SMR RFP AMENDMENT 00003.docx

DTFT60-10-R-00009 00003

State Management Review Program

FIRST: The Proposal due date has been extend from 25 March 2011 to 01 April 2011.

SECOND: The following Questions and Answers are hereby incorporated in the above stated Solicitation.

1. Questions: Attachment J-1 indicates that the Project Manager must hold a Project Management certification through the Project Management Institute. This has not been a requirement in the past and is not required for the Triennial Review, Financial Management Oversight, and Procurement System Review programs. In order to provide access to a greater number of highly qualified candidates, can this requirement be eliminated? If not, can FTA allow the project manager to obtain the certification during the first year of the contract?

Answer: The requirement that the Project Manager hold a Project Management certification has been eliminated.

2. Question: Attachment J-1 indicates that Senior Analysts must have a Bachelors degree with minimum of eight - ten years of experience in transit related consulting or management. Also, Mid-level Experts must have a Bachelors degree with minimum of five years of program management oversight experience in the transit industry and at least 4 years of experience on large, technically complex transit related projects. Can additional years of experience be substituted for a Bachelors degree? Can a Masters degree satisfy some of the desired years of service? Can equivalent experience be substituted for specific Transit industry experience?

Answers: The personnel experience requirements have been updated to reflect the below changes in the Project Manager and Admin Support categories only. All other Personnel requirements remain the same. The change has been incorporated in the RFP via amendment 00003.

Project Manager – Bachelors degree and 10 years experience; Masters Degree and 5 years experience; if no degree, then 15 years experience

Administrative Support - Bachelor’s degree with no experience or a minimum of five Years experience on similar projects.

3. Questions: Section L.4 (iii) 1. states, “Offerors shall submit a list of all Government and Commercial contracts (prime and major subcontracts) in performance during the past 3 years, which are relevant to the efforts required by this solicitation. Relevant efforts are defined as contracts that included: (1) SMR Assessments, (2) SMR Follow up Assessment, (3) SMR Training/Workshops; (4) SMR program Reports; and, (5) Oversight Program Support and Special Assignments.” This seems to indicate that only SMR experience should be listed. Is this the intent?

Answer: No, the experience should be the same as the SMR or similar to SMR experience. The change has been incorporated in the RFP via amendment 00003.

4. Question: 5.3.13 Closeout Findings states that the combined TR/SMR review report will include combined review elements from the Triennial Review and State Management Review. Since there are overlapping review elements between the two reviews, the total review elements will not exceed 23 pertinent grants management areas. We request a review of this, as the combined TR/SMR review addresses 27 areas.

Answer: The correct amount of review elements should read 27. The change has been incorporated in the RFP via amendment 00003.

5. Question: Deliverable timeframes in Technical Exhibit 1 differ from those in the description of Part 5 - Specific Tasks (proposal pages 11-20).

Answer: The delivery dates specified in Technical Exibit # 1 shall take precedence over General Deliverable timeframes in Part 5 for the purposes of Proposal submission. However, individual awarded Task Orders will include there own delivery timeframes.

6. Question: In Section B the Base year reflects the period 2011 through 2014. We request a correction to identify the three year period as the Base period instead of the Base year.

Answer: The wording should be “Base Period” instead of “Base Year”. The change has been incorporated in the RFP via amendment 00003.

7. Question: It has been our experience that FTA estimates the level of effort for an SMR review to be 240 hours. However, Section B of the RFP (with a base period of three years) only includes 6,000 hours total for all tasks (2,000 hours per year). Are the hours included in the RFP adequate?

Answer: Section B has been revised. See the revised Section B in the RFP Amendment via Amendment 00003.

8. Question: In Section B, Line Item 00002 for the Base Year and Line Items 10002 and 20002 for Option Years 1 and 2, respectively, are for Other Direct Costs. However, the line for the total under these items states “Total Labor Costs.” Can this be changed in the proposal submitted?

Answer: Section B has been revised. See the revised Section B in the RFP Amendment via Amendment 00003.

9. Question: How many awards does FTA intend to make for this SMR Contract?

Section B, Page 3 of 60, states award a minimum of two up to a maximum of three, and Section L, Clause 52.216-1, Page 48 of 60, states minimum of two and a maximum of five.

Answer: It is the Governments intent to award a minimum of two (2) and a maximum of three (3), 8(a) Competitive, Hybrid Indefinite Delivery/Indefinite Quantity (IDIQ), Fixed Priced Type contracts with Firm Fixed Priced CLINs and Fixed Labor Rate CLINs. The change has been incorporated in the RFP via amendment 00003.

