Alaska Department of Transportation &
Public Facilities (AKDOT&PF)
Research Program
INFORMATION
AND INSTRUCTIONS
FOR PREPARING RESEARCH PROPOSALS
Updated
July 2007
CONTENTS
I. General Information and Requirements for Research Proposers
Who May Submit Proposals and Conduct Research
Review of Proposals
....Protests
Contract Execution
Types of Research Contracts
Nondiscrimination
Standard Provisions in Research Contracts
II. Instructions for Preparing and Submitting Proposals
General
Deadlines
Transmittal
Acknowledgment
Presentation
Organization
1. Cover
2. Summary Page
3. Table of Contents
4. Problem Statement
5. Problem Background
6. Study Objectives
7. Research Plan
8. Qualifications of the Research Team
9. Accomplishments of the Research Team
10. Other Commitments of the Research Team
11. Equipment and Facilities
12. Time Requirements
13. Cooperative Features (if appropriate)
14. Appendixes (if appropriate)
Amplified Research Plan (Working Plan)
Quarterly Progress Reports
Adherence to Original Research Objectives and BudgetEstimates
Advance Approvals
Principal Investigator
Payments
Subcontracting
Transfer of Research Contract
Reports
Copyrights
Patents and Inventions
Insurance
Disposition of Equipment
Data Rights
Fulfillment of Contract
IV. Figures
Figure 1 (Example Cover Page)
Figure 2 (Example SummaryPage)
Figure 3 (Researach Proposal Evaluation
Form)
AKDOT&PF
Research Program
Information
and Instructions for Preparing Research Proposals
I. GENERAL INFORMATION
AND REQUIREMENTS FOR RESEARCH PROPOSERS
Who May Submit Proposals and Conduct Research
In response to AKDOT&PF research project requests for proposals, any interested agency or individual may submit a proposal following a self-appraisal of qualifications to determine whether or not the respondent possesses, either singly or through a joint venture with others, the requisites of capability and experience necessary to ensure successful completion of the research project. In the instances of joint ventures, a prime contractor must be designated, with full justification if the prime contractor will not carry out over 50 percent of the work (budgeted cost). Proposals become the property of the AKDOT&PF, are treated as privileged documents, and are disposed of according to Department policies--including the right to reject all proposals.
AKDOT&PF research may be conducted by colleges, universities, industry, research institutions and foundations, engineering consultants, or others who possess extensive, demonstrated capability coupled with a proven experience record in the project area. Overseas agencies may, but are not encouraged to, submit proposals. Although they may be able to document that they possess sufficient depth of knowledge of American practice, the complicated logistics involved in surveillance and administration of contracts overseas might make it less likely that such agencies would be selected.
The AKDOT&PF encourages participation of small businesses, minority-owned
firms, and women's business enterprises as contractors or subcontractors for
AKDOT&PF research projects. To
conduct research under contract to AKDOT&PF, all
private sector consultants and firms must possess a current and valid Alaska
Business License in accordance with the Alaska Business License Act (AS 43.70).
It is emphasized that the AKDOT&PF research contracting procedures do not provide for preproposal briefings or for meetings with staff and panels in due course of proposal evaluation or agency selection. The proposal, therefore, constitutes the one-and-only opportunity for the proposing agency to state its case.
Instructions for preparing proposals appear in Section II
of this document. Proposers should read and follow this section very carefully.
Compliance with the instructions for preparing proposals in Section
II is mandatory.
The AKDOT&PF Research Project Manager will forward acceptable proposals to the appropriate panels for review and evaluation. The responsible AKDOT&PF review panel selects an agency by considering the following factors: (1) the proposer's demonstrated understanding of the problem; (2) the merit of the proposed research approach and experiment design; (3) the experience, qualifications, and objectivity of the research team in the same or closely related problem area; (4) the plan for ensuring application of results; and (5) the adequacy of the facilities.
