Solicitation_No._DTRT57-13-R-20012.pdf

DTRT57-13-R-20012

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

1 126

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 See L.3.C

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 ___180________ 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

DTRT-RVT-62-102805/08/2013

X

RVP-31

USDOT/RITA/Volpe Center Contracts&Program Support Services 55 Broadway RVP-31 Cambridge MA 02142-1001

SEE BLOCK #7 1400 ED 06/25/2013

Robert P Robinson 617 robert.robinson@dot.gov

494-3433

X

X

X

X

X

X

X

X

X

X

X

X

X

PAGE(S)

Robert P. Robinson

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition is unusable

STANDARD FORM 33 (Rev. 9-97)

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

5-6

7-19 22-26 27-37 38-46

47-53

55-58

59-104

105-108

Table of Contents

SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS

B.1 CONTRACT TYPE (FEB 2013)

B.2 CONTRACT LIMITATIONS (FEB 2013)

B.3 CONTRACT SCOPE (FEB 2013)

B.4 CONTRACT LINE ITEMS (FEB 2013)

SECTION C - DESCRIPTION/SPECIFICATION/STATEMENT OF WORK

C.1 INTRODUCTION

C.2 BACKGROUND

C.3 OBJECTIVE

C.4 TASKS/REQUIREMENTS

C.5 SUSTAINABLE ACQUISITION REQUIREMENTS – CLIN 0001 Aand CLIN 0002

SECTION D - PACKAGING AND MARKING

D.1 PACKAGING (MAY 1999)

D.2 MARKING (MAY 1999)

SECTION E - INSPECTION AND ACCEPTANCE

E.1 FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES

E.2 GOVERNMENT REVIEW AND ACCEPTANCE (JAN 2008)

SECTION F - DELIVERIES OR PERFORMANCE

F.1 FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES

F.2 CONTRACT PERIOD OF PERFORMANCE (FEB 2013)

F.3 DELIVERIES (FEB 2013)

F.4 CONTRACT PROGRESS REPORT (NOV 2007)

F.5 MONTHLY TASK ORDER PROGRESS REPORTS (NOV 2007)

F.6 MONTHLY TASK ORDER COST REPORTS (FEB 2011)

F.7 TECHNICAL REPORTS – TASK ORDER CONTRACTS (DEC 2003)

F.8 REPORTS OF WORK - REPORT DISTRIBUTION (DEC 2003)

F.9 DOCUMENTATION OF COMPUTER PROGRAMS (MAY 1999)

F.10 RIGHTS IN DATA (DEC 2007)

F.11 WARRANTIES (MAY 1999)

F.12 LICENSES (MAY 1999)

F.13 AMERICAN RECOVERY AND REINVESTMENT ACT (ARRA) REPORTING REQUIRMENTS (MAY

2013) 26

SECTION G - CONTRACT AND ADMINISTRATION DATA

G.1 TAR 1252. 242-73 CONTRACTING OFFICER’S TECHNICAL REPRESENTATIVE (1994)

G.2 RESPONSIBILITY FOR CONTRACT ADMINISTRATION (FEB 2013)

G.3 ORDERING (FEB 2013)

G.4 TASK ORDERS ISSUED UNDER MULTIPLE AWARD CONTRACTS (MAY 2013)

G.6 TECHNICAL DIRECTION (FEB 2011)

G.7 ACCOUNTING AND APPROPRIATION DATA (MAY 1999)

G.8 PAYMENT AND CONSIDERATION (DEC 2003)

G.9 PAYMENTS UNDER COST REIMBURSEMENT CONTRACTS (FEB 2011)

G.10 PAYMENT OF FEE - COST-PLUS-FIXED-FEE (FEB 2011)

G.11 PERFORMANCE EVALUATIONS (FEB 2011)

G.12 VOUCHER REVIEW (MAR 2003)

G.13 COST ACCOUNTING SYSTEMS (FEB 2011)

G.14 INCREMENTAL FUNDING OF TASK ORDERS (DEC 2003)

G.15 TRAVEL AND PER DIEM (FEB 2011)

G.16 SUBCONTRACTING REPORT (JULY 2000)

G.17 ALLOTMENT (FEB 2011)

SECTION H - SPECIAL CONTRACT REQUIREMENTS

H.1 NON-PERSONAL SERVICES (DEC 1998)

H.2 GPO PRINTING REQUIREMENT (DEC 1998)

H.3 CONTRACTOR RESPONSIBILITY (DEC 1998)

H.4 SALES TAX EXEMPTION (MAY 1999)

H.5 LEVEL-OF-EFFORT NOTIFICATION (FEB 2011)

H.6 HANDLING OF DATA (MAY 2007)

H.7 TECHNOLOGY UPGRADES/REFRESHMENTS (DEC 1998)

H.8 INSURANCE (MAR 2003)

H.9 MAXIMUM FEE/PROFIT (FEB 2011)

H.10 SUBCONTRACT APPROVAL (FEB 2013)

H.11 INCIDENTAL HARDWARE/SOFTWARE (AUG 2012)

H.12 ACCOUNTING SYSTEM (DEC 2003)

H.13 PERFORMANCE OF WORK AND SAFETY PROVISIONS ON GOVERNMENT

PREMISES (APR 2003)