10. Question: Under SECTION B – SUPPLIES OR SERVICES AND PRICES/COSTS, for Base Year, under Line Item 0001 and subsequent years, it states “TOTAL LABOR PRICE”. Under Line Item 0002 and subsequent years, it also states “TOTAL LABOR PRICE”, but item is for travel/ODCs. Is this item to be the tota l labor and travel/ODCs combined?

Answer: Section B has been revised. See the revised Section B in the RFP Amendment via Amendment 00003.

11. Question: Section B, page 4 of 60, the BASE YEAR is for 4/1/2011 through 3/31/2014. How does FTA want the unit price shown? Does FTA want only the first year without annual escalation or a total unit price for the entire three year duration of the BASE YEAR?

Answer: Section B has been revised. Each Year shall be priced separately.

See the revised Section B in the RFP Amendment via Amendment 00003.

12. Question: Section B, page 6 of 60, under description states “BASE YEAR”. Is this Option Year 2?

Answer: Section B has been revised. See the revised Section B in the RFP Amendment via Amendment 00003.

13. Question: Part 1.6.3 Post Award Conference/Period of Progress Meetings, last sentence states “These meetings shall be at no additional cost to the government”. Since this is a fixed price proposal with no mention of how often/many progress meetings may be required in each year. Please clarify how the proposer is to cover its labor hours and travel/ODCs for these meetings if requested by the FTA.

Answer: The Sentence “These meetings shall be at no additional cost to the government” will be deleted from this Section via Amendment 00003. All Travel shall be billed under the Travel CLINs in Section B.

14. Question: Part 1.6.11 Contract Manager – is this the Project Manager who handles the daily operations of the work to be done under this contract or the actual Contracts Manager who handles all aspects of contract modifications, issues, etc.? This appears to mix functions since this section also states “to act for the contractor on all contract matters” relating to daily operation of this contract.

Answer: The requirement for Contract Manager in 1.6.11 was included in error and shall be removed from this requirement. The day to day operations will be the responsibility of the Project Manager.

15. Question: Part 5.3 TASK 2 – State Management, Tribal Transit, and ARRA Review Reports; are all of these reports to utilize the existing SMR guidance and examination of 27 areas as defined or will separate guidance and reporting requirements have to be created for both Tribal Transit and ARRA Reviews?

Answer: Yes to both questions.

16. Question: Part 5.3.1, 3rd paragraph – last sentence states, “The Contractors will assist the regional staff in these activities as directed.” It does not state directed by whom, CO or COTR?

Answer: All direction referencing Contractor day to day activities or administrative changes to day to day activities shall come from the COTR.

17. Question: Part 5.3.1, 4th paragraph – FTA states that in the first year of the contract (FY2011) that the Contractor deliver up to 25 standard and combined TR/SMRs and in subsequent years, the Contractor(s) may deliver up to 25 state management, tribal transit, and ARRA review reports during a calendar year. The RFP states that the “BASE YEAR” of award is for three years, FY2011 to FY2014. Is contract award going to be (a) Federal Fiscal Year or Calendar Year and (b) one “Year” or three years combined (FY2011-2014) exclusive of Option Year 1 and 2.

Answer: Contract Award will be on the Calendar Year and the Three Base Period is exclusive of Option Years 1 & 2.

18. Question: Part 5.5.1 State Management Review Workshops, page 16 of 60 – states FTA will conduct up to six SMR and Tribal Transit Review Workshops, and at the end of this section on page 17 of 60 it states that each workshop attended by 30-40 people. That would require SMR Workbooks of 180-240 versus Part 5.2.2 which states 150 Workshop Workbooks.

Answer: Part 5.2.2 has been revised to read 240 SMR Workbooks. See Amendment 00003 to the RFP.

19. Question: Section B & Attachment #J-3 – Please explain how these units per labor hours for the four labor categories were established? Under Attachment #J-3 it states these are “suggested labor categories and estimated labor hours to support this requirement” but based on level of effort and statement of work and specific tasks in Part 5 – the estimate has more hours for Administrative Support than the Project Manager and Mid-Level Experts, yet the Administrative Support requirements under Attachment #J-1 is for graphics, print/production, and meeting support which are a very small percentage of the tasks in Part 5.

Answer: Attachment J-3 has been deleted from this RFP. See revised Section B of RFP Amendment 00003.

20. Question: Attachment #J-2 Past Performance Questionnaire states completed questionnaire to be returned by 28 January 2011 2:00 PM EST. Page 53 of 60, Volume III – Past Performance (6) states questionnaire must be received by 4 January 2011, 4:00 PM EST.

Answer: January 28th was the due date. However, this requirement has been overcome by events.

21. Question: Attachment #J-3 further states, “However, the Contractor is encouraged to propose estimated hours consistent with their technical approach for accomplishment of all performance objectives/standards set forth in Part 5.0 of the SOW.” Please explain how the Contractor is to propose this to the FTA? Does the Contractor submit the current format/estimate in existing RFP and a separate “proposed estimate”?