The AKDOT&PF review panel scores each proposal according to the criteria
listed above using the Research Proposal Evaluation Form shown in Figure 3. The exact wording and weight
of each criterion may vary by project and will be specified in the Request
for Proposals (RFP). The total of the weights of the criteria shall
be 100%. The review panel will assign a score to each criterion on a
5 point scale (1 is low, 5 is high.). The overall weighted score for
a reviewer is the sum of the individual multiples of score and weight.
The reviewers' overall weighted scores are summed to obtain the overall weighted
score for the proposal.
The Research Project Manager notifies and contacts the agency submitting the proposal with the highest overall weighted score for contract negotiations. Contract negotiations are conducted in accordance with AKDOT&PF policies.
A proposer may protest the proposed award of a contract within 10 days following the date of the Notice of Intent to Award. The first day of the protest period is the day following the date on the Notice of Intent To Award, even though the first day may be a weekend or a holiday.
Submit the protest in writing to the Contracting Officer. The Contracting Officer is the AKDOT&PF Research Program Manager:
Clint Adler, PE
Manager, AKDOT&PF Research & Technology Transfer
2301 Peger Road
Fairbanks, AK 99709-5399
Telephone: (907) 451-5479
Fax: (907) 451-5340
e-mail: clint.adler@alaska.gov
The written protest must include:
If the protest contains no grounds for the protest, the Contracting Officer may reject it and notify the Protester in writing the basis for the rejection.
The Contracting Officer issues a written decision explaining the AKDOT&PF's position within 14 days of receiving the protest. The decision will be furnished to the Protestor by certified mail or other method that provides evidence of receipt. If the Contracting Officer's decision cannot be completed within the allotted 14 days, the Contracting Officer will notify the Protester in writing and provide a date by which the decision will be rendered.
Within 10 days of receiving the Contracting Officer's decision, the Protester
may appeal the decision in writing to the AKDOT&PF Chief Engineer with
a copy to the Contracting Officer. The AKDOT&PF Chief Engineer will render
a decision within 30 days of receipt of the appeal. THE CHIEF ENGINEER'S DECISION
IS FINAL. If the Chief Engineer requires additional time, he or she will provide
written notice of the date by which a final decision will be rendered.
The current AKDOT&PF Chief Engineer is:
Richard Pratt, PE
Acting Chief Engineer, AKDOT&PF
3132 Channel Dr.
Juneau, AK 99801-7898
Telephone: (907) 465-8890
Fax: (907) 465-2460
e-mail: richard.pratt@alaska.gov
When all parties are satisfied that there is clear understanding of the intent of the research and that the research can be conducted as planned, the AKDOT&PF Research Project Manager prepares the contract and sends it to the agency for execution.
Note: AKDOT&PF and the research agency will mutually agree on the type of research contract during negotiations. Cost proposals should not be part of the research proposal. (See Section II for descriptions of the required content of research proposals.)
1. Cost-Reimbursement (CR) contracts provide for payment to the contractor of allowable costs incurred in the performance of the contract, to the extent prescribed in the contract. This type of contract establishes maximum costs for purposes of (a) obligating funds and (b) setting a ceiling, which the contractor may not exceed (except at the contractor's risk) without prior approval of the AKDOT&PF. This type of contract is used when costs cannot be estimated reasonably adequately because sufficient uncertainty surrounds contract performance to preclude the use of a fixed-price contract. In addition, for this type of contract, it is essential that the contractor's cost accounting system is adequate for the determination of costs applicable to the contract and that appropriate surveillance by AKDOT&PF personnel during performance will provide reasonable assurance that the effort is proceeding satisfactorily.
2. Cost-Plus-Fixed-Fee (CPFF), which is a cost-reimbursement contract providing for payment of a fixed fee to the contractor. The fixed fee, once negotiated, does not vary with actual costs, but may be adjusted as a result of any subsequent change in the work or services to be performed under the contract. For this contract, a limit has been established of seven (7) percent of contract costs, exclusive of the fixed fees for the subcontractor, if any. Generally speaking, this type of contract will be used where the parties mutually determine that a cost-reimbursement type of contract is necessary, and there is agreement that the contract should be fee-bearing. To warrant the full amount of the fee rather than a lesser amount, the AKDOT&PF will require the contractor to submit a justification for the fixed fee included in the budget, e.g., a statement regarding the complexities of administration.
