DTFT60-13-R-0001_Triennial_Review_RFP.pdf

DTFT60-13-R-00001

SOLICITATION, OFFER AND AWARD

4. TYPE OF SOLICITATION2. CONTRACT NUMBER 3. SOLICITATION NUMBER

7. ISSUED BY CODE 8. ADDRESS OFFER TO (If other than Item 7)

ORDER UNDER DPAS (15 CFR 700)

6. REQUISITION/PURCHASE NUMBER

NOTE: In sealed bid solicitations "offer" and "offeror" mean "bid" and "bidder".

NEGOTIATED (RFP)

SEALED BID (IFB)

5. DATE ISSUED

1. THIS CONTRACT IS A RATED RATING PAGE OF PAGES

1 94

C. E-MAIL ADDRESS

EXT.NUMBERAREA CODE

B. TELEPHONE (NO COLLECT CALLS)A. NAME

10. FOR

INFORMATION

CALL:

CAUTION: LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-1. All offers are subject to all terms and conditions contained in this solicitation.

(Date)(Hour) local timeuntildepository located in copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if hand carried, in the

SOLICITATION

9. Sealed offers in original and

PART IV - REPRESENTATIONS AND INSTRUCTIONS

OTHER STATEMENTS OF OFFERORS

EVALUATION FACTORS FOR AWARD

INSTRS., CONDS., AND NOTICES TO OFFERORS

REPRESENTATIONS, CERTIFICATIONS AND

LIST OF ATTACHMENTS

CONTRACT CLAUSES

PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

I

J

K

L

M SPECIAL CONTRACT REQUIREMENTS

CONTRACT ADMINISTRATION DATA

DELIVERIES OR PERFORMANCE

INSPECTION AND ACCEPTANCE

PACKAGING AND MARKING

DESCRIPTION/SPECS./WORK STATEMENT

SUPPLIES OR SERVICES AND PRICES/COSTS

SOLICITATION/CONTRACT FORM

PART II - CONTRACT CLAUSESPART I - THE SCHEDULE

H

G

F

E

D

C

B

A

SEC. DESCRIPTION PAGE(S) (X) DESCRIPTION SEC. (X)

11. TABLE OF CONTENTS

18. OFFER DATE17. SIGNATURE

SUCH ADDRESS IN SCHEDULE.

IS DIFFERENT FROM ABOVE - ENTER

15C. CHECK IF REMITTANCE ADDRESS

EXT.NUMBERAREA CODE

15B. TELEPHONE NUMBER

(Type or print)AND

ADDRESS

OF

OFFEROR

CODE FACILITY

16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER15A. NAME

DATEAMENDMENT NO.DATEAMENDMENT NO.

and related documents numbered and dated):

amendments to the SOLICITATION for offerors

(The offeror acknowledges receipt of

14. ACKNOWLEDGEMENT OF AMENDMENTS

CALENDAR DAYS (%)30 CALENDAR DAYS (%)20 CALENDAR DAYS (%)10 CALENDAR DAYS (%)

(See Section I, Clause No. 52.232.8)

13. DISCOUNT FOR PROMPT PAYMENT

designated point(s), within the time specified in the schedule.

by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the

12. In compliance with the above, the undersigned agrees, if this offer is accepted within ______________ calendar days (60 calendar days unless a different period is inserted

NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period.

OFFER (Must be fully completed by offeror)

IMPORTANT - Award will be made on this Form, or on Standard Form 26, or by other authorized official written notice.

28. AWARD DATE

(Signature of Contracting Officer)

27. UNITED STATES OF AMERICA

25. PAYMENT WILL BE MADE BY

26. NAME OF CONTRACTING OFFICER (Type or print)

CODE 24. ADMINISTERED BY (If other than Item 7)

ITEM

(4 copies unless otherwise specified)

23. SUBMIT INVOICES TO ADDRESS SHOWN IN

41 U.S.C. 253 (c) ( 10 U.S.C. 2304 (c) (

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION:

21. ACCOUNTING AND APPROPRIATION20. AMOUNT19. ACCEPTED AS TO ITEMS NUMBERED

AWARD (To be completed by government)

CODE

FTA-12-002411/06/2012

X

TAD-40

U.S. Dept. of Transportation/FTA Office of Procurement, TAD-40 1200 New Jersey Ave, S.E.

4th Floor East Attn: Carlene Jackson Washington DC 20590

TAD-40 1630 ET 12/04/2012

Matthew Butner Matthew.Butner@dot.gov

X

X

X

X

X

X

X

X

X

X

X

X

X

PAGE(S)

Carlene R. Jackson

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition is unusable

STANDARD FORM 33 (Rev. 9-97)

Prescribed by GSA - FAR (48 CFR) 53.214(c)

1-2 6-9

10-25 27-28 30-34 35-52

53-63

65-69

70-86

87-94

Matthew.butner Typewritten Text

Matthew.butner Typewritten Text 366-0242

Matthew.butner Typewritten Text

Matthew.butner Typewritten Text

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

NAME OF OFFEROR OR CONTRACTOR

2 94

CONTINUATION SHEET

REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE OF

DTFT60-13-R-00001

(A) (B) (C) (D) (E) (F)

Tax ID Number: Not Available DUNS Number: Not Available Servicing Agency: 6S FOB: Destination

Contracting Officer Representative Amy Jernigan, 202-366-6475

00001 TRIENNIAL REVIEW PROGRAM

Period of Performance: 01/01/2013 to 12/31/2017

OPTIONAL FORM 336 (4-86)