Answer: Attachment J-3 has been removed from this requirement.

THRID: Delete current RFP Section B thru M and substitute the following Section B thru M.

SECTION B – SUPPLIES OR SERVICES AND PRICES/COSTS

SECTION B

1. The Contracts awarded from this Solicitation will be Hybrid Indefinite Delivery Indefinite Quantity (IDIQ), Fixed Priced type contracts with Firm Fixed Priced CLINs and Fixed Labor Rate CLINs. The Government intends to award a minimum of two (2) up to a maximum of three (3) individual Contract awards. Task orders will be issued on a Fixed Priced or Labor Hour basis. Funding shall be obligated on individual task order(s). The period of performance shall be a three-year Base Period and two (2) one-year Option Periods.

2. All Task Orders will be award based on the Fair Opportunity process provided in Section H, H7.

3. The Government’s only obligation under this contract is the Guaranteed Minimum Quantity of Service that equates to $1,000.00 for the base year only. The dollar value of each Task Order(s) will vary per each site.

4. The labor categories and estimated labor hours in Section B are provided as Government estimates only. For evaluation purposes all Offerors are required to provide the specified labor categories and meet the minimum standards as specified at Section J, Attachment J-1 and in the SOW. Contractors are encouraged to propose hours consistent with their technical approach for accomplishment of all performance objectives/standards set forth in Part 5.0 of the SOW. Also, for bidding purposes only, all Offerors shall submit the cost of $135,000.00 each for CLIN 00005, 10005, 20005, 30005 and 40005.

5. Travel and per diem, if authorized under this contract, shall be reimbursed in accordance with Section 6.5 of the SOW and the Government Travel Regulations currently in effect. Current per diem rates are listed at http://www.gsa.gov/Portal/gsa/ep/contentView.do?contentId=17943&contentType=GSA_BASIC. Travel requirements under this contract shall be met using the most economical form of transportation available. If economy class transportation is not available, the request for payment voucher must be submitted with justification for use of higher class travel indicating dates, times, and flight numbers. All travel shall be scheduled sufficiently in advance to take advantage of offered discount rates, unless otherwise authorized by the Contracting Officer.

Section B Supplies or Services and Prices/Costs

Base Period Year 1 – June 01, 2011 through March 31, 2012

Project Manager @ $ . /Hr.

Sr. Analysts @$ . /Hr.

Mid-Level Experts @$ . /Hr.

Admin Support @ . /Hr.

NTE $135,000

TOTAL

Section B Supplies or Services and Prices/Costs

Base Period Year 2 – Junel 1, 2012 through March 31, 2013

Project Manage @ $ . /Hr.

Sr. Analysts @ $ . /Hr.

Mid-Level Experts @ $ . /Hr.

Admin Support @ $ . /Hr.

NTE $135,000

TOTAL

Section B Supplies or Services and Prices/Costs

Base Period Year 3 – June 1, 2013 through March 31, 2014

Project Manager @ $ . /Hr.

Sr. Analysts @ $ . /Hr.

Mid-Level Experts @ $ . /Hr.

Admin Support @ $ . /Hr.

NTE $135,000

TOTAL

Section B Supplies or Services and Prices/Costs

Option Period 1 – June 1, 2014 through March 31, 2015

Project Manager @ $ . /Hr.

Sr. Analysts @ $ . /Hr.

Mid-Level Experts @ $ . /Hr.

Admin Support @ $ . /Hr.

NTE 135,000

TOTAL

Section B Supplies or Services and Prices/Costs

Option Period 2 – June 1, 2015 through March 31, 2016

Project Manager @ $ . /Hr.

Sr. Analysts @ $ . /Hr.

Mid-Level Experts @ $ . /Hr.

Admin Support @ $ . /Hr.

NTE 135,000

TOTAL

SECTION C – DESCRIPTION/SPECIFICATIONS

Statement of Work (SOW) For State Management Review Program (SMR)

PART 1

GENERAL INFORMATION

1.1 Description of Services/Introduction: The contractor shall provide all personnel, supervision as non-personal services necessary to perform State Management Review support as defined in this Statement of Work (SOW) at locations to be specified in individual task orders. The contractor shall perform to the standards in this contract.

1.2 Background: The State Management Review (SMR) program is authorized by 49 U.S.C. 5327(c). This section authorizes the Federal Transit Administration (FTA) to conduct oversight activities such as management and compliance reviews, and audits of grantees. The SOW consists of a series of tasks that constitute continuing and new work efforts in support of the SMR mission.