3. Fixed-Price (FP), which provides for a price that is not subject to any adjustment by reason of the cost experience of the contractor in the performance of the contract. It is suitable for use when reasonably definite design or performance specifications (Statement of Work) are available and whenever firm and reasonable prices can be established at the outset of the effort.
Contractors are required to comply with pertinent Regulations of the U.S. Department of Transportation (U.S. DOT) relative to nondiscrimination in federally assisted programs of the U.S. DOT and shall not discriminate against any worker because of race, color, religion, sex, or national origin. In the fulfillment of this provision, the contractor is required to provide all information and reports required by the Regulations, or orders and instructions issued pursuant thereto, and will permit access to its books, records, accounts, other sources of information, and its facilities as may be determined by the AKDOT&PF or the Federal Highway Administration (FHWA) of the U.S. DOT to be pertinent to ascertain compliance with such Regulations, orders, and instructions.
Standard Provisions in Research Contracts
The following is a link to an Adobe portable document format (PDF) file comprising standard provisions in AKDOT&PF
Research Professional Service Agreements (PSA) with private contractors:
Research Professional Service Agreement
AKDOT&PF may netotiate Professional Service Agreements with public sector
entities, such as universities, under a Memorandum of Agreement.
II. INSTRUCTIONS FOR PREPARING AND SUBMITTING PROPOSALS
Proposals (excluding research need statements) are invited only in response to the issuance of AKDOT&PF Requests for Proposal (RFPs). The AKDOT&PF Research Program is an applied research program that does not operate on a grant basis and has no funds available to support unsolicited proposals, however meritorious they may be. The projects are structured to seek remedies for pressing problems that exist within Alaska; hence, AKDOT&PF desires proposals only from agencies or individuals already having extensive, demonstrated capability and experience in the subject problem area. Further, it is expected that only this high level of capability will be applied in meeting the commitments of the proposal--capability cannot be developed at project expense.
Research under the AKDOT&PF Research Program may be conducted by colleges, universities, industry, research institutes and foundations, engineering and other consultants, or others who possess extensive, demonstrated capability and experience in the subject project area.
Proposals become the property of the AKDOT&PF, are treated as privileged documents, and are disposed of according to AKDOT&PF Research Program policies, including the right to reject all proposals.
The deadline for receiving proposals, as shown on each RFP, is rigid. AKDOT&PF grants extensions only when it determines that an extension is in its best interest or alters the scope of the RFP via amendment. AKDOT&PF does not require officially signed copies of proposals; however, the research agency's own internal policies prevail in this regard. Proposals may be withdrawn at any time. In order to be considered, proposals must have been received in the offices of the AKDOT&PF not later than the deadline shown in the RFP. All proposals arriving after the deadline shown in the RFP will be rejected.
A letter of transmittal need not be sent with the proposal package. In the
event an agency elects to send a transmittal letter, AKDOT&PF cautions
that the transmittal letter must not include information vital to the proposal.
All information that is to be considered as part of the proposal must be bound
in a single volume that will constitute the proposal in its entirety.
Brochures, pamphlets, and other descriptive materials pertaining to the research
agency may be included as appendix material and will count against the limit
of pages specified in the RFP. CD-ROMs, videotapes, or computer diskettes
are not acceptable for inclusion in AKDOT&PF research proposals, unless
specifically called for in the AKDOT&PF RFP.
Acknowledgment
The AKDOT&PF will acknowledge receipt of an accepted proposal. AKDOT&PF will, as quickly as possible, advise agencies of proposals rejected from consideration, conveying the reason(s) for rejection.
