Concerns, with its Alternate III, (TAR) 48 CFR 1252.219-72.
    (f) The contracting officer shall insert the clause at 1252.219-71, 
Section 8(a) Direct Awards, in all solicitations and contracts 
processed under the PA. In accordance with the CAAC Letter 98-3, the 
following FAR clauses shall not be used when processing a Direct 8(a) 
award under the MOU: (FAR) 48 CFR 52.219-11, Special 8(a) Contract 
Conditions, (FAR) 48 CFR 52.219-12, Special 8(a) Subcontract 
Conditions, and (FAR) 48 CFR 52.219-17, Section 8(a) Award.


1219.812  Contract administration.

    (d) All direct 8(a) awards made pursuant to the PA are subject to 
15 U.S.C. 637(a) (21). These contracts contain the clause at (TAR) 48 
CFR 1252.219-71, Section 8(a) Direct Award, which requires the 8(a) 
contractor to notify the SBA and the contracting officer when ownership 
of the firm is being transferred.

Subpart 1219.10--Small Business Competitiveness Demonstration 
Program


1219.1003  Purpose.

    (b) Contracting officers shall use the targeted industry categories 
listed at (TAR) 48 CFR 1219.1005(b) to expand small business 
participation in the small business competitive demonstration program.


1219.1005  Applicability.

    (b) Targeted industry categories. DOT's targeted industry 
categories are shown in Appendix A to this part.

                         Appendix A to Part 1219
------------------------------------------------------------------------
                                             FPDS products and service
      Targeted industry categories*                     code
------------------------------------------------------------------------
(1) Engineering Development..............  AT94
(2) Systems Engineering Services (Only)..  R414

[[Page 6515]]

 
(3) Radio/TV Communication Equipment       5820
 (except airborne).
(4) Maintenance, Repair, and Rebuilding    J028/J010
 of engines, turbines, components and
 weapons equipment.
(5) ADP Central Processing Units:
  Analog.................................  7020
  Digital................................  7021
  Hybrid.................................  7022
(6) ADP Support Equipment................  7035
(7) ADP Components.......................  7050
(8) ADP Development Services and ADP       D302/D305
 Teleprocessing and Timesharing Services.
(9) Gas Turbines and Jet Engines,          2840
 Aircraft; and Components.
(10) Radar Equipment (except airborne)     5840/AT31
 and Navigation and Navigational Aids
 (basic research).
------------------------------------------------------------------------
\*\ The industry categories were derived from Federal Procurement Data
  System Product and Service Codes Manual.

PART 1222--APPLICATION OF LABOR LAWS TO GOVERNMENT ACQUISITIONS

Subpart 1222.1--Basic Labor Policies
Sec.
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.

    Authority: 5 U.S.C. 301; 41 U.S.C. 418b; (FAR) 48 CFR 1.3.

Subpart 1222.1--Basic Labor Policies


1222.101  Labor relations.


1222.101-70  Admittance of union representatives to DOT installations.

    (a) It is DOT policy 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, the Office of the General Counsel, Office of Environmental 
Law, Civil Rights and General Law (C-10), within the Office of the 
Secretary of Transportation or corresponding OA labor advisor, 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) When applicable, the contracting officer may 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) When applicable the contracting officer may 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.

    (c) Disposition of contract payments withheld or suspended. (1) 
Forwarding wage underpayments to the Secretary of the Treasury. 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 Standard Form 
(SF) 1093, Schedule of Withholding Under the Davis-Bacon Act or the 
Contract Work Hours and Safety Standards Act, before payment can be 
made to the employee.

PART 1223--ENVIRONMENT, ENERGY AND WATER EFFICIENCY, RENEWABLE 
ENERGY TECHNOLOGIES, OCCUPATIONAL SAFETY, AND DRUG-FREE WORKPLACE

Subpart 1223.3--Hazardous Material Identification and Material Safety 
Data
Sec.
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. 418b; (FAR) 48 CFR 1.3.

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. Upon 
written request, copies of the applicable National Highway Traffic 
Safety Administration (NHTSA) policies and procedures may be obtained 
from NHTSA's Associate Administrator for Administration (NPO-200), 400 
7th Street, SW., Washington DC 20590.
    (c) Pursuant to Executive Order 13043, Increasing Seat Belt Use in 
the United States, the contracting officer shall insert the clause at 
(TAR) 48 CFR 1252.223-73, Seat Belt Use Policies and Programs in all 
solicitations and contracts, exceeding the simplified acquisition 
threshold.

PART 1224--PROTECTION OF PRIVACY AND FREEDOM OF INFORMATION

Subpart 1224.1--Protection of Individual Privacy
Sec.
1224.102-70 General.
1224.103 Procedures.
Subpart 1224.2--Freedom of Information Act
1224.203 Policy.

    Authority: 5 U.S.C. 301; 41 U.S.C. 418b; (FAR) 48 CFR 1.3.

Subpart 1224.1--Protection of Individual Privacy


1224.102-70  General.

    (a) Systems of records to which the Privacy Act applies shall not 
be released except by the Government regardless of whether the 
Government or a contractor acting on behalf of the Government is 
maintaining the records. Examples of systems of records are:

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    (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 applications for licenses; and
    (3) Any other detailed record containing information identifiable 
with a particular person.
    (b) Examples of systems of records to which the Privacy Act does 
not apply are:
    (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) Records generated on contract students pursuant to their 
attendance (e.g., admission forms, grade reports) when contracting with 
an educational institution. These re