H.14 CONSENT TO RELEASE GOVERNMENT-ORDERED ITEMS (JAN 2004)

H.15 ORGANIZATIONAL CONFLICT OF INTEREST (MAY 2013)

H.16 CONFLICTS OF INTEREST DISCLOSURE (MAY 2013)

H.17 INDIRECT COST RATE CEILINGS (MAY 2013)

SECTION I - CONTRACT CLAUSES

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

I.2 FAR 52.204-1 APPROVAL OF CONTRACT (DEC 1989)

I.3 FAR 52.209-9 UPDATES OF PUBLICLY AVAILABLE INFORMATION REGARDING

RESPONSIBILITY MATTERS (FEB 2012)

I.4 FAR 52.222-42 STATEMENT OF EQUIVALENT RATES FOR FEDERAL HIRES (MAY 1989)52

I.5 TAR1252.237-73 KEY PERSONNEL (APR 2005)

SECTION K - REPRESENTATIONS, CERTIFICATIONS, AND OTHER STATEMENTS OF

OFFERORS

K.1 IMPORTANCE OF ANNUAL REPRESENTATIONS AND CERTIFICATIONS (FEB 2013)

K.2 FAR 52.204-8 ANNUAL REPRESENTATIONS AND CERTIFICATIONS (DEC 2012)

K.3 FAR 52.209-7 INFORMATION REGARDING RESPONSIBILITY MATTERS (FEB 2012)

K.4 TAR 1252.237-71 CERTIFICATION OF DATA (APR 2005)

SECTION L – INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS

L.1 SOLICITATION PROVISIONS

L.2 GENERAL INFORMATION

L.3 GENERAL INSTRUCTIONS FOR TECHNICAL PROPOSAL AND COST

AND BUSINESS PROPOSAL PREPARATION

L.4 INSTRUCTIONS FOR COST AND BUSINESS PROPOSAL

L.5 INSTRUCTIONS FOR TECHNICAL PROPOSAL FOR CLIN 0001 (F&O)

L.6 INSTRUCTIONS FOR TECHNICAL PROPOSAL FOR CLIN 0002 (SDVOSB)

SECTION M - EVALUATION FACTORS FOR AWARD

M.1 GENERAL

M.2 TECHNICAL PROPOSAL EVALUATION (CLIN 0001)

M.3 TECHNICAL PROPOSAL EVALUATION (CLIN 0002)

M.4 COST AND BUSINESS PROPOSAL EVALUATION (CLINS 0001 AND 0002)

ATTACHMENT J.1 - MONTHLY TASK ORDER COST REPORT FORMAT

ATTACHMENT J.2 - LABOR CATEGORY QUALIFICATIONS – CLIN 0001

ATTACHMENT J.3 - LABOR CATEGORY QUALIFICATIONS – CLIN 0002

ATTACHMENT J.4 - SAMPLE PAST PERFORMANCE QUESTIONAIRRE

ATTACHMENT J.5 – LIST OF GRANTS AND GRANTEES

SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS

B.1 CONTRACT TYPE (FEB 2013)

A. This is an indefinite delivery/indefinite quantity (IDIQ) task order contract. Work will be placed under this contract through the issuance of task orders.

B. Task orders may be issued on a Firm-Fixed-Price (FFP) basis in accordance with Federal Acquisition

Regulation (FAR) 16.202. Task orders may also be issued on a Cost-Plus-Fixed-Fee (CPFF) completion, or CPFF term basis in accordance with FAR 16.305 and 16.306 (d). Task order type shall be determined and issued at the Contracting Officer's discretion consistent with the guidelines provided in Part 16 of the FAR. Performance-based task orders will be used to the maximum extent practicable.

C. The Contract Line Item Number (CLIN) structure provided in Subsection B.4 below establishes a

CLIN 0001 for Task Areas 1-3 and CLIN 0002 for Task Area 4, as outlined in the Statement of Work (Section C). Because using a particular contract type/pricing methodology requires terms and conditions specific to that use, this contract includes terms and conditions covering FFP, CPFF completion, and CPFF term tasks. In general, these terms and conditions are clear on their face with regard to applicability.

B.2 CONTRACT LIMITATIONS (FEB 2013)

A. Multiple Contract Awards Under CLIN 0001: (TO BE COMPLETED AT TIME OF AWARD) contracts have been awarded under the U.S. Department of Transportation, Research and Innovative Technology Administration, Volpe National Transportation Systems Center (Volpe Center) Solicitation DTRT57-13-R-20012.

B. Multiple Contract Awards Under CLIN 0002: (TO BE COMPLETED AT TIME OF AWARD) contracts have been awarded under the U.S. Department of Transportation, Research and Innovative Technology Administration, Volpe National Transportation Systems Center (Volpe Center) Solicitation DTRT57-13-R-20012.

C. Maximum Contract Value: The value of all task orders placed under all contracts awarded for CLIN 0001 shall not exceed $(TO BE COMPLETED AT TIME OF AWARD). As a task order is issued to one Contractor, its value is subtracted from the total value available to all Contractors.

D. Maximum Contract Value: The value of all task orders placed under all contracts awarded for CLIN 0002 shall not exceed $(TO BE COMPLETED AT TIME OF AWARD). As a task order is issued to one Contractor, its value is subtracted from the total value available to all Contractors.