Proposers are cautioned to be concise and straightforward in their single-volume proposals. Material that is extraneous and not germane to the research project under consideration will detract from the quality of the proposal. AKDOT&PF preferrs the submission of proposals as a single Adobe Acrobat portable document format (PDF) or Microsoft Word file. All pages of the proposal shall be numbered. If submitting printed proposals, copies shall be submitted to the project manager in accordance with instructions provided in the RFP. In the interest of saving paper, reducing mailing costs, and easier handling, proposal pages may be printed on both sides, using the lightest bond weight permitting such practice and maintaining margins of no less than 1 inch.
Proposals that do not comform to the instructions and limitations in the
RFP, and the instructions herein, will be rejected.
1. Proposals must arrive before the deadline, and at the address indicated
in the RFP.
2. Proposals must contain, in the order indicated in "Organization", sections 1 through 12. Sections 13 through 14 must be included if they are applicable. Mandatory content of these sections is described in "Details of Essential Content" below.
3. Sections 3 through 14 and subsections thereof must be labelled exactly as shown in "Organization".
4. All proposal information shall be presented in a single-bound volume or single electronic file (Adobe PDF or Microsoft Word) that has been checked sufficiently to ensure completeness and accuracy of detail.
It is mandatory that the proposal contain the following sections and that it be presented in the following order:
For the convenience of the reviewers, items 4 through 14 should be separated with either color-coded or tab-type dividers (for hard copies) or via electronic bookmarks or hyperlinks (for electronic copies) so that information maybe located quickly.
Although AKDOT&PF expects the proposer to prepare a detailed budget as part of the proposal development process, proposers are cautioned to submit proposals containing only the items listed above.
1. Cover--If submitted in hard copy, the outermost covering of the proposal shall be either paper or cardboard and must be non-glossy, light-colored material capable of accepting rubber stamp ink without smearing. The cover shall contain the AKDOT&PF project number, the project title, the name of the submitting agency, and a "Limited Use Document" clause. For guidance, the desired information and layout of the cover is shown in Figure1.
2. Summary Page--The summary page shall immediately follow the cover and shall include the information arranged as shown in Figure2. Note that the summary page shall contain the AKDOT&PF research project number and title; the name, address, and telephone number of the agency submitting; the name and address of the agency with which a joint venture is proposed, if such is the case; the name and title of the person formally submitting the proposal; the name(s) and title(s) of the person(s)who actually wrote the proposal; the name(s), address(es), and telephone number(s)of the PI(s) assigned to the project; the name, address, and telephone number of the responsible administrative officer having cognizance of the project(this should be the individual authorized to bind the agency contractually and to approve the expenditure of project funds); and the amount of time required to complete the research as specified in the proposal.
3.Table of Contents--Self-explanatory.
4. Problem Statement--State the problem to be addressed in the proposed study as understood by the Principal Investigator. This should not be a simple repetition of the request for proposals, but should provide the preparer's insights as to what is needed by the AKDOT&PF. If a recent and pertinent literature review has not been completed for the subject area, including a review through the Transportation Research Information System (TRIS) database, the need for and the extent of the required literature search is to be addressed in the proposal and included in the cost.
5. Problem Background--Provide information on the proposer's knowledge of the problem to be investigated, focusing on the "state of the art". Describe the proposer’s understanding of how the problem affects the AKDOT&PF.
6. Study Objectives--State clearly the specific objectives of the study, including the technical questions it will try to answer. Include a description of the scope of the study to set limits on what is and is not to be included in the study.
7. Research Plan--The research plan shall detail completely the prosecution of the research, including the submission of an acceptable final report. The plan ultimately becomes a part of the contract by reference of the proposal; therefore, it should describe in a specific and straightforward manner the proposed approach to the solution of the problem described in the RFP. It should be concise, yet include sufficient detail to describe completely the approach to solution of the problem. Research methodology shall be described in sufficient detail to permit evaluation of the probability of success in achieving the objectives. As previously stated, AKDOT&PF procedures do not provide for preproposal briefings or for meetings with staff and panels in the course of proposal evaluation or agency selection. The proposal, therefore, constitutes the one-and-only opportunity for the agency to state its case. The research plan shall be subdivided into the following sections:
(a) Introduction. The introduction to the research plan should provide a concise overview of the proposer's approach to conducting the research. It should describe the manner in which the expertise and experience of the proposed team will be used in the research, and the application of special data, facilities, contacts, or equipment should be presented. The introduction should highlight the linkages of the proposed team's capabilities to the project tasks and the manner by which the proposed plan will satisfy the objectives.