Sponsored by GSA

FAR (48 CFR) 53.110

NSN 7540-01-152-8067

Request for Proposal (RFP), DTFT60-13-R-00001 Triennial Review Program

Table of Contents

PART I - THE SCHEDULE

SECTION B: SUPPLIES OR SERVICES AND PRICES

B.1 SUPPLIES OR SERVICES

B.2 NORTH AMERICAN INDUSTRY CLASSIFICATION SYSTEM (NAICS) CODE AND SMALL BUSINESS STANDARD

B.3 CONTRACT DEFINITION – INDEFINITE DELIVERY – INDEFINITE QUANTITY

B.4 HYBRID CONTRACT TYPE

B.5 SAMPLE TASK ORDER CLIN STRUCTURE – MAPPED TO SECTION C WORK FUNCTIONS

B.6 CONTRACT PERIOD OF PERFORMANCE

B.7 PRICING/LABOR RATES TABLE

B.8 OTHER DIRECT COSTS: TRAVEL

SECTION C: DESCRIPTION/SPECIFICATIONS/WORK STATEMENT

C.1 OVERVIEW

C.2 BACKGROUND

C.3 OBJECTIVES

C.4. DEFINITIONS WORK STATEMENT

C.5 DESCRIPTION OF WORK STATEMENT

SECTION D: PACKAGING AND MARKING

SECTION E: INSPECTION AND ACCEPTANCE

E.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

E.2 CONTRACTING OFFICER OR CONTRACTING OFFICER’S REPRESENTATIVE (COR INSPECTION AND ACCEPTANCE

E.3 GOVERNMENT CONTRACT QUALITY ASSURANCE

E.4 STANDARDS OF WORK

SECTION F: DELIVERIES OR PERFORMANCE

F.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

F.2 PERIOD OF PERFORMANCE

F.3 SCHEDULE OF WORK

SECTION G: CONTRACT ADMINISTRATION DATA

G.1 CONTRACTING OFFICER (CO) AND CONTRACTING OFFICER’S REPRESENTATIVE (COR)

G.2 COR ASSIGNMENT

G.3 BILLING INSTRUCTIONS

G.4 METHOD OF PAYMENT AND PROCEDURE

G.5 STATUS OF PAYMENTS

G.6 POST AWARD EVALUATION AND CONTRACTOR PERFORMANCE

G.7 POST AWARD CONFERENCE / PERIODIC PROGRESS MEETINGS

SECTION H: SPECIAL CONTRACT REQUIREMENTS

H.1 EXECUTIVE ORDER 13514, FEDERAL LEADERSHIP IN ENVIRONMENTAL, ENERGY AND ECONOMIC PERFORMANCE

(OCTOBER 5, 2009)

H.2 EXCLUDED FUNCTIONS AND RESPONSIBILITIES

H.3 NON-PERSONAL SERVICE

H.4 CONTRACTOR PERSONNEL MAINTENANCE OF PROFESSIONAL CONDUCT

H.5 SECTION 508 COMPLIANCE

H.6 U.S DEPARTMENT OF TRANSPORTATION (DOT) CONTRACTOR PERSONNEL SECURITY AND AGENCY ACCESS (NOVEMBER

2011)

H.7 IDENTIFICATION OF CONTRACTOR EMPLOYEES

H.8 PROPRIETARY DATA

H.9 FTA NON-DISCLOSURE AGREEMENT (TO BE PROVIDED UPON CONTRACT AWARD)

H.10 REPRODUCTION OF REPORTS

H.11 ACCESS TO SENSITIVE INFORMATION

H.12 ORGANIZATIONAL CONFLICT OF INTEREST

H.13 NOTIFICATION OF CONFLICTS OF INTEREST REGARDING CONTRACTOR’S PERSONNEL

H.14 COMPLETION OF CONFLICT OF INTEREST MATRIX - ATTACHMENT J-7, CONFLICT OF INTEREST MATRIX

H.15 CONTRACT PROGRAM MANAGEMENT

H.16 TASK ORDER ORDERING PROCEDURES

H.17 TASK ORDER QUOTE EVALUATION, NEGOTIATION AND ISSUANCE

H.18 TASK ORDER CEILINGS

H.19 CONFLICT IN TERMS

H.20 TERMINATION OF TASK ORDERS

H.21 KEY CONTRACTOR PERSONNEL QUALIFICATIONS

H.22 KEY PERSONNEL SUBSTITUTION/REPLACEMENT PROCESS

H.23 NON-KEY CONTRACTOR PERSONNEL QUALIFICATIONS:

PART II - CONTRACT CLAUSES

SECTION I: CLAUSES AND CLAUSES INCORPORATED IN FULL TEXT

I.1 GENERAL

I.2 FAR CONTRACT CLAUSES INCORPORATED BY REFERENCE

I.3 FEDERAL ACQUISITION REGULATION CONTRACT CLAUSES IN FULL TEXT

I.4 TRANSPORTATION ADMINISTRATION REGULATION “TAR ” CONTRACT CLAUSES INCORPORATED BY REFERENCE

1.5 TAR CLAUSES INCORPORATED BY REFERENCE:

I.6 TAR CLAUSES IN FULL TEXT

PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS

SECTION J: LIST OF ATTACHMENTS AND EXHIBITS

ATTACHMENT J-1: ACRONYMS, TERMS, AND DEFINITIONS

ATTACHMENT J-2: CURRENT LIST OF FTA 5307 GRANTEES

ATTACHMENT J-3: TRIENNIAL REVIEW CONTRACTOR’S STANDARD OPERATING PROCEDURES (SOPS)

ATTACHMENT J-4: PRICING MATRIX

ATTACHMENT J-5: TRIENNIAL REVIEW WORKBOOK

ATTACHMENT J-6: SAMPLE QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

ATTACHMENT J-7: ORGANIZATIONAL CONFLICT OF INTEREST (OCI) MATRIX

PART IV —REPRESENTATIONS AND INSTRUCTIONS

SECTION K: REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS OR

RESPONDENTS

SECTION L: INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS

L.1 FAR 52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (FEB 1998)