E. Minimum Guarantee: The guaranteed minimum is $2,500 for each contract.

B.3 CONTRACT SCOPE (FEB 2013)

The Contractor, acting as an independent Contractor and not as an agent of the Government, shall furnish all personnel, supplies, facilities, materials, and management necessary to provide the services required under this contract. The scope of this effort is defined in the Statement of Work (SOW) (see Section C).

Specific work requirements will be stated in individual task orders. To maximize transparency of Recovery Act funds that must be reported by the contractor, Task Orders will contain separate line items to mitigate commingling of Recovery funds with other funds.

B.4 CONTRACT LINE ITEMS (FEB 2013)

ITEM NO. SERVICES

0001 MONITORING AND TECHNICAL ASSISTANCE SUPPORT – TASK

AREAS 1-3

0001AA FIRM-FIXED-PRICE TYPE*

0001AB COST-PLUS-FIXED-FEE (COMPLETION TYPE)*

0001AC COST-PLUS-FIXED-FEE (TERM TYPE)

0002 TRAINING SUPPORT (SERVICE-DISABLED VETERAN-OWNED SMALL

BUSINESSES (SDVOSB) SET-ASIDE) – TASK AREA 4

0002AA FIRM-FIXED-PRICE TYPE*

0002AB COST-PLUS-FIXED-FEE (COMPLETION TYPE)*

0002AC COST-PLUS-FIXED-FEE (TERM TYPE)

* Performance-based task orders will be used to the maximum extent practicable.

SECTION C - DESCRIPTION/SPECIFICATION/STATEMENT OF WORK

Volpe National Transportation Systems Center (Volpe Center) Monitoring and Technical Assistance Support to Federal Railroad Administration

C.1 INTRODUCTION

The Volpe Center is a Federal fee-for-service organization within the Research and Innovative Technology Administration (RITA) of the United States Department of Transportation (USDOT). The Volpe Center’s mission is to improve the nation’s transportation systems. In partnership with sponsoring agencies, the Volpe Center provides technical research and analysis services to the USDOT, other Federal agencies, state agencies, and other organizations in connection with the transportation-related components of their missions. The Volpe Center’s focus is research and innovation in all areas of transportation to improve the transportation system for the future. The Volpe Center is an active partner with several agencies in defining and implementing the future transportation system. For example, the Volpe Center supports the Federal Railroad Administration (FRA) in the area of High Speed Rail (HSR) and also monitors and provides technical assistance for the FRA’s grant and loan programs.

C.2 BACKGROUND

The FRA has engaged the Volpe Center to enhance the FRA’s existing monitoring and technical assistance program by using the Volpe Center’s expert Federal and Contractor resources in a manner similar to other USDOT agencies. The FRA administers grant and loan programs to assist State and other eligible entities (Grantees or Borrowers) in financing the planning, acquisition, design, construction, financing, and/or improvement of freight rail and intercity passenger rail infrastructure, facilities, and equipment as well as rail service operating support for Amtrak. The FRA has the authority to administer such grants and loans through Federal statutes and appropriations acts. The grant and loan programs administered by the FRA have grown exponentially in both the number of awarded projects and amount of funds available over the last several years. The FRA currently has a grant and loan portfolio comprised of over $18 billion worth of investments for more than 325 active grants and loans distributed across multiple programs for projects located throughout the entire United States. These projects are also in various stages of development, including, planning, environmental review, preliminary design, final design, construction, and operation. To administer its grants and loans, the FRA has organized its staff into multi-disciplinary teams that are responsible for nine geographically based portfolios. The Volpe Center will be responsible for the development of operating procedures and management of the monitoring and technical assistance program for specific programs that will support the efforts of the FRA’s Regional Teams.

The FRA’s monitoring program includes three components: compliance; programmatic performance; and financial monitoring. The compliance component measures how well Grantees or Borrowers (also referred to as funding recipients) are following the terms of the grant or loan agreement and applicable rules, regulations, or statutes. Programmatic performance assesses the substantive portions of projects such as the scope, schedule, and budget that are described in the agreement’s statement of work as well as applicable regulations and program requirements. This component also includes a review of targeted technical matters such as engineering, environmental, and financial analysis and identifies opportunities where technical assistance can be offered to Grantees or Borrowers. Finally, the FRA examines the potential for fraud, waste, and abuse by reviewing a Grantee or Borrower’s accounting and financial policies and procedures, previous audit findings, and drawdown activity.

The FRA is committed to supporting Grantees and Borrowers across all programs to achieve their project goals while balancing its responsibility to conduct oversight and protect its investment of taxpayer funds.

In pursuit of this mission, the monitoring and technical assistance effort seeks to establish partnerships between the FRA and the Grantees and Borrowers to support program success. Monitoring evaluates adherence to FRA agreements, identifies areas for improvement, and provides opportunities for training and technical assistance.