(b) Research Approach. This section will be used to describe how the objectives will be achieved through a logical, innovative, and rational scientific plan. The plan shall describe each phase or task of the research to be undertaken.
(c) Anticipated Research Results. The research plan for each proposal shall contain specific statements describing the anticipated research results. The results are expected to be presented in terms of the language and working tools of the practitioner or administrator so as to be immediately applicable to practice. Consequently, there must be specific statements of the manner in which the desired results would be reported, e.g., mathematical models, design techniques, field or laboratory test procedures, or recommendations for changes in AASHTO, FHWA, or standard highway specifications.
AKDOT&PF research projects are intended to produce results that will be applied. Proposals and the project final report must contain an implementation plan for moving the results of the research into practice. Under Item 7(c), each proposal must include an Implementation Plan that describes activities to promote application of the product of this research. The Implementation Plan must describe, as a minimum, the following: (a) the "product" expected from the research, (b) the audience or "market" for this product, (c) a realistic assessment of impediments to successful implementation, (d) the institutions and individuals who might take leadership in applying the research product, (e) the activities necessary for successful implementation, and (f) the criteria for judging the progress and consequences of implementation.
If the nature of a project is such that it is known initially that the results will not be amenable to immediate implementation into practice, the research plan must include recommendations for the additional work necessary to reach the implementation stage.
(d) Applicability of Results to Practice. The research plan shall include a section titled "Applicability of Results to Practice "that clearly describes how the anticipated research results can be used to improve transportation practices. Clearly indicate the expected audience for the research results. The writer should present the strongest case possible to convince the reviewer that the results of the research will be practical and implementable.
8. Qualifications of the Research Team--Name, address, telephone number, and pertinent background information must be provided for the PI bearing primary responsibility for the project. The same information is required for other research team members participating to a significant degree. The proposal must describe how the research team members' academic, industrial, and/or research experiences relate to the project to be undertaken.
Item 8 in the proposal must also include a section labeled "Disclosure." Information relevant to the AKDOT&PF's need to ensure objectivity and to be aware of possible sources of significant financial or organizational conflict of interest in conducting the research must be presented in this section of the proposal. For example, under certain conditions, ownership of the proposing agency, other organizational relationships, or proprietary rights and interests could be perceived as jeopardizing an objective approach to the research effort, and proposers are asked to disclose any such circumstances and to explain how they will be accounted for in this study. If there are no issues related to objectivity, this should be stated.
State or federal employees submitting or participating in proposals to conduct AKDOT&PF research must also include in this section a letter signed by appropriate authority stating that the employee's agency is aware of the proposal and approves of the employee conducting research in the event the proposal is successful.
9. Accomplishments of the Research Team--Proposals shall contain a summary of the past accomplishments ("track record")of the research team in the same, or closely related, problem area of the project to be undertaken. This summary is to include full particulars concerning all known instances of application to practice of the agency's research results. If no such knowledge exists, it should be so stated.
10. Other Commitments of the Research Team--Proposals shall contain a listing of current organization and personnel commitments to other work in sufficient detail to indicate that the organization and all of the individuals assigned to the proposed project will be able to meet the commitments of the proposal. Staff-hour commitments and percentage of time committed to other work for each member of the proposed research team shall be specified.
11. Equipment and Facilities--This section shall include a description of the facilities available to undertake the research and an itemization of the equipment on hand considered necessary to complete the research. In the event that use of the facilities or equipment is conditional, the conditions should be described. In the event that certain facilities or equipment are considered necessary to undertake the research but are not on hand, that fact should be presented. The proposer should identify any arrangements that will be made to borrow or rent necessary equipment. Letters of commitment should be included to indicate the availability of equipment. Rental rates should be included in the budget. In the case where it is contemplated that additional equipment will be purchased under project funds, be certain that the budget item "capital equipment" indicates this.