L.2 PRESOLICITATION INFORMATION

L.3 SOLICITATION RESPONSE REQUIREMENTS

L.4. PROPOSAL VOLUME REQUIREMENTS

L.5 SUBMISSION ADDRESS

L.6 COMMUNICATION WITH THE CONTRACTING OFFICE

L.7 TECHNICAL PROPOSAL INSTRUCTIONS

L.8 ESTIMATED DATE OF CONTRACT AWARD

L.9 AMENDMENTS TO PROPOSALS

L.10 DISPOSITION OF PROPOSALS

L.11 PRIME CONTRACTOR RESPONSIBILITIES

L.12 ALTERNATE PROPOSALS

L.13 LIST OF ATTACHMENTS SECTION L

L.14 OTHER REQUIREMENTS

SECTION M: EVALUATION FACTORS FOR AWARD

M.1 52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (FEB 1998)

M.2 AWARD BASED ON BEST VALUE COST/TECHNICAL TRADEOFF TO THE GOVERNMENT

M.3 EVALUATION FACTORS AND SUBFACTORS

M.4 AWARD WITHOUT DISCUSSIONS

M.5 EVALUATION APPROACH

M.6 DEFINITIONS

M.7 TECHNICAL EVALUATION DEFINITIONS (PROPOSAL REVIEW)

M.8 PRICE ANALYSIS DEFINITIONS

PART I - THE SCHEDULE

SECTION B: SUPPLIES OR SERVICES AND PRICES

B.1 Supplies or Services

B.1.1 Professional contractor support to provide the Department of Transportation (DOT), Federal Transit Administration (FTA) with Triennial Review (TR) Oversight Program services to examine grantee performance and adherence to current FTA requirement and policies. The contractor will be utilized by FTA to continue the responsibility of the TR program as first mandated by Congress in 1982.

B.1.2 This contract award document represents the Government’s acceptance of {CONTRACTOR NAME}, initial offer (inclusive of technical and cost proposals) dated _________________, as submitted under DOT/FTA Solicitation Number DTFT60-13-R- 00001 and {NOTE: FOLLOWING LANGUAGE WILL BE ADDED TO THIS CONTRACT AWARD ONLY IF APPLICABLE} revised through contract negotiations on TBP and submission of proposal revisions dated TBP , incorporated and made a part of this contract. Also incorporated herein are: (1) Solicitations Amendment(s) numbering _____ through ___ .

B.2 North American Industry Classification System (NAICS) Code and Small Business Standard

This award is a Total Small Business Set-Aside. The North American Industry Classification System (NAICS) code for this acquisition is 541611, Administrative Management and General Management Consulting Services. The small business size standard is $14,000,000 (Fourteen million dollars).

B.3 Contract Definition – Indefinite Delivery – Indefinite Quantity

This is an Indefinite Delivery - Indefinite Quantity Contract as defined at Subpart 16.504 of the Federal Acquisition Regulation (FAR) and in Section I, FAR Clause 52.216-22, Indefinite-Quantity, herein. Services provided by the Contractor under this Contract shall be secured by the issuance of Task Orders placed in accordance with the following clauses, herein: FAR 52.216-18, Ordering, and FAR 52.216-19, Ordering Limitations

B.3.1 Minimum and Maximum Obligation of the Government – Indefinite Delivery Indefinite Quantity Contract;

a) Per FAR 52.216.22 “INDEFINITE QUANTITY,” the minimum of this indefinite quantity contract shall be any quantity or combination of supplies and services equal to the amounts(s) set forth below.

b) The Minimum amount guaranteed under this contract will be established at the time of award. Once a single Task Order is received by the Contractor, that exceeds the contract minimum, the guaranteed minimum will be considered satisfied in full.

c) The Maximum amount for this indefinite quantity contract for all contract years shall be any quantity or combination of supplies and services equal to $TBP upon award over a 5 year period of performance. The maximum NTE amount is an estimate and does not reflect an obligation of the Government.

d) The Government’s obligation hereunder shall be specified in the task orders issued during the period of performance under the contract.

e) The Contractor is not authorized and is proceeding at its own risk to incur costs that would exceed the funds obligated on the contract at any given time during the contract period of performance.

B.4 Hybrid Contract Type

B.4.1 The contract type is a hybrid and will be determined at the task order level. Task orders will be issued Fixed Price, Labor Hour or Time and Material, Cost Reimbursable (See sample Task Order Contract Line Item (CLIN) structure in Section B.5). Orders may have a combination of the four types if warranted, e.g. other direct costs and travel costs may be reimbursable under a fixed price order. Task orders also may be issued with a combination of Contract Line Items (CLINS) with a Not-to-Exceed task order value. All orders will be awarded based on Section H.18 Task Order Ordering Procedures.

B.4.2 The Contractor agrees the pricing for each of the resultant task orders shall be submitted in accordance with the attached Pricing/Labor Rates Table in Attachment J-4.

In doing so, the Contractor agrees that, unless otherwise specified in the request for quote, reimbursable travel will be paid based upon Federal travel regulations in place at the time the travel takes place and will not have any fee added to it.

B.4.3 Payment for services to be furnished under IDIQ task orders shall be made based on the total value of IDIQ task orders issued under this contract. Payments shall be in accordance with the provisions of FAR Clause 52.216-8 “SUBMISSION OF VOUCHERS FOR PAYMENT” and paragraph G.3 Billing Instructions.