C.3 OBJECTIVE

The Volpe Center, through an Intra-Agency Agreement (IAA) with the FRA, is providing support to enhance the FRA’s monitoring and technical assistance program for High-Speed Intercity Passenger Rail (HSIPR) and the Transportation Investment Generating Economic Recovery (TIGER) Discretionary Grant program. Support services to monitor additional FRA-administered programs may be added in the future depending on the availability of funding. The Monitoring and Technical Assistance Contractor (MTAC) will work with the Volpe Center to execute monitoring and technical assistance (MTA) under this contract. This SOW describes the MTA services the Contractor shall provide. Task orders will have both long-term assignments and short-term immediate tasks. Task orders will be structured to provide a flexible approach to MTA to ensure consistent activities throughout the country and, at the same time, demonstrate the ability to respond quickly and effectively to specific issues that may arise.

MTAC support to the Volpe Center under this contract includes: compliance and programmatic monitoring support, deliverable review and technical assistance, and training support to the Grantee or Borrower. MTAC will assist in the execution of the program, including producing reports, memorandums, presentations, and training materials.

C.4 TASKS/REQUIREMENTS

The work described below may be ordered under the respective CLIN:

CLIN 0001- MTA Support (Unrestricted Full and Open (F&O))

Task Area 1 - Program Support

• Monitoring Plan Support

• Implementation and Transition Plans

• Monitoring Report

• Meeting and Teleconference Support

• Ancillary Support

Task Area 2 – Project Monitoring and Monitoring Support

• Compliance Monitoring Support

• Performance Monitoring Support

• Financial Monitoring Support

Task Area 3 – Deliverable Review and Technical Assistance

• Deliverable Reviews

• Technical Assistance

• Technical Studies and Papers

CLIN 0002 – Training Support (Reserved for SDVOSB)

Task Area 4 - Training Support

• Webinar and Classroom Training

• Annual Conference for Grantees or Borrowers

• Peer-to-Peer Exchange

• Competency Building Website

The MTAC shall only perform tasks, produce deliverables, and deliver services in accordance with approved task orders. Task orders may include all or some of the tasks, deliverables, or services described in this SOW.

The following are tasks that Volpe may order in whole or part via Task Orders.

C.4.1 CLIN 0001 Task Area 1 – Program Support

A. Monitoring Plan Support

The FRA and the Volpe Center are currently developing an overall program plan for providing MTA to the Grant and Loan programs. The MTAC shall assist with the refinement and improvement of the monitoring plan throughout the duration of the program, which includes providing input, recommending, and enhancements to the Government’s plan. Utilizing lessons learned, the MTAC shall recommend to the Government, enhancements and improvements to the monitoring plan throughout the program.

B. Implementation and Transition Plans

The MTAC shall develop and submit Implementation and/or Transition Plans that describe how the MTAC will provide MTA to ongoing Grant projects.

If the MTAC is transitioning into an ongoing project, the implementation plan should address the transition efforts to ensure continuity of MTA with minimum disruption to the Grantee or Borrower. If the MTAC is transitioning out of a task order, it shall provide a transition plan that reports the status of the project and any unresolved issues and key issues that the new MTAC will need to immediately address.

C. Monitoring Report

The MTACs that monitor Grantees or Borrowers shall document relevant information about the project in a monitoring report. The report shall formally document noteworthy meetings or discussions with the Grantee or Borrower, required follow-up actions, corrective action plans, and training and technical assistance needs. The level of detail in the report will vary based on whether or not significant findings that jeopardize project completion are identified. Monitoring that identifies issues of minor concern require that the MTAC provide recommendations to the Grantee or Borrower addressing the problem areas in the monitoring report.

D. Meeting and Teleconference Support

The MTAC shall produce deliverables for, attend, or present materials at meetings and teleconferences as requested. Examples of such meetings include annual meetings or conferences, quarterly teleconferences, or monthly meetings. The MTAC shall provide technical consultation to the Volpe Center prior to and during monthly and quarterly review meetings in addition to preparing documentation for all Quarterly Progress Meetings, trips, reviews, and project status meetings.

E. Ancillary Support

The MTAC may be required to provide ancillary services or produce deliverables in support of unforeseen emergency activities or other tasks as directed by the Volpe Center. Such tasks will be issued through the normal task order process.

C.4.2 CLIN 0001 Task Area 2 – Project Monitoring and Monitoring Support

Monitoring support will be required for projects located throughout the entire United States. These projects are also in various stages of development, including, planning, environmental review, preliminary design, final design, construction, and operation.

In support of all tasks, the MTAC shall review project documents and perform interviews in sufficient detail to become familiar with the aspects of the project pertaining to the specific task order requirements.

Typical documents to be reviewed may include design criteria, plans, specifications, environmental reports, cost estimates, third party agreements, contract packages, organizational charts, project management plans, rolling stock fleet management plans, real estate acquisition plans, operations plans, maintenance plans, start up plans, safety and security plans, project performance, forecasting analysis, applications, grant/loan agreements, and various reports. Personnel to be interviewed shall typically include project personnel, project design and construction staff and consultants, suppliers, and the FRA regional office and headquarter personnel. The MTAC shall also conduct site visits, as required, to review and obtain information for monitoring reviews. Site visits will include Grantee or Borrower project offices as well as active railway sites and construction sites.