12. Time Requirements--The time required to complete the research project shall be specified. Proposals will not be rejected if the proposed time does not match the time specified in the project statement. However, the agency must justify any difference. In addition, a schedule shall be included that shows each phase or task of the work, when that phase or task will begin, how long it will continue, and when it should end. The timetable should clearly delineate the points in time where project deliverables and reports are planned.
13. Cooperative Features--If assistance in the form of personnel, data, or equipment is required from other agencies, public or private, describe the plans for obtaining such help or information. In the case where such cooperative features play an important part in the conduct of the research, a letter of intent from agencies agreeing to provide cooperative features should either be included in the proposal or must be available during contract negotiations. If there are no such cooperative features, it should be so stated.
14. Appendixes-- This section is optional. The appendixes may include such things as statements concerning previous work on this problem or related problems, abstracts of related projects, a bibliography or list of references, or descriptive brochures or materials describing the agency's organization and capabilities in general terms. Any other material not specifically mentioned previously and felt to be relevant for purposes of the proposal may be included as an appendix. Proposers are cautioned that material that is not germane to the RFP will negatively impact the review of the proposal.
In summary, it is expected that proposers will have studied the foregoing
instructions and will have complied fully with them. Failure to do so, if
not warranting outright rejection, will certainly raise serious questions
as to how well the agency would handle a complex research project and would,
therefore, seriously jeopardize the chances of being selected to conduct the
work. In matters of doubt, proposers should make it a point to contact the
AKDOT&PF research office for assistance. The name and telephone number
of the staff member assigned to each project is noted on the RFP.
III. RESEARCH ADMINISTRATION
After executing the contract, the agency is expected to pursue the research aggressively and with due regard to the performance period. An initial visit may be made by a Senior AKDOT&PF research staff in order to become acquainted with the research agency's facilities and personnel. Other visits may be made by AKDOT&PF research staff to maintain liaison with the project throughout the contract period.
Amplified Research Plan (Working Plan)
As a first step, the research agency may be asked to submit to the AKDOT&PF Project Manager an amplified research plan (working plan) for review and acceptance by the AKDOT&PF. This plan, due not later than fifteen (15) days after the contract beginning date, is to provide a detailed expansion of the approved research plan and is not to be in conflict with the research plan. It is to describe completely the activities to be pursued in the conduct of the research, including a work-flow diagram by tasks and time, and should demonstrate clearly the accomplishment of the research within the specified period and funding, a factor that will be analyzed carefully during the review.
Quarterly progress reports are required from the contractor and are always
prepared on the basis of calendar quarters. The contractor mails the report
directly to the AKDOT&PF Project Manager. Each report includes the monthly
progress schedule for the last month of the quarter. The quarterly report shall be prepared on forms provided by the
AKDOT&PF.
Adherence to Original Research Objectives and Budget
Estimates
The negotiated proposal submitted by the research agency becomes the binding scope of work in the contract with the AKDOT&PF. Thus, in addition to the specific research objectives outlined in the contract, the research agency's cost proposal is a part of the agreement. It is not the intent of the Program, however, to limit the Principal Investigator's (PI) flexibility in conducting research that is consistent with the general scheme of the proposal. Therefore, the PI and the research agency are expected to manage the expenditure of approved funds in a manner consistent with the overall objectives without necessarily adhering to the estimate for each category of costs in the original budget. However, the approved total funds cannot be exceeded, and anticipated major changes in the original estimate or increased time must be discussed in advance with the AKDOT&PF. The AKDOT&PF must be notified when promising new leads or unproductive lines of inquiry are discovered, especially if they might lead to significant deviations from the objectives of the original research.