B.5 Sample Task Order CLIN Structure – Mapped to Section C Work Functions

CLIN Description (Mapped to Section C) Amount

1 Annual HQ Kickoff and Program Review Meeting *TBD

2 TR, Part I, Tier I Grantee - Pre-review Assessment *TBD

2A TR, Part II, Tier I Grantee - Site Visit; Draft Report; Final Report & Closeout *TBD

3 TR, Part I, Tier 2 Grantee - Pre-review Assessment *TBD

3A TR, Part II, Tier 2 Grantee - Site Visit; Draft Report; Final Report & Closeout *TBD

4 TR, Part I, Tier 3 Grantee - Pre-review Assessment TBD

4A TR, Part II, Tier 3 Grantee - Site Visit; Draft Report; Final Report & Closeout TBD

5 Corrective Action Support -- All Tiers *TBD

6 Enhanced Review Module, Tier 1 Grantee *TBD

7 Enhanced Review Module, Tier 2 Grantee TBD

8 Enhanced Review Module, Tier 3 Grantee TBD

9 Technical Assistance TBD

10 Triennial Review Guide(s) and Work Shop Materials TBD

11 Triennial Review Workshops and Training TBD

12 Monthly Program Reports TBD

13 Oversight Program Support and Special Assignments TBD

14 Other Direct Costs - Travel TBD

*CLIN Type will be negotiated and determined at the Task Order Level (See Section L.16 for Representative Task Order)

B.6 Contract Period of Performance

The contract period of performance is from date of award through a five year period.

B.7 Pricing/Labor Rates Table

The labor categories in the Pricing Matrix below shall be used for all task orders issued under this IDIQ contract.

Task orders will be awarded to contractors based within the pre-established Firm Fixed Labor rates as stated in each Task award using the CLIN structure in B.5 above. The maximum allowable escalation rate is 2% which may be applied on the anniversary of the award date during the period of performance. (See Attachment J-4: Pricing Matrix.)

B.8 Other Direct Costs: Travel

Travel costs under this task order shall be determined on the task order level. The Contractor shall be reimbursed for actual allowable costs that apply over the life of the requirement, not to exceed the amount shown in the schedule. Long distance travel shall be reimbursed at cost to the contractor and in accordance with Government Federal Travel Regulations (FTR). Local travel shall be billed and is defined as all travel within a fifty (50) mile radius of Washington, DC or within a fifty-mile radius of the contractor’s facility when the client site is outside the Washington, DC area (excluding normal commuting travel).

The cost for travel during task assignments shall be in keeping with GSA guidelines in terms of: local per diem, subsistence, and miscellaneous expenses, all of which will be reported to the COTR. See notes below:

Note 1: Per FTR Sec.301-11.2 – the contractor is prohibited from invoicing for meals and incidental expenses (M&IE) if travel is for 12 hours or less.

Note 2: Per FTR Sec. 301-11.101 – the contractor shall be restricted to invoicing for 75% of the M&IE on the first day of travel, 100% of the M&IE on full days in travel status and 75% of the M&IE on the last day of travel.

End of Section

SECTION C: DESCRIPTION/SPECIFICATIONS/WORK STATEMENT

C.1 Overview

The Federal Transit Administration (FTA) is one of eleven modal agencies within the U.S.

Department of Transportation (DOT). FTA awards grants under several different formula and discretionary funding programs each year under Chapter 53 of Title 49 of the United States Code (49 U.S.C. Chapter 53). For FY2010, 1,010 grants were awarded and for FY2011, there were 1,462 grant awards totaling over $11.1 billion.

The largest of these funding programs is the Urbanized Area Formula Grant program, which represents approximately 36 percent of all grant funds awarded by FTA each year. This grant program is authorized under 49 U.S.C. §5307 to provide funding to transit providers in urbanized areas. FTA currently has 620 active Section 5307 grant recipients (grantees) that range in size and complexity from small transit operators that only provide bus and para-transit service to large and complex agencies that provide bus, rail, and ferry service. Geographically, these grantees are located throughout all 50 states and in the U.S. territories.

FTA is responsible for conducting oversight activities to help ensure that recipients of Section 5307 grants use the funds in a manner consistent with their intended purpose and in compliance with regulatory and statutory requirements. To accomplish this, FTA utilizes multiple contractors to conduct oversight reviews of these grantees and ensures that each receives a review at least once every three years; hence the review is called the Triennial Review.

C.2 Background

The Triennial Review was mandated by Congress in 1982 and is codified in 49 U.S.C. § 5307(h)(2), which states:

At least once every 3 years, the Secretary shall review and evaluate completely the performance of a recipient in carrying out the recipient's program, specifically referring to compliance with statutory and administrative requirements and the extent to which actual program activities are consistent with the activities proposed…

Since 1990, the FTA has utilized contractor support to conduct Triennial Reviews, which examine how §5307 recipients meet statutory and administrative requirements, especially those that are included in FTA’s Annual Certifications and Assurances (see http://www.fta.dot.gov/grants/12825_93.html). Each year, the specific content of the Triennial Review is modified to reflect any changes in statutory requirements made over the preceding year in the Urbanized Area Formula Program and FTA policy.

http://www.fta.dot.gov/grants/12825_93.html

In addition, since contractors have been incorporated into the Triennial Review program, FTA has used their services to conduct Triennial Review workshops across the country. These workshops are widely attended by grantees who want to learn about the Triennial Review process, how to prepare for one, and generally how to comply with FTA program requirements.

C.3 Objectives

The Triennial Review is FTA’s primary procedure to ensure compliance with Section 5307(h)(2).

In any given year, there may be approximately 200 Triennial Reviews which are conducted.

These reviews examine grantee compliance in the following areas:

1. Legal

2. Technical

3. Maintenance

4. Buy America

5. Suspension and Debarment

6. Planning/Program of Projects

7. Public Comment Process for Fare and Service Changes

8. Americans with Disabilities Act (ADA)

9. School Bus

10. Safety and Security

11. Drug and Alcohol Program

12. Intelligent Transportation Systems Architecture

13. Financial

14. Satisfactory Continuing Control

15. Procurement

16. Disadvantaged Business Enterprise

(DBE)

17. Lobbying

18. Title VI

19. Half Fare

20. Charter Bus

21. National Transit Database (NTD)

22. Drug-Free Workplace

23. Equal Employment Opportunity (EEO)

24. American Recovery and Reinvestment Act (ARRA)

Important objectives of the Triennial Review oversight program include:

a) Determining grantee compliance with Federal requirements;

b) Identifying technical assistance needs, at the grantee level and at the national level, and delivering technical assistance to meet those needs;

c) Spotting emerging issues with grantees in a forward-looking fashion;

d) Recognizing when there is a need for more in-depth reviews in the areas of procurement, financial management, and civil rights;

e) Identifying grantees with recurring or systemic issues;

f) Highlighting policy issues and informing policy development;

g) Understanding trends and cross-cutting issues at the national level;

h) Informing curriculum development of FTA-sponsored technical training courses; and

i) Aiding in the development of reports to the Secretary, Congress, other oversight agencies and the transit community in general.