There are two distinct types of monitoring activities included in the monitoring program: routine monitoring and scheduled monitoring. Routine monitoring includes periodic reviews applicable to every project as part of the management and administration of the FRA’s Grant and Loan programs. Scheduled monitoring is an annual review of a select group of investments accomplished through formal desk reviews and/or site monitoring. Scheduled monitoring typically consists of either a desk review or a desk review combined with a site review for a select group of projects that follows the six steps listed below:

• Select the monitoring population with the risk assessment model, portfolio balance, and exception standards.

• Schedule the review.

• Prepare with the pre-review activities checklist.

• Conduct the desk review or combined desk and site review.

• Document the review with the post-review activities checklist and report templates.

• Complete the review and follow up, as needed.

Monitoring by the MTAC supports the Volpe Center in assisting the FRA to accomplish its fundamental stewardship role and provides Grantees or Borrowers with assistance and monitoring to identify and avoid problems and mitigate risks. Through monitoring, the MTAC shall provide recommendations to the Government with the goal toward having the Grantee or Borrower successfully implement the project, fulfill the agreed requirements for program, capacity, and quality; adequately administer and manage the project; comply with agreement terms and conditions, statutes, codes, and regulations; apply sound engineering and program/project management practices and safety standards; and maintains effective project controls.

MTAC services or products should not convey any real or apparent perception to the Grantee or Borrower that the Grantee or Borrower has been relieved of any component of its responsibilities and liabilities as the responsible party for carrying out the project under the terms of the agreement with the FRA.

Monitoring activities include:

• Reviewing project files for compliance with terms and conditions of the agreement with the FRA;

• Interacting with the Grantee or Borrower and affiliated entities (e.g., interviews, discussions, meetings, or other);

• Assessing Grantees’ or Borrowers’ technical capacity and capability to manage the projects and to meet goals related to scope, schedule, budget, quality, and safety during both construction and in revenue operations;

• Investigating project conditions and core documents, visiting project sites and reviewing pertinent documents, all in sufficient detail as to become familiar with the proposed project goals, site conditions, design criteria, operations plans, drawings and specifications, value engineering studies, peer and constructability reviews, schedules, cost estimates, risks, bid packages, contracts, progress of construction, methodology for resolving changes and claims, and project closeout;

• Discussing findings and conclusions, identifying problems and uncertainties, making recommendations, providing professional opinions, and proactively solving problems, to Government Representatives;

• Providing supporting reports and presentations; and

• Presenting to other groups such as Grantees, Borrowers, project teams, public bodies, governmental groups at all levels, and peer groups.

As an example, monitoring could include investigation, examination, and checking to determine if the project is on schedule, within budget, and proceeding in conformance with the Grantee’s or Borrower’s approved plans, specifications, and agreement with the FRA; further, that the project is being implemented efficiently, effectively, and safely and that the Grantee’s or Borrower’s organization continues to demonstrate the required technical capacity to successfully complete the project.

As a matter of course or routine, the MTAC will observe, analyze, and provide recommendations on the Grantee’s or Borrower’s project management practices and monitor the Grantee’s or Borrower’s competence in the use of project controls tools related to schedule, cost, and risk. On a more periodic basis, the MTAC will review the Grantee’s or Borrower’s project documents such as drawings, specifications, design criteria reports, construction communications, schedules, cost estimates, risk assessments, vehicle and equipment procurement, and management plans. Intensive reviews will typically be required once or twice in a project phase with the intention of gaining a true up-to-date picture of the project status for scope, schedule, cost, risk, and technical capacity of the Grantee or Borrower to successfully manage the project.

In both routine and periodic monitoring, the MTAC is expected to proactively engage with the Grantee or Borrower to identify problems, offer alternative approaches, and solutions to problems. The MTAC shall document its findings, professional opinions, and recommendations in required reports to the Government and reconcile these with the Grantee or Borrower. When the MTAC perceives the Grantee or Borrower needs technical assistance, the MTAC is required to communicate this need to the Volpe Center.

Below is a summary of the types of monitoring that will be conducted by the MTAC:

A. Compliance Monitoring Support

The MTAC shall provide monitoring to review and analyze the requirements prescribed by the agreement with the FRA. With consideration of the laws, regulations, policies, circulars, guidance documents, and practices that apply to the Grantee’s or Borrower’s work, the MTAC shall review and analyze all pertinent information available for reasonableness within the scope and cost parameters for completeness, adequacy, consistency, and appropriateness of level of detail given the project phase (e.g., planning, design, construction, project completion and close out).

The MTAC is expected to transmit information to the Volpe Center and report on findings, project status, issues of concern, and recommendations for action. The reporting function of the MTAC allows for proper and timely decision making. The MTAC shall consult with the Volpe Center prior to and during all review meetings in addition to preparing agendas, attachments, and meeting notes for all review meetings.

Reports and other documentation shall be distributed to the Volpe Center and to the Grantee or Borrower when directed by the Volpe Center. Reports should be submitted to the Volpe Center within 15 days of a meeting or as specified in task order and technical memorandum assignments. The form of the communication will also be specified in the task order.