1.3 Objectives: The objectives of this SOW are to provide expertise to assist with the conduct of state management reviews and assessments including: (1) State Management Review Toolbox; (2) State Management, Tribal Transit and ARRA Review Reports; (3) SMR Program Reports; (4) State Management Review Workshops and State Programs Meeting; (5) Oversight Program Support and Special Assignments and annually (12) Monthly Progress Reports.

1.4 Scope: The scope of this SOW includes tasks to assure the Federal Transit Administration (FTA) can discharge its State Management Review responsibilities. The SMR program facilitates the FTA required assurances that Grantees have adequate internal controls to manage the Federal funds and to determine the capability of the grantee to maintain its ongoing operations.

The specific tasks described above will require resource support as follows:

1.4.1 Transit industry experience to conduct State Management Review Reviews;

0. Period of Performance: The period of performance shall be for one (1) Base Period of Thirty-Six (36) months and Two (2) 12-month Option Periods. The Period of Performance (POP) reads as follows:

0. Period of Performance: The period of performance shall be for one (1) Base Period of Thirty-Six (36) months and Two (2) 12-month Option Periods. The Period of Performance (POP) reads as follows:

The Government reserves the right to extend the term of this contract at the prices set forth in Section B in accordance with the terms and conditions contained in clause 52.217-9 entitled, “Option to Extend the Term of the Contact”.

1.6 General Information

1.6.1 Recognized Holidays:

1.6.2 Type of Contract: The government anticipates award of an 8(a) Competitive, Indefinite Delivery Indefinite Quantity Fixed Priced contract with Fixed Labor rates.

1.6.2.1 Government Issued ID: The Contractor shall establish and implement methods of making sure all ID Cards issued to the Contractor by the Government are not lost or misplaced and are not used by unauthorized persons. The Contractor shall develop procedures covering ID control that shall be included in the Quality Control Plan. Such procedures shall include turn-in of any issued ID’s by personnel who no longer require ID’s. The Contractor shall immediately report any occurrences of lost or duplicate ID’s to the COTR or the Contracting Officer.

1.6.2.2 The Contractor shall prohibit the use of Government issued ID’s by any persons other than the Contractor’s employees assigned full-time under the SMR contract.

1.6.3 Post Award Conference/Periodic Progress Meetings: The Contractor agrees to attend any post award conference convened by the contracting activity or contract administration office in accordance with Federal Acquisition Regulation Subpart 42.5. The Contracting Officer (CO), Contracting Officers Technical Representative (COTR), and other Government personnel, as appropriate, may meet periodically with the contractor to review the contractor's performance. At these meetings the CO or COTR will apprise the contractor of how the government views the contractor's performance and the contractor will apprise the Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues.

1.6.4 Contracting Officer technical Representative (COTR): The (COTR) is identified below:

TO BE INSERTED AT TIME OF AWARD

In conjunction with information at Section G, the COTR monitors all technical aspects of the contract and assists in contract administration. The COTR is authorized to perform the following functions: (1) assure that the Contractor performs the technical requirements of the contract; (2) perform inspections necessary in connection with contract performance; (3) maintain written and oral communications with the Contractor concerning technical aspects of the contract; (4) issue written interpretations of technical requirements, including Government specifications; (5) monitor Contractor's performance and notifies both the Contracting Officer and Contractor of any deficiencies. A memo of designation issued to the COTR, a copy of which is sent to the Contractor, states the responsibilities and limitations of the COTR, especially with regard to changes in cost or price and estimates. The COTR is not authorized to change any of the terms and conditions of the resulting contract.

1.6.11 Identification of Contractor Employees: All contract personnel attending meetings, answering Government telephones, and working in other situations where their contractor status is not obvious to third parties are required to identify themselves as such to avoid creating an impression in the minds of members of the public that they are Government officials. They must also ensure that all documents or reports produced by contractors are suitably marked as contractor products or that contractor participation is appropriately disclosed.

PART 2

DEFINITIONS & ACRONYMS

(This section includes all special terms and phrases used in the SOW. The definition must clearly establish what is meant. Each definition provided should be carefully considered, for that definition becomes binding for all requirements in the contract. This section should also contain a complete listing of all acronyms used, giving both the acronyms and the words represented by the acronym).

Defective Service. A service output that does not meet the standard of performance as defined in the Statement of Work.

Contracting Officer’s Technical Representative (COTR): A representative from the requiring activity assigned by the Contracting Officer to perform surveillance and to act as liaison to the contractor

SMR – State Management Review

FTA–Federal Transit Administration

SOW – Statement of Work

PART 3

GOVERNMENT FURNISHED PROPERTY, EQUIPMENT, AND SERVICES

N/A

PART 4

CONTRACTOR FURNISHED ITEMS AND SERVICES

4.1 General: Except for those items specifically stated to be government furnished in Part 3, the contractor shall furnish everything required to perform this SOW. In fulfillment of this effort, the Contractor will provide the deliverables identified in Technical Exhibit 1 of this SOW. All deliverables will be submitted to the COTR, unless otherwise agreed upon.