C.4. Definitions Work Statement

C.4.1 Tier Designations

FTA recognizes that the contractor's level of effort to conduct a Triennial Review for a very large and complex transit agency is greater than it is for a small grantee. In light of this increased effort, the FTA has designated three Tiers to accurately reflect the level of effort for each. Tiers are assigned as follows:

Tier 1: 5307 grantees with Annual Operating Expenses of $1 billion or greater.

Tier 2: 5307 grantees with Annual Operating Expenses of $100 million or greater and a fleet size of over 500.

Tier 3: By default, all 5307 grantees not on the Tier 1 or Tier 2 lists are Tier 3 grantees.

Tier designations are solely a mechanism for tracking level of effort, based on the operating expenses of the grantee. Tiers are not to be misconstrued as indicating any other designation (i.e. risk).

Tier 1 and 2 FTA Section 5307 grantees are identified in Attachment J-2. The Contractor will receive an updated list of Tier 1 and Tier 2 grantees from FTA each program year.

Regardless of the tier level of the grantee, the following major components must be conducted during a Triennial Review:

a) The pre-review assessment and scoping meeting;

b) The Triennial Review site visit and summary of findings; and

c) The Triennial Review draft and final reports; and review closeout

C.4.2 Standard Operating Procedures

The Contractor shall perform Triennial Review work in accordance with the FTA documents entitled Contractor’s Standard Operating Procedures” (SOP), (a draft of which is provided in Attachment J-3). FTA reserves the right to modify the SOP without issuing a contract modification when such changes do not materially affect Contractor deliverables or levels of effort. Any work performed in variance to the SOP must be done only at the written direction of the COR.

C.5 Description of Work Statement

C.5.1 Annual HQ Kickoff and Program Review Meeting

Each year, the Contractor shall participate in a program-wide kickoff meeting held by the Contacting Officer and the Contracting Officer’s Representative (COR). At this annual kickoff meeting, FTA will review

a. The upcoming year’s Triennial Review work schedule and task orders;

b. Any changes to the manner in which the reviews are to be conducted;

c. Any new or modified regulations and guidance that have been incorporated into the content of the Triennial Review; and

d. Unique FTA procedures and software programs

e. Any other pertinent contractual, procedural or administrative matters.

Contractor attendance will be covered on a labor hour basis, with an estimated maximum TBE on the Task Order level. Mandatory in-person (versus teleconference) attendance at this annual meeting will be required. Each contractor’s personnel attendance is limited to the Technical Project Manager and up to one additional staff member.

C.5.2 Conduct Triennial Review Part 1

1. Annual Regional Kickoff Meetings – Subsequent to the program-wide kickoff meeting, the Contractor shall initiate and schedule a Triennial Review kickoff conference call with each FTA regional office identified in the Contractor’s annual task order. The Contractor shall meet separately with each region to which they are assigned. These meetings must include the Triennial Review COR/Program Manager. The purpose of the kickoff teleconference for the Contractor is to:

a. Receive an overview of Regional Office staffing in terms of organizational structure and specific staff that the contractors will be coordinating with in each Region;

b. Review the list of grantees receiving a Triennial Review;

c. Receive pertinent information about those grantees from the regional office; and

d. Receive regional perspectives and considerations for scheduling the reviews.

2. Prepare a Pre-review Assessment Package and Cover Letter – For each grantee assigned, the Contractor shall prepare a pre-review assessment package and cover letter, and deliver them electronically to the appropriate regional office in MS Word format for transmittal to the grantee. The content and structure of the pre-review assessment packages will be identical for each grantee and they shall be prepared using a pre-determined template provided by FTA.

3. Perform Pre-review of Grantee – An important part of the pre-review assessment phase is to identify activities and events in the grantee’s foreseeable future which may pose a potential risk to the grantee if not mitigated in advance (e.g. a grantee planning a construction project for the first time, upcoming or recent changes in key staff, potential reduction in service, changes in local funding sources, etc.). There are two main components to the Contractor’s pre-review assessment activities for each grantee:

a. During the time that a grantee is preparing responses to the pre-review assessment package, the Contractor shall perform “background” research on the grantee by retrieving and reviewing readily available grantee information from the web and FTA’s files or software systems.

b. The Contractor shall independently review the grantee’s answers and the grantee-provided documents received in response to the pre-review assessment package. To the extent possible in the pre-review assessment, the Contractor shall utilize available background information to verify the accuracy and completeness of answers and documents received from grantee.

4. Develop Recommendations Regarding Enhanced Review Modules – For each grantee assigned, the Contractor shall develop recommendations, as appropriate, as to whether one or more of the enhanced review modules (in the areas of Technical Capacity, Financial Capacity, Financial Management, Procurement, Disadvantaged Business Enterprise (DBE), Americans with Disabilities Act (ADA), Title VI, and Maintenance) should be added to the Triennial Review. The Contractor shall include supporting documentation and rationale from the pre-review assessment phase for all such recommendations.

5. Hold Scoping Meeting – The pre-review assessment phase, for each grantee assigned, culminates in a Triennial Review scoping meeting held with the FTA regional office. Each regional office will determine if this meeting will be held on-site in the regional office or via telephone.

It is expected that each scoping meeting will address multiple grantees. In some cases, a region may hold one scoping meeting lasting a day or more to discuss all grantees in their region receiving Triennial Reviews for the year. In very limited cases, such as in a region with a large number of grantees, more than one scoping meeting may be required.