B. Performance Monitoring Support

The MTAC shall provide performance monitoring support to review and analyze that the Grantee or Borrower is meeting its requirements in the performance of planning, managing, and executing the agreement with the FRA. The MTAC will observe, analyze, and provide recommendations on the Grantee’s or Borrower’s project management practices and monitor the Grantee’s or Borrower’s competence in the use of project control tools related to schedule, cost, and risk. On a more periodic basis, the MTAC will review the Grantee’s or Borrower’s project documents such as drawings, specifications, design criteria reports, construction communications, schedules, cost estimates, risk assessments, vehicle and equipment procurement, and management plans. The monitoring may include extended on-site discussions, meetings, and working sessions between the Grantee’s or Borrower’s team and the MTAC team. Intensive reviews will typically be required once or twice in a project phase with the intention of gaining a true up-to-date picture of the project status for scope, schedule, cost, risk, and technical capacity of the Grantee or Borrower to successfully manage the project.

The MTAC is expected to transmit information to the Volpe Center and report on findings, project status, issues of concern, and provide recommendations for action. The reporting function of the MTAC allows for proper and timely decision making. The MTAC shall consult with the Volpe Center prior to and during all review meetings in addition to preparing agendas, attachments, and meeting notes for all review meetings.

Reports and other documentation shall be distributed to the Volpe Center and to the Grantee or Borrower when directed by the Volpe Center. Reports should be submitted to the Volpe Center within 15 days of a meeting or as specified in task order and technical memorandum assignments. The form of the communication will also be specified in the task order.

C. Financial Monitoring Support

The MTAC shall provide financial monitoring to the extent needed to analyze for compliance with the financial requirements prescribed by the agreements with the FRA. The MTAC shall review and analyze all pertinent financial information available for reasonableness within the scope and cost parameters for completeness, adequacy, consistency, and compliance with the financial requirements of the agreement with the FRA.

The MTAC is expected to transmit information to the Volpe Center and report on findings, project status, issues of concern, and provide recommendations for action. The reporting function of the MTAC allows for proper and timely decision making. The MTAC shall consult with the Volpe Center prior to and during all review meetings in addition to preparing agendas, attachments, and meeting notes for all review meetings.

Reports and other documentation shall be distributed to the Volpe Center and to the Grantee or Borrower when directed by the Volpe Center. Reports should be submitted to the Volpe Center within 15 days of a meeting or as specified in task order and technical memorandum assignments. The form of the communication will also be specified in the task order.

C.4.3 CLIN 0001 Task Area 3 – Deliverable Review and Technical Assistance

Grantees and Borrowers are required to provide a variety of deliverables to the FRA as part of the agreement with the FRA. The MTAC will perform engineering reviews of these deliverables. The MTAC may also be required to provide Subject Matter Expertise (SME) and provide technical assistance to the Government for any of the following areas.

A. Deliverable Reviews

The MTAC will perform reviews of deliverables in the following areas.

Project Scope/Capacity Review: The MTAC shall perform scope reviews to evaluate the Grantee’s or Borrower’s project using industry guidelines with respect to the capacity of its individual rail system/facility features or functions and to evaluate the proposed level of service. The MTAC shall prepare a report to document the findings, professional opinions, and recommendations following the project scope/capacity review for submission to the Government.

Capital Cost Estimate Review: The MTAC shall perform cost reviews to analyze the consistency of such data provided by the Grantee or Borrower to understand its characteristics and descriptions as well as the correlation between the quantity data in the estimates and the data established in the design deliverables, and review whether the Grantee or Borrower cost data is truly reflective of the scope indicated on the design drawings; i.e., correct estimate quantities. Also, the MTAC should review the Grantee’s or Borrower’s cost estimating methodology memorandum or report developed as part of alternatives analysis work and updated with each subsequent estimating effort.

To accomplish this, the MTAC shall perform cost characterization of the Grantee or Borrower cost data inclusive of the project estimate. The MTAC shall also review the integration and traceability of that estimate into the defined scope of the project for purposes of “baselining” the project estimate as the costs, scope issues, and project become more fully defined and developed through progression of project definition. The MTAC shall identify and separately list risks discovered in the cost review and evaluate the potential likelihood and impact of these risks on the cost, scope, and schedule.

Project Schedule Review: The MTAC shall perform schedule reviews and analyses to review whether the Grantee’s or Borrower’s project schedule is sufficiently developed to establish the validity of the longest path of the project and that critical areas such as right-of-way acquisition, utility relocation, wetland mitigation, and construction are sufficiently detailed to confirm if the schedule is reasonable and to estimate a probability of schedule slippage. The MTAC shall analyze the usefulness of the schedule as a project management tool, identify problems, and provide technical assistance. The MTAC shall prepare a report to document the findings, professional opinions, and recommendations following the schedule review for submission to the Government.

Environmental Review: The MTAC shall review the Grantee’s or Borrower’s Environmental Document Mitigation Plan, including National Environmental Policy Act (NEPA) analysis requirements; mitigation principles; plan for management, and implementation of mitigation actions.

Design Review: The MTAC shall review engineering designs and specifications as required for accuracy and applicability. The MTAC shall review the adequacy of the design requirements to analyze the capability of the design to meet these requirements and to identify problems. The design review shall include recommendations to the Government with the goal of having all system requirements allocated, requirements completed, and that the proposed design meets the functional and performance requirements.