Under the terms of the AKDOT&PF contract, the following expenditures require prior written approval even though they are included in the proposal:
1. Equipment having a value in excess of an amount specified in the contract.
2. Travel to scientific or technical meetings.
3. Subcontracts not approved in the original contract.
The research is considered to be under the technical direction of the PI identified in the proposal. Because it is expected that the PI will have had the major hand in determining the scope of work and setting it forth in the proposal, it is further expected that the PI will be available for the full contract period and will have major involvement in the pursuit of the research objectives. Replacement of the PI is subject to approval from the AKDOT&PF.
Payments, exclusive of amounts withheld as a performance guarantee, will
be made by the AKDOT&PF upon the submission of periodic vouchers (not
more often than one a month) by the research agency. The amount of withholding
is not negotiable. Complete instructions for
the preparation of vouchers are issued by the AKDOT&PF when forwarding
contracts for execution.
Advance written approval is required for subcontracts of more than an amount specified in the contract, even though provision for such is included in the proposal. If not provided in the proposal, an itemized budget and justification of the proposed subcontractor are required when submitting the subcontract for approval.
An AKDOT&PF Research contract may be transferred to another institution, subject to agreement of all parties concerned.
Final reports are required for all projects. A preliminary draft copy of the project final report is due to the AKDOT&PF project manager not later than 45 days prior to the contract expiration date unless otherwise approved by the AKDOT&PF project manager. An allowance of 21 days must be made for AKDOT&PF reviews and comments. The PI then prepares a final draft report that incorporates the reviewers' comments and reflects editing by a competent technical editor. AKDOT&PF research should be reported in a format generally consistent with the Transportation Research Board’s Instructions for Preparation of Cooperative Research Programs Reports, which can be found on the Internet at: http://www4.trb.org/trb/crp.nsf. AKDOT&PF has provided a Microsoft Word research report template for convenience. A “camera ready” hard copy and electronic copy (single Adobe Acrobat Portable Document Format or Microsoft Word file) of the report, prepared in accordance with AKDOT&PF specifications, must be submitted to the AKDOT&PF project manager by the contract expiration date.
This procedure obviously requires agencies to give careful thought during
proposal preparation to the level of funds that will be required to ensure
satisfactory compliance with contract commitments regarding preparation, editing,
submission, and revision of preliminary draft reports and preparation and
submission of the hard and electronic copies
of the report.
Final acceptance of reports is based on the following criteria:
1. Fulfillment of objectives as set forth in the contract.
2. Adequacy of documentation.
3. Clarity of presentation.
Interim reports are sometimes required and represent partial fulfillment of the contract scope of work. A copy is required by the time specified in the agency's Working Plan, and they will be reviewed for acceptance under the same criteria as specified for final reports. It is not usually intended that interim reports will be published. If, however, the acceptance review or other factors determine that publication is warranted, the principal investigator proceeds as described for final reports.
All data, written materials, computerized software, and other information prepared under the AKDOT&PF contract and the copyrights therein shall be owned by the AKDOT&PF.
The disposition of patents and inventions is the responsibility of the research agency, and its obligations in this regard are set forth in the contract. (See 23 CFR 420.121(j) for governing regulation.) Appropriate notice to the AKDOT&PF is required of inventions, discoveries, and patent applications.
Research agencies shall be required to maintain either (1) insurance that provides for general liability, automobile usage, and worker's compensation and employer's liability as required by law; or (2) self-insurance that provides the equivalent coverage.
Disposition of capital equipment acquired with project funds shall be determined by the AKDOT&PF. The research agency may be given the opportunity to acquire the equipment after completion of the contract. (See 49 CFR 18.32 for governing regulation.)
The AKDOT&PF shall have the right to duplicate, use, and disclose in any manner and for any purpose whatsoever all data, whether delivered to the AKDOT&PF or not, under the contract and to authorize others to do so.
Fulfillment of the contract includes submission by the research agency of an acceptable report. Other actions to be taken in closing out a contract involve audit of contract costs (including approval of final overhead rates), submission of a final voucher by the agency, disposition of data and equipment, resolution of patent rights, completion of a certificate of performance and release form, and other related business matters.