The Contractor shall be responsible for coordinating with the FTA regional office staff to schedule and prepare for these scoping meetings. The Contractor shall complete and submit the Scoping Worksheet and Recommendations Form to the FTA regional office and the COR in advance of the scoping meeting.

It is FTA’s intention to determine at the scoping meeting(s) if one or more enhanced review modules will be included in the Contractor’s Triennial Review scope of work for each grantee. The Contractor and region will jointly discuss the results of the Contractor’s pre-review assessment and the region’s knowledge of the grantee. The Contractor shall be prepared to discuss and justify any recommendations made for including one or more enhanced review modules as part of the Triennial Review, and shall highlight any other specific issues identified. Based on these discussions, the FTA regional office will determine if the grantee is a suitable candidate for one or more enhanced oversight modules in addition to the standard Triennial Review. However, the Contractor may conduct one or more enhanced review module, only when tasked to do so by written work order from the COR, using NTE Labor CLIN from the awarded Task Order. (See section C.5.3 for information on enhanced reviews.)

6. Update the Work Plan – In accordance with standard operating procedures, the Contractor shall re-confirm and/or reschedule the remaining schedule of Triennial Review activities, including the site visit date(s), with FTA Regional staff during the scoping meeting.

7. Prepare Triennial Review Package – Upon completion of the scoping meetings and in accordance with standard operating procedures, the Contractor shall prepare a Triennial

Review package for each grantee. The content and structure of the Triennial Review packages shall be prepared according to the current year’s Triennial Review materials. The Triennial Review package and cover letter for each grantee shall be delivered to the Regional Office electronically in MS Word format for transmittal by FTA to the grantee.

8. Perform Review of Grantee Materials – The Contractor shall independently review the grantee’s answers and grantee-provided documents received in response to the Triennial Review package. To the extent possible in the review of grantee materials, Contractor shall utilize available background information to verify the accuracy and completeness of answers and documents received from grantee.

C.5.3 ENHANCED REVIEW MODULES

The Contractor may be tasked with conducting an enhanced level of review based on the outcome of the pre-review assessment phase and scoping meeting. These enhanced review modules are designed to focus on the Triennial Review compliance areas that have historically posed the greatest challenges to FTA’s Section 5307 grantees. The optional enhanced review modules are:

1. Technical Capacity - The Contractor shall perform an enhanced level of review in the area of technical capacity Subject Matter Expert – Management, as established in work orders issued by the COR.

The review work performed is intended to identify if there are any grant management areas of non-compliance and provide FTA with an informed assessment of the agency’s overall technical capacity with an emphasis on:

a. Level of staff expertise, training and experience;

b. Staff turnover in key positions and organizational areas;

c. The organizational structure;

d. The manner in which grants are managed and closed;

e. the manner in which transit service is delivered;

f. The technical expertise of the agency’s senior management team; and

g. Any weaknesses in the grantee’s grant management processes.

The Contractor shall review staff size and workload distribution, standard operating procedures, board meeting minutes, staff hiring and training practices; staff retention data;

and conduct interviews with grantee staff.

2. Financial Capacity - The Contractor shall perform an enhanced level of review in the area of financial capacity using Subject Matter Expert – Finance, as established in work orders

The review work performed is intended to identify if there are any financial capacity areas of non-compliance and provide FTA with a broad picture of the grantee’s financial health in the near term (i.e. one to three years) with an emphasis on the grantee’s ability to:

a. Meet their non-federal match requirements;

b. Sustain their current and/or proposed levels of transit service; and

c. Maintain their federally funded assets in a state of good repair.

The Contractor shall examine financial statements and other records, conduct financial sensitivity analyses, evaluate the validity and reasonableness of future revenue and cost projections and conduct financial ratio analyses, etc. to determine the strengths and weaknesses of the grantee’s financial situation.

3. Financial Management - The Contractor shall perform an enhanced level of review in the area of financial management using Subject Matter Expert - Finance, as established in work orders issued by the COR.

The review work performed is intended to identify if there are any financial management areas of non-compliance and provide FTA with an informed assessment of whether the grantee’s financial management systems meet the requirements of the Common Rule (49 CFR 18.20), with an emphasis on whether the grantee:

a. Has adequate internal controls;

b. Uses appropriate processes and procedures for financial reporting activities;

c. Maintains adequate accounting records; and

d. Ensures only allowable costs are charged to FTA grants.

It is also intended to identify weaknesses in the grantee’s financial management processes.

The Contractor shall review the agency’s written financial management policies and procedures, examine recent grantee Federal Financial Report (FFRs), select and examine a sample of financial reports and other financial records, and conduct limited interviews with grantee staff involved in financial management and financial reporting.

4. Procurement - The Contractor shall perform an enhanced level of review in the area of procurement using Subject Matter Expert - Procurement, as established in work orders

The review work performed is intended to identify if there are any procurement areas of non-compliance and provide FTA with a broad understanding of:

a. How the grantee conducts different types of procurements in terms of documentation and process;

b. The grantee’s technical ability to conduct procurements including the grantee’s appropriate use of different procurement methods;

c. The grantee’s contract award and contract management practices; and

d. Any weaknesses in the grantee’s procurement processes.

The Contractor shall review the grantee’s written procurement policies and procedures, select and examine a sample of the agency’s procurement files and conduct limited interviews with grantee staff involved with procurements. As part of this enhanced review module, the Contractor shall examine the grantee’s compliance with FTA’s Buy America and the DOT Disadvantaged Business Enterprise (DBE) program requirements.

5. Disadvantaged Business Enterprise (DBE) - The Contractor shall perform an enhanced level of review in the area of Disadvantaged Business Enterprise using Subject Matter Expert – DBE Specialist, as established in work orders issued by the COR.