Fleet Management Plan Review: If applicable, the MTAC shall analyze if the Grantee or Borrower has met the requirement to have a Fleet Management Plan as well as the Grantee’s or Borrower’s ability to carry out the Plan. The MTAC shall provide professional opinions to the Government on whether the Plan is: (1) feasible based on the resources immediately available to the Grantee or Borrower; (2) sustainable based on the long-term infrastructure and resources anticipated to be available to the Grantee or Borrower; and (3) comprehensive based on consideration of the required factors to properly maintain and operate the new or refurbished vehicles contemplated.

The MTAC may be required to conduct on-site inspections of equipment, related facilities, data, documentation, or records to analyze the Grantee's or Borrower’s effectiveness in implementing the Fleet Management Plan in conformance with the agreement with the FRA, sound operating or engineering practices, or other statutory and administrative requirements. Inspection visits may be made, for example, to follow up on information received from the Grantee or Borrower about an event with significant impact on the project or to analyze whether the Grantee or Borrower has adequately implemented the Fleet Management Plan. The MTAC may also be required to review Grantee or Borrower documentation, perform its own technical review and physical inspections, characterize the Grantee’s or Borrower’s Fleet Management Plan, and submit to the Government recommendations regarding the validity of the plan and operating assumptions in conformance with these procedures.

Rail Vehicle Technical and Procurement Reviews: The MTAC shall report on the completeness and accuracy of Grantee’s or Borrower’s deliverables, including contractual deliverable documents, to analyze whether the documents will address all of the characteristics to be demonstrated throughout analysis and testing phases, design documentation, and quality control/quality assurance (QA) plans to analyze whether the supplier’s QA will be performed under adequate surveillance. The MTAC shall also identify when the Grantee’s or Borrower’s actual and stated needs are in conflict. The MTAC shall provide recommendations to the Government for corrective action and timely intervention when there are indications that the vehicle will not satisfy the Grantee’s or Borrower’s actual needs.

Risk Assessments and Contingency Review: The MTAC shall implement and maintain a continuous risk planning and monitoring process. Risk assessments for a capital project shall include a base condition for scope, cost, and time for known elements (e.g., design quantities, unit costs, duration); a risk condition for scope, cost, and time for unknown or uncertain elements; and a combined base and risk condition.

Uncertain project elements shall be identified; and project targets, such as performance, cost, and schedule estimates, shall be expressed as a range that varies in value, reflecting the potentially large impacts of uncertain elements and unidentified risk. These uncertain elements and unidentified risks adjust the base cost to give an approximation of the total project cost that ranges in value expressed as a probability distribution. The MTAC shall analyze the risk assessment findings and provide professional opinions to the Government as to the reliability of the project scope, cost, and schedule of the project and describe uncertainties.

Readiness Reviews: The following reviews may be required at different project development phases and will utilize previously developed guidance to the extent applicable to complete the review.

(1) Readiness to Enter Final Design: The MTAC shall provide professional and well-reasoned findings and recommendations to the Government regarding the readiness of the Grantee or Borrower to enter and complete the final design phase. In general, the MTAC shall review and analyze the pertinent information available for completeness, adequacy, consistency, and appropriate level of detail given the phase of the work, identify all apparent discrepancies and deficiencies, and state findings in descending order of importance (most likely, largest consequences, least likely, moderate/minor consequences) and make recommendations to the Government for modifications or additional work by the Grantee or Borrower along with a time frame for the performance of the work.

(2) Readiness to Bid the Work for Construction: The MTAC shall review the Grantee’s or Borrower’s bid packages and supporting documentation for compliance with Federal requirements; completeness, accuracy, and consistency with project management plans; and to analyze whether the Grantee or Borrower is prepared to successfully manage the procurement and construction processes. This shall include confirmation of the readiness for bidding of the complete bid package, including plans, specifications, and contract provisions; confirmation that the bid package is consistent with project management plans with respect to scope, schedule, and budget; and recommendation regarding the readiness of the sponsoring organization with respect to having in place the necessary qualified project staff, consistent project management plans, procurement and construction management procedures, needed interagency and third party and real estate agreements, and required financial resources.

(3) Readiness for Revenue Service: The MTAC shall analyze a Grantee’s or Borrower’s readiness for revenue operations by reviewing that all systems, subsystems, components, equipment, and materials furnished and installed to conform to the requirements of the contract documents and analyzing that the entire system with all interfaces operates as indicated in the contract documents as an integrated whole and is capable of functioning effectively to provide dependable service.

B. Technical Assistance

The MTAC may be required to provide technical assistance in any of the areas described above, particularly where the MTAC notes deficiencies or recommendations to the Government, discovered through reviews. Technical assistance may be provided to the Grantee, Borrower, the FRA, and other governmental agencies. Assistance will need to be provided by SMEs in the field of railroad safety, railroad design, transportation planning, construction, operations, regulatory compliance and others. This task is to assist in overcoming obstacles and problems that arise throughout the execution of the agreement with the FRA.

Technical assistance activities include assessing Grantee or Borrowers activities (most likely informed by information collected while performing monitoring activities); identifying strategies and measures to address project development challenges; and teaching, training, or tutoring of the Grantee, Borrower, or affiliated entities on topics, strategies and best practices related to the Grantee’s or Borrower’s project development and delivery. Technical assistance is required in the following areas:

Project Management Review: The MTAC shall analyze the Grantee’s or Borrower’s project management practices and Project Management Plan (PMP) for completeness and adequacy for the necessary elements to effectively manage the work for the given project phase. The Grantee’s or Borrower’s policies, practices, and procedures related to the management, planning, design, construction, testing, and revenue operations of the project. The project management practices of the Grantee or Borrower should reflect a risk-informed approach to project management, i.e., as time progresses and the project develops and risks diminish.