4.2. Government Furnished Data. All data produced as a result of the State Management Review (SMR) program related reviews, SMR Resource Manual, SMR Seminars Workbook, SMR Regional Training Workbook, SMR Final Report CD, SMR Review draft and final reports and an data generated as a result of the SMR program assignments are considered Government data and/or government materials.

PART 5

SPECIFIC TASKS

5.1. BASIC TASKS

The contractor shall be directly responsible for ensuring the accuracy, timeliness and completion of all tasks under this effort. Specifically, the contractor shall carry out the following tasks. Deliverable due dates are identified in technical Exhibit 1.

5.2 TASK 1 – State Management Review Toolbox

5.2.1 State Management Review Contractor’s Guide. Annually, the Contractors will provide FTA technical assistance to update the State Management Review Contractor’s Guide and provide 5 copies to FTA for distribution. The State Management Review Contractor’s Guide is designed to serve as a guide for Contractors who conduct state management reviews. The guide shall include three major sections:

· Part I includes an overview of the state management review process. This introductory section discusses the steps in conducting and documenting the review.

· Part II provides detailed guidance for reviewers. There is a section for each of the 27 state management review areas. Each review area includes a summary of the basic requirement and identifies the specific requirements to be examined. The state management review questions are than listed. Each question or group of questions is followed by an explanation of FTA’s requirements; the reason for the question, citing the statutory, regulatory, or administrative source document; sources of information the reviewers should access during the desk review and site visit; the determination, or what constitutes a deficiency; and suggested corrective actions.

· Part III includes a copy of the state management review worksheets for the fiscal year. The worksheets list the questions to be answered through the desk review and site visit, the deficiency codes to be used in the event of a finding and sources of documentation for each area.

This guide provides an overview of FTA requirements. The Contractor’s guide is not a substitute for statutes, regulations, or FTA circulars, but is a portable summary for the reviewer’s use, particularly during a site visit.

The Guide will be produced on CDs and distributed to other oversight Contractors, the regional offices and Headquarters.

· 5.2.2 State Management Review Workshop Workbook. Annually, the Contractor will provide FTA with technical assistance to update 240 Workshop Workbooks for distribution annually to participants at the designated State Management Review Workshops.

The workbook provides an overview of FTA’s planning, financial, administrative, procurement and operational requirements. Detailed information on these requirements is found in FTA Circulars, Office of Management and Budget (OMB) Circulars, and the Code of Federal Regulations (CFR). This workbook does not substitute for those authoritative documents, but does provide a quick reference tool for major provisions. The workbook is a useful and readily usable tool to assist States in grant management and adherence to FTA policies and requirements.

The workbook will be organized into subsections for the 27 state management review areas. Each review area will include a summary of the basic requirement and will identify the specific requirements to be examined. Detailed references also will be included. The workbook will include the typical questions asked by the state management reviewers. Each question or group of questions will be followed by an explanation, a brief citation of the reason for the question, a discussion of the sources of information that should be maintained by a State, the determination that is made by the reviewers as a result of the questions and typical suggested corrective actions that a State should take or would be required to take if deficiencies were identified by FTA.

The workbook will include the presentation used during the workshop as well as resources such as sample applications, sample progress reports, the Annual List of Certifications and Assurances, the FTA’s Master Agreement, a glossary of FTA terms, a list of resources available on the internet and any other information that FTA deems necessary for inclusion.

An HTML version of the Workbook will be prepared for uploading on the FTA website.

The lead contractor shall also assist FTA in posting the State Management Review Workshop Workbook and State Management Review Toolkit on FTA website with appropriate and updated links.

5.2.3 State Program Managers Guide on Administration and Oversight of FTA Grant Programs

Annually, the Contractors will provide FTA technical assistance to update the State Program Managers Guide on Administration and Oversight of FTA Grant Programs and provide 5 copies to FTA for distribution. The State Program Managers Guide on Administration and Oversight is designed to serve as a guide for State Program Managers’ administration of FTA grants programs.

5.3 TASK 2 - State Management, Tribal Transit, and ARRA Review Reports

5.3.1 The State Management Review is one of the FTA’s management tools for examining States performance and adherence to current FTA requirements and policies. It examines how recipients of federally funded transit programs meet statutory and administrative requirements, especially those that are included in the Annual Certifications and Assurances that grantees submit. The review currently examines 27 separate areas. In addition to helping evaluate States, the review gives FTA an opportunity to provide technical assistance on the latest FTA requirements and aids FTA in reporting to the Secretary, Congress, other oversight agencies and the transit community on the federally funded transit programs.