The review work performed is intended to provide FTA with an informed assessment of whether the grantee is compliant with the DOT DBE regulation (49 CFR Part 26 “Participation by Disadvantaged Business Enterprises in DOT Programs), as they (1) ensure nondiscrimination in the award and the administration of DOT-assisted contracts; (2) create a level playing field on which DBEs can compete fairly for DOT-assisted contracts; (3) ensure that the DBE program is narrowly tailored in accordance with applicable law; (4) ensure that only firms that fully meet DOT’s DBE eligibility standards are permitted to participate as DBEs; and (5) ensure that the DBE program is actively seeking to remove barriers to preventing the participation of DBEs in DOT-assisted contracts. The review shall provide FTA with an understanding of:

a. Review the grantee’s official DBE policies and procedures documents;

b. Determine if a grantee is honoring its commitment represented by its certification to

FTA that it is complying with its responsibilities under 49 CFR Part 26,

c. Examine the required components of a grantee’s DBE Program Plan against the compliance standards set forth in the regulations; and

d. Any weaknesses in the grantee’s DBE management processes.

6. Americans with Disabilities Act (ADA) - The Contractor shall perform an enhanced level of review in the area of ADA using Subject Matter Expert – ADA Specialist, as established in work orders issued by the COR.

The review work performed is intended to provide FTA with an informed assessment of whether the grantee is compliant with ADA regulations as they (1) build or alter facilities, (2) procure new or remanufacture transit service vehicles and rolling stock, and (3) deliver transit services. It is also intended to identify weaknesses in the grantee’s ADA management processes. The Contractor shall:

a. -Review the grantee’s official ADA policies and procedures documents;

b. Examine ADA-related specifications and engineering drawings for vehicle procurements and construction projects;

c. Conduct limited interviews with agency staff;

d. Review para-transit eligibility records;

e. Review and analyze service and maintenance data on fixed route stop announcements;

f. Review and analyze service and maintenance data on accessibility features such as lifts, securements, and elevators;

g. Review and analyze service parameters (i.e. service area and hours by mode);

h. Review and analyze service denials;

i. Review and analyze service capacity and performance (including reservations and dispatch for para-transit);

j. Review and analyze para-transit no-shows;

k. Review and analyze comparability of para-transit trip length to fixed route; and

l. Review and analyze origin-to-destination service on para-transit.

6. Title VI - The Contractor shall perform an enhanced level of review in the area of Title VI using Subject Matter Expert – Title VI, as established in work orders issued by the COR.

The review work performed is intended to identify if there are any Title VI areas of non-compliance and provide FTA with an informed assessment of whether the agency is planning and implementing “major service changes” and fare changes in accordance with the requirements of the Title VI regulation, with an emphasis on:

a. Planning certifications;

b. The use of service and fare equity analyses and public involvement practices for major service and fare changes;

c. Identifying possible discriminatory impacts against minority riders as a result of a “major service change” or fare change; and

d. Identifying weaknesses in the grantee’s Title VI processes.

The Contractor shall examine the grantee’s records associated with major service changes and fare changes including the public involvement process and any service and/or fare equity analyses conducted, consistent with FTA’s Title VI Circular.

7. Maintenance - The Contractor shall perform an enhanced level of review in the area of maintenance using Subject Matter Expert – Maintenance Specialist, as established in work orders issued by the COR.

Work performed is intended to identify if there are any maintenance areas of non-compliance and provide FTA with an informed assessment of:

a. The grantees asset management practices;

b. The state of good repair of federally funded assets; and

c. Weaknesses in the grantee’s maintenance processes.

The Contractor shall review the grantee’s asset management plans, examine vehicle maintenance records and inspect vehicles, review maintenance records for vehicle maintenance facilities and administration facilities, visit vehicle maintenance and administration facilities (as appropriate), and review asset maintenance data and ratios in the NTD database.

One or more of these enhanced review modules may be added, at FTA’s sole discretion, to the Contractor’s standard Triennial Review task order scope of work, or as a standalone review activity. The Contractor shall integrate the preparation, examination, analysis, report writing functions and all other such activities associated with any selected enhanced review modules into the standard Triennial Review process by adding the appropriate subject matter experts to the Contractor’s Triennial Review team and conducting these enhanced levels of review concurrently with other Triennial Review activities.

FTA also reserves the right to task this enhanced review effort to other FTA specialized program review contractors in the areas of Technical Capacity, Financial Capacity, Financial Management, Procurement, Disadvantaged Business Enterprise (DBE), Americans with Disabilities Act (ADA), Title VI, and Maintenance, in the even that during the pre-assessment phase and/ or scoping meeting, it becomes apparent to the Triennial Review contractor and/ or FTA staff that adding an enhanced review module effort under this contract in one these areas will not adequately mitigate the potential risks or deficiencies identified. IN such cases FTA may augment the standard Triennial Review with one or more specialized reviews in those areas noted, in lieu of tasking the Triennial Review contractor with performing the enhanced review module in that area.

C.5.4 Conduct Triennial Review Part 2

1. Conduct the Site-Visit – The Contractor shall use the Triennial Review Workbook to conduct the site visit in accordance with standard operating procedures. The site visit includes the following major activities:

a. Conducting an entrance conference with the grantee;

b. Performing an examination of each review area;

c. Performing an examination of any enhanced review module(s), if applicable;

d. Selecting and inspecting facilities, vehicles, and other major assets;

e. Selecting and inspecting sample records, files and other source documents for examination;

f. Preparing a Summary of Preliminary Findings in consultation with FTA regional staff; and

g. Conducting an exit conference with the grantee and review the Summary of Preliminary

Findings.

(The Draft Report will not be prepared or provided to the grantee during the Site-Visit.)

2. Develop the Draft Report – Once the site-visit has concluded, the Contractor shall complete any final analysis of data collected on-site, prepare a draft Triennial Review report and cover letter in accordance with standard operating procedures, gain necessary approvals, and provide it to the Regional office in MS Word format for transmittal to the grantee. The Contractor will revise the draft report if directed by the COR. Once the draft report has been issued to the grantee, the contractor shall upload it, with the signed cover letter, as a single PDF document, to OTRAK.