Technical Capacity and Capability Review: The MTAC shall review a Grantee’s or Borrower’s technical capability and capacity to efficiently and effectively implement proposed and current Federal projects.

The MTAC shall analyze the organizational structure of the Grantee or Borrower, the qualifications of its personnel, and the Grantee’s or Borrower’s policies, procedures, and implementation methods. Particular attention needs to be given to the Grantee’s or Borrower’s abilities, resources, and organization of its own staff and third party consultants to develop and implement project plans as well as to identify and manage project cost and schedule risks, real estate acquisition (as applicable), safety and security requirements, Q1 and quality control (QC), and other issues of Federal concern.

Quality Assurance/Quality Control Program Review: The MTAC shall review and analyze that the Grantee’s or Borrower’s QA/QC program provides project quality, has appropriate staffing levels, and the Grantee or Borrower is adequately implementing its QA/QC program. As part of the analysis, the MTAC shall review the Grantee’s or Borrower’s QA/QC program and routinely monitor the Grantee’s or Borrower’s QA/QC activities. Monitoring shall include reviews of Grantee’s or Borrower’s implementation of its overall quality program, including process, documentation, and results. The MTAC shall also hold periodic interviews with individuals, such as the project's quality manager, resident engineers, project control engineer and design engineers, and review on a random basis the various documents maintained by these individuals related to the overall quality of the project. The review shall consider that the appropriate reports exist and that the data contained in the documents are indicative of an adequately implemented QA/QC program. Typical documents that may be reviewed include design completion/coordination check list, quality audits, inspection reports, non-conformance logs, and compliance measures taken to correct deficiencies. Through observation and discussions with key individuals and reviews of key documents, the MTAC will be able to conclude whether or not the Grantee or Borrower is adequately implementing its QA/QC program.

Safety and Security Management Review: The MTAC shall review the Grantee’s or Borrower’s Safety and Security Management Plan (SSMP) and program and provide recommendations to the Government whether the Grantee or Borrower is adequately performing required safety and security management activities. The MTAC shall analyze that the Grantee or Borrower has documented its approach to performing the required safety and security management activities and analyze that the Grantee or Borrower has the technical capacity to implement its SSMP, including adequate personnel, organization, budget, and schedule. The review shall also consider whether the approach documented by the Grantee’s or Borrower’s SSMP is being implemented as appropriate for the project’s current stage.

Real Estate Acquisition and Management Review: On capital projects, the real property acquisition and relocation component represents substantial risk. The MTAC is required to include a specialized real estate expert with experience in early right-of-way planning and acquisition and have a working knowledge of appraisal, acquisition, relocation, and property management as described in the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, amended (Public Law 91-646;

42 U.S.C. 4601, et seq.) http://www.fhwa.dot.gov/realestate/row_legs.htm. The real estate expert shall review the project real estate management as directed at particular phases of the project. The objective is to identify problems and solutions as early as possible in the project life. The real estate expert will provide monitoring to review and analyze pertinent information for reasonableness, completeness, adequacy, consistency, and appropriateness of level of detail given the phase and identify risks. The MTAC shall also submit recommendations to the Government regarding the Grantee’s or Borrower’s ability to meet the relevant laws and regulations and determine the Grantee’s or Borrower’s level of compliance.

Construction Review: The MTAC shall review the Grantee’s or Borrower’s procedures for construction management and implementation, including administration, management, inspection; coordination with third parties, site logistics, phasing, shop drawing, request for information (RFI) processing, change order and claims procedures, and standards for substantial completion and final completion.

The following are additional examples of the kind of topics on which the MTAC may be required to provide technical assistance under this contract:

• Reviewing and commenting on Environmental Document Mitigation Plans;

• Reviewing and commenting on right-of-way acquisition plans for conformity with the Uniform

Relocation Assistance and Real Property Acquisition Policies Act of 1970;

• Reviewing and commenting on utility relocation plans;

• Reviewing and commenting on permitting plans;

• Reviewing and commenting on engineering plans and documents, including value engineering proposals;

• Reviewing and commenting on financial plans;

• Reviewing and commenting on operational modeling analysis and operating plans;

• Reviewing and commenting on fleet management plans;

• Reviewing and commenting on project management plans;

• Reviewing the Grantee’s or Borrower’s approach to risk analysis and conducting risk assessments;

• Analyzing project schedules to determine if assumptions are reasonable;

• Analyzing project budgets to determine if assumptions are reasonable;

• Providing guidance on complying with policy and regulatory requirements;

• Providing expert advisory support to FRA Headquarters or Regional Staff; and

• Developing course content or supporting instruction of a course for delivery to the Government.

C. Technical Studies and Papers

The MTAC may be required to conduct technical studies, prepare professional papers, and present such papers or studies. This may include:

• Research of industry trends

• Development of concepts and issue papers

• Analysis of project cost, schedule and other data

• Analysis of…