While FTA staff has the ultimate responsibility for the state management review, Contractors have assisted the regional staff in conducting state management reviews in previous years. FTA Regional Administrators are responsible for organizing the state management review process. Contractors work closely with the State Management Review Coordinators in each region. The Contractor conducts desk reviews, which include interviewing FTA regional staff to gain an understanding of the State; prepares an agenda package and the transmittal letter, and is responsible for contacting the State, making arrangements for the site visit, conducting the site visit and preparing the draft and final reports.

Monitoring, follow-up and close-out of open findings are the responsibility of the regional office staff, primarily the State Management Review Coordinators. The Contractors will assist the regional staff in these activities as directed.

For the first year of the contract, the Contractors will deliver up to 27 standard and combined Triennial Review/State Management Review (TR/SMR) reports in the designated Regions. The Preliminary List of States for FY2011 State Management Review Program is attached in Section J. This work is in support of the stated requirement and objective. In subsequent years, the Contractor(s) may deliver up to 27 state management, tribal transit, and ARRA review reports during a calendar year based on previous year’s performance of all TASKs which will be negotiated and awarded on a FFP basis within the pre-established NTE.

NOTE: All direction referencing Contractor day to day activities or administrative changes to day to day activities shall come from the COTR.

The Contractors will coordinate its review activities with the regional offices and States as described in the Contractor’s Guide. Each state management review report will consist of the following activities:

5.3.2 Conduct the desk review – The Contractors will conduct a desk review as described in the current State Management Review Contractor’s Guide. The Contractors will review documentation on file in the regional office and work with the regional staff to identify any specific issues. The Contractors will record information as necessary using the State Management Review worksheets provided with the Contractor’s guide. Information to be reviewed in the regional office may include, but not be limited to:

· TEAM system data to obtain information on open grants, including budgets, balances remaining, disbursement activity and financial status and progress reports;

· Certifications and Assurances;

· Civil Rights files

· Audit reports, if available, including any pertinent Government Accountability Office (GAO) or Office of Inspector General (OIG) audits;

· Planning files, including key documents and results of the Planning Certification Review

· National Transit Database correspondence;

· Any complaints on file regarding civil rights, American with Disabilities Act (ADA) compliance, charter bus service, school bus service;

· Buy America waiver requests;

· Prior SMR reports, findings, and files, and

· Other oversight reports and findings (such as Financial Management Oversight reports, Procurement System Reviews, etc).

5.3.3 Schedule the site visit – The site visit will be conducted as described in the current State Management Review Contractor’s Guide. During the desk review, the Contractor will work with the regional staff to identify a convenient date for the site visit. The site visit duration will be two to five days for a standard review, tribal transit review or ARRA review and up to five days for combined review of State Management and Triennial Review.

5.3.4 Prepare the agenda package – The Contractors will prepare an agenda package as described in the current State Management Review Contractor’s Guide. The agenda package will be provided to the regional office electronically. The agenda package will be sent to the State or Tribe by the region and will provide detailed information regarding the site visit. This agenda package will include a preliminary site visit schedule, information regarding the State or Tribe profile, a list of documents required for the review and the questions that remain to be answered. The agenda package should be sent at least 8 weeks prior to the site visit to allow time for the State or Tribe to gather the requested documentation, prepare written answers to the questions and send the materials, as available, to the review team.

5.3.5 Contact the grantee – The Contractors will maintain contact with the State or Tribe as described in the current State Management Review Contractor’s Guide. The Contractors should telephone the State about seven to 14 days after the regional office sends the agenda package. At a minimum, this contact should introduce the reviewer(s) who will conduct the review, confirm that the agenda package arrived and answer any questions about the items to be reviewed.

5.3.6 Review State or Tribe input and prepare draft report – As described in the current State Management Review Contractor’s Guide, the Contractor will examine the materials and written answers to the questions after receiving the State’s or Tribe’s input. The contractor will provide extensive technical assistance during the site visit. This assistance will include the sharing of best practices. The Contractors will conduct follow-up with the State or Tribe on any outstanding items. After all the input provided by the State is reviewed, the Contractors will begin preparing the draft report.

5.3.7 Finalize site visit schedule – The Contractors will finalize the site visit schedule as described in the current State Management Review Contractor’s Guide. The schedule should include a list of State/Contractor facilities to be visited after reviewing the State’s input. Any areas that do not require follow-up need not be discussed further during the site visit. The Contractors also may indicate to the State and its sub-recipients which procurements have been selected for examination during the site visit. This final schedule will be developed in consultation with the regional staff and sent to the State or Tribe at least seven (7) days before the site visit date.