3. Develop the Final Report – In consultation with the Regional office and as directed by the COR, the Contractor shall prepare a final report, incorporating changes to the draft report based on grantee and FTA comments, if any, to the draft report. The final report and cover letter shall be prepared in accordance with standard operating procedures and provided to the Regional office in MS Word format for transmittal to the grantee. Once the final report has been issued to the grantee, the contractor shall upload it, with the signed cover letter, as a single PDF document, to OTRAK.

4. Close-out the Review – Closing out the Triennial Review primarily involves the entry of data and documents into OTRAK and providing electronic copies of the contractor’s work papers to FTA.

C.5.5 Corrective Action Support

To facilitate the timely resolution of Triennial Review findings, the Contractor shall provide targeted assistance to grantees that have open Triennial Review findings. In such instances, the Contractor provides technical expertise to help grantees develop and implement appropriate corrective actions.

C.5.6 Technical Assistance

The Contractor may be tasked with providing technical assistance directly to one or more grantees. Such technical assistance is most often related to a recently performed Triennial Review however, it can be utilized as a means for providing specific technical assistance to grantees for reasons unrelated to the Triennial Review. Contractors may also be required to monitor grantees’ adherence with corrective actions after the findings have been closed, or to assist grantees who are experiencing difficulties with program implementation issues.

C.5.7 Triennial Review Guide(s) and Workshop Materials

FTA may require contractor support to periodically update the Triennial Review program workbook (Workbook). The guide(s) are reference materials used by all Triennial Review contractors, FTA staff, and Section 5307 grantees to understand and prepare for the standard Triennial Review. They provide an overview of the FTA planning, financial, administrative, procurement, and operational requirements for Section 5307 grantees. 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 Guide(s) will likely be subdivided into the following sections –

1. The Pre-Review Assessment - The pre-review assessment section provides the list of questions that will be asked and the list of documents that will be reviewed. It also provides a copy of the Scoping Worksheet and Recommendations form to be used by the Contractor.

2. The Standard Triennial Review - The standard Triennial Review section is broken down into separately tabbed sub-sections for each major area being examined. For each major area, the Guide(s) outline(s) the specific criteria;

a. Stipulates the requirements that must be met by the grantee;

b. Cites the regulatory and statutory source(s) behind the requirement and any applicable policy or administrative documents;

c. Identifies the specific grantee documents that will be reviewed;

d. Provides an explanation of the applicable deficiency codes along with suggested grantee corrective actions and timeframes within which the corrective actions should be completed; and

e. Provides worksheets for documenting the review process.

3. The Enhanced Review Modules. - The last section of the Guide(s) contain(s) guidelines for each enhanced review module. Each enhanced review module has its own tabbed sub-section which:

a. Outlines the specific questions that will be asked;

b. Stipulates the requirements that must be met by the grantee;

c. Cites the regulatory and statutory source(s) behind the requirement and any applicable policy or administrative documents;

d. Identifies the specific grantee documents that will be reviewed;

e. Provides an explanation of the applicable deficiency codes along with suggested grantee corrective actions and timeframes within which the corrective actions should be completed; and

f. Provides worksheets for documenting the review process.

Attachment J-5, Triennial Review Workbook, provides a draft example of the type of information included in the Guide(s).

As part of updating the Guide(s), the Contractor shall:

4. Establish a Project Workplan – Which may include schedule, as directed by the COR.

a. Incorporate any applicable new regulatory requirements since the last guide update,

b. Check all web links and URLs contained in the guide to ensure they are accurate and still work.

c. Suggest new or modified questions based on previous year’s findings;

d. Secure input from other Triennial Review contract teams, FTA Regional Offices, and FTA

Headquarters Program Offices.

e. Provide a version of the guide for use by Grantees, which removes certain portions of the complete guide, as identified by FTA, and which is for FTA and the Contractor’s use only.

Workshop presentation materials will be drafted after the completion of the annual guide update, to ensure new or altered program requirements are appropriately addressed.

Once FTA has reviewed and approved the updated Guide(s), the Contractor shall deliver all final versions of the Guide(s) in MS Word format and in HTML format suitable for posting to FTA’s intranet and internet websites.

C.5.7 Triennial Review Workshops

These workshops are for grantee staff and other transit professionals who have responsibility within their organizations for developing FTA grant applications, managing federally funded projects and programs, planning and managing transit services, managing procurements and overseeing financial matters.

The workshops are designed to help attendees broaden their understanding of the Federal rules and regulations that shape and define their programs. Workshop participants can range from senior executives to line staff. Workshops typically have between 40-60 attendees.

1. Workshop Instructors

The Contractor shall provide up to three instructors, to present sections of the workshop and to assist grantees when not making a presentation. All workshop presenters shall be skilled in conducting training sessions and shall have the subject matter expertise necessary to present the material effectively and respond correctly to participants’ questions. The workshops will require two full days at the workshop location. Some additional Workshops may be conducted via webinar, therefore the Contractor must have knowledge of and access to technology to successfully and professionally conduct webinars.

2. Workshop Materials

The Contractor may be responsible for the preparation of all materials for the workshop except for the development of the guide. This includes, but is not necessarily limited to:

a. Agendas

b. Copies of all Microsoft PowerPoint presentations (in color, using the handout format with 2 slides per page, double-sided)

c. Pre-seminar knowledge assessment forms

d. Post seminar knowledge assessment and workshop evaluation forms

The Contractor shall tabulate the assessments and evaluations and provide the results of these tabulations to the COR along with copies of the assessments and evaluation forms, in accordance with the SOP.

The Contract shall ensure all workshop materials have received FTA review and approval prior to their use at any workshop.

C.5.8 Monthly…