5.3.8 Conduct the site visit – The Contractors should conduct the site visit as described the current State Management Review Contractor’s Guide. The Contractors should act with professionalism and courtesy at all times. The site visit will include the following activities: entrance conference, discussion of each review area, visit facilities and examine State and its sub-recipients, or Tribe records as necessary. The regional staff may participate in one or more of these activities. Once these activities are completed, the Contractors will complete the draft report.

5.3.9 Prepare the draft report – The draft report will be prepared according to the current State Management Review Contractor’s Guide. The Contractors will follow regional office preferences for issuing the draft report (e.g., attaching a transmittal letter). The draft report should be prepared in consultation with the regional staff. The region should approve the draft report before it is issued. The site visit will conclude with an exit conference and the presentation of the draft report. The State or Tribe will have seven (7) days to review the draft report and provide comments to the region. The regional will have another seven days to prepare comments for the review team. Within fourteen (14) days of the site visit, the regional office should submit comments on the draft report to the Contractors. The Contractors will transmit an electronic copy of the draft report to the regional office immediately following the site visit.

5.3.10 Prepare input for the final report – The final report will be prepared according to the current State Management Review Contractor’s Guide. The Contractors will prepare input for the final report not less than twenty-one (21) days following the site visit. The Contractors should consult with the regional staff on how each comment from the grantee will be addressed in the final report. The input for the final report will be transmitted to the regional office electronically. The Regional Administrator will transmit the final report to the grantee within thirty (30) days of the site visit. The Contractors will upload the final report to the grantee’s folder on the TEAM system.

5.3.11 Input findings in OTRAK – OTRAK data entry will be performed according to the current State Management Review Contractor’s Guide. The Contractors will enter all findings from the review into OTRAK, FTA’s electronic oversight tracking system. The findings from each state management, tribal transit/ or ARRA review should be entered into OTRAK within thirty (30) days of the submission of the final report.

5.3.12 Finalize worksheets and sources of documentation – The Contractors will document the review as described in the current State Management Review Contractor’s Guide. Once the final report is issued, the Contractors will finalize the worksheets and sources of documents for the review and submit these files electronically to the regional office. The file should be submitted no later than 30 days following the submission of the final report. The worksheets and sources of documents also should be uploaded to the grantee’s folder on the TEAM system.

5.3.13 Closeout Findings- The Contractors will provide technical assistance to the regions as described in the current State Management Review Contractor’s Guide. The technical assistance should assist the regions in meeting the performance requirement of closing state management review findings no later than 30 days after their response due date. The Contractors will close as many state management, tribal transit or ARRA review findings as possible on-site and will follow up on findings for closure for up to 90 days after the site visit.

The combined TR/SMR review report will include combined review elements from the Triennial Review and State Management Review. Since there are overlapping review elements between the two reviews, the total review elements will not exceed 27 pertinent grants management areas. The process and activities in delivering a combined TR/SMR report is similar to the delivery of a standard SMR report as previous outlined. The Contractors will coordinate with the Regional SMR coordinator on conducting and delivering this report.

The contractor shall provide an opinion, using their best professional judgment, whether the grantee is striving to come into full compliance with federal law, rules and regulations.

5.4 TASK 3 - Program Reports and Monthly Progress Reports

The Contractors will prepare the program reports and monthly progress reports.

5.4.1 Program Monthly Performance Reports: A lead contractor will be selected annually to provide FTA assistance in collecting and analyzing information from OTRAK, the regions and related program deliverables to prepare annually 12 program monthly performance reports. The purpose of these reports is to assist FTA in tracking performance against its annual strategic program goals. For example, in previous years FTA had program goals of closing 80 percent of the oversight review findings not more than 30 days after their due date and issuing not less than 100 percent of the final oversight review reports within 30 days of the site visit exit conference.

The Program Monthly Performance Reports shall include:

5.4.2 Summary of Findings – A summary of open and closed state management review findings by region. The report will include the following information:

· Number of total findings

· Number of closed findings

· Percentage of findings closed within 30 days of their due date

· Number of open findings

· Number of findings open that are within the performance period, and

· Number of findings open that are 30 or more days past their due date.

5.4.3 Reports Summary - A summary of pending and completed state management review final reports by region. The report will include the following information:

· Total reviews planned

· Total reviews conducted

· Number of final reports issued

· Number of final reports pending

· Status of final reports issued and pending

· Number issued within 30 days of the site visit

· Number issued within 60 days of the site visit

· Number issued more than 60 days after the site visit

· Percentage of reports issued within 30 days of the site visit

5.4.4 Trends Analysis

· Identification and comparison of trends using data from the previous two years.

· Identification/illustration of the percentage of findings by area.

5.4.5 Program Summary Reports: A lead contractor will be selected annually to provide FTA assistance in collecting and analyzing information from the regions and other state management review deliverables and information systems in the preparation of the (1) mid-year and the (1) year-end state management review program summary reports as directed by the COTR. Each report may include information such as: summary of findings open and closed; number of findings by review area; top five areas of findings; and trend of findings by year.

In addition to the above, the Contractor may need to assist in assembling information from the TEAM and OTRAK system.

The management summary reports will include recommendations to improve the state management review process. While performing state management reviews, the contractor shall continuously note and evaluate the state management review process and make recommendations to FTA regarding changes that would improve the review process. This evaluation may also include a review of the regional state management review process and recommendations to improve specific operations. FTA will use the Contractor input to conduct its own evaluation of the review process and the development of recommendations concerning state management review improvements.

5.4.6 Program Deliverables Compact Disc (CD): A lead contractor will be selected annually to provide FTA assistance in collecting information from the regions and other state management review deliverables in compiling an (1) annual CD library of reviews and program related deliverables. The CD will organize the reports by region. The Contractor will also provide a directory of the States whose final reports are contained on the CD along with the file name for each report. The Contractor will use a standard file naming convention that will incorporate the State’s region and organization’s name into the file name.

5.5 TASK 4 - State Management Review Workshops and State Programs Meeting

A lead contractor will be selected annually to provide FTA logistical and technical support in conducting and hosting the State Management Review Workshops.

5.5.1 State Management Review Workshops: A lead contractor will be selected annually to assist FTA in conducting the up to six (6) selected nationwide locations State Management and Tribal Transit Review Workshops. These workshops are for transit professionals responsible for program management or managing federally funded projects and professionals responsible for planning or managing transit service or compliance programs – both supervisors and program specialists.

The workshops are designed to help attendees broaden their understanding of the Federal rules and regulations that shape and define their programs. It is anticipated that up to six workshops will be held annually at the following locations: Boston, MA, New York, NY, Philadelphia, PA, Atlanta, GA, Chicago, IL, Fort Worth, TX, Kansas City, MO, Denver, CO, Los Angeles, CA, San Francisco, CA, Seattle, WA and Washington, D.C. The Tribal Transit Review workshops will be held in locations, to be determined, that are convenient to the tribes. The Contractor shall provide logistical and technical support in conducting these workshops, as directed.

5.5.2 Instructors. The Contractor will provide from one up to four persons to present sections of the workshop and to assist States and Tribes when not making a presentation. The workshops will require a minimum of two full days on site plus travel. Travel will be to workshop locations and to Washington, D.C.

The Contractor personnel will assist in the preparation of the presentation materials and their content, assist with logistics (e.g., registering State, tribe and sub-recipient personnel, distributing handout materials, etc.), make themselves available to answer attendees’ questions during breaks, etc., and coordinate their own activities with FTA and other Contractor personnel.

5.5.3 Workshop Materials. The Contractor will be responsible for the preparation of all handout materials for the workshop. These will include, but not be limited to:

· Workshop workbooks- See TASK 0001

· Agendas

· Copies of the viewgraphs

· Pre-seminar assessments

· Post seminar assessments

The Contractor will tabulate seminar assessments and evaluations and will provide the results of these tabulations to the COTR.

5.5.4 Logistical Support. The Contractor will be responsible for the logistical planning of each workshop. These activities will include:

· Preparation of the announcement brochure;

· Attendee registration and follow-up;

· Scheduling and contracting hotel arrangements;

· Hotel services including refreshments;

· Logistical support during the workshops; and

· Preparing certificates of workshop completion.

The Contractor will make arrangements for all audio-visual equipment necessary for each workshop. Each workshop is attended by 30 – 40 people.

5.6 TASK 5 - Oversight Program Support (OPS) and Special Assignments

The Contractors shall perform the following activities as directed:

5.6.1 Oversight Program Support

· The Contractors may also be directed by the COTR to attend FTA’s Annual Oversight Meeting as selected location in Washington, DC. The Contractors may be asked to present information during the Oversight Meetings as well as participate in panel discussions and breakout sessions.

· The Contractors shall attend and participate in any and all FTA orientation or annual program kick-off meeting and periodic progress briefings to become familiar and/or to maintain a level of proficiency consistent with program requirements.

· The contractors may also need to attend, interact and present findings, trends, etc., with the other oversight Contractors, Grantees and FTA representatives during the State Programs Meeting and other FTA sponsored meetings as directed.

· Program knowledge sharing by actively participating in knowledge sharing activities such as posting program related information at a designated online site; present lesions learned at periodic progress and annual meetings.

· The FTA has contracted for a comprehensive study of its oversight program processes and procedures.