**Request for Applications**

**Number DTFH61-02-X-00089**

**Procurement Request No. 77-40-2019**

## Surface Transportation Security and Reliability Information System Model Deployment

**United States Department of Transportation**

**Federal Highway Administration**

**Office of Acquisition Management, HAAM-30D**

**400 Seventh Street, SW, Room 4410**

**Washington, DC 20590**

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**FOREWORD**

The following Questions and Answers, and Notes, are published in an
attempt to clarify who is eligible to propose, and on what terms:

1.  Would the FHWA accept a coordinated application from multiple states
    with a corridor-wide emphasis identifying the allocation of the
    Model Deployment Initiative (MDI) funds and identifying the specific
    components to be implemented by each state (proposal limited to the
    multi-state corridor's geographic area)? All MDI components would be
    demonstrated within the corridor.

**[Answer]{.underline}: FHWA will accept and consider multi-state or
multi-jurisdiction proposals. We can not speak to the acceptability of a
corridor wide emphasis. It is incumbent on the offeror to address the
requirements of this RFA. If you believe you can meet those requirements
proposing a corridor wide project, you should clearly indicate that in
your Application.**

2.  Would the FHWA consider a single proposal with a corridor-wide
    emphasis submitted through a joint agreement from multiple state
    DOTS identifying the allocation of the Model Deployment
    Initiative (MDI) funds and identifying the specific components to be
    implemented by each state (proposal limited to the multi-state
    corridor's geographic area)?

**[Answer]{.underline}: FHWA cannot consider a proposal that would
result in multiple awards or allocations. Your proposal must indicate a
lead agency who, if successful, would be the Recipient of the
Cooperative Agreement and the agency responsible for ensuring that the
project is carried out successfully and in accordance with the
Cooperative Agreement. That may require allocating resources from the
lead state to the other participating agencies in a
contractor/sub-contractor type relationship. The FHWA's Cooperative
Agreement will be with the lead state.**

3.  Would the FHWA consider multiple separate *statewide* applications
    with an overlying cover of a corridor initiative identifying the
    allocation of the Model Deployment Initiative (MDI) funds and
    identifying the specific components to be implemented by each state?
    (Note: Under this scenario, it is assumed that the FHWA would accept
    the application as a whole and not in part for individual states)

**[Answer]{.underline}: As indicated above, this arrangement would be
unacceptable.**

4.  If a multi-state application is submitted (as in scenarios 1- 3
    above), do the activities addressing the issues in the MDI have to
    cover the entire state of each partner state, or can the issues be
    addressed in portions of each state?

[Answer]{.underline}: The FHWA can not answer this question at this
time. If, after you have carefully studied this entire RFA, you still
have questions about the required coverage of this project, you may
address such questions to FHWA. We will try to answer those questions at
that time.

5.  What is the definition of "private partner" as specified in the
    Synopsis? For example, does the FHWA differentiate between private
    entities in a contractual relationship who are reimbursed for their
    services versus private entities with an equity interest or cost
    sharing component who are not reimbursed?

# **[Answer]{.underline}: The term "private partner" in this RFA is intended to mean "private entities with an equity interest or cost sharing component who are not reimbursed," as opposed to contractors. Our intent is to encourage the involvement of private sector parties to leverage the funds available and otherwise enhance the potential breadth and depth of the proposed deployment. However, the involvement of such private partners is not a requirement of this solicitation. Furthermore, nothing in this RFA is intended to prohibit or discourage a prime Applicant from proposing to use, as subs, commercial organizations or educational institutions or non-profit organizations or not-for-profit organizations\-\-\-\--and it would be permissible for any such subs to be reimbursed for their costs incurred, with FHWA funding, so long as this RFA's minimum cost-sharing requirements are satisfied.** 

6.  Do applicants need to identify the private contractual entities? If
    so, some states may have a problem finalizing a letter of intent
    with a contractor in the 90 days given in the RFP. Many, if not all,
    states would be required to undergo a competitive process to select
    a private partner. States may require that the RFP allow 120 days
    for the competitive process and resulting notice of intent to take
    place.

**[Answer]{.underline}: To the extent that a prime Applicant has
subcontractors in place (i.e., under [contract]{.underline}) to support
the overall project design, and to provide and/or deploy the systems,
that information [must]{.underline} be provided as part of the initial
Application. As to a prime Applicant's [probable]{.underline} or
[intended]{.underline} subs who are [not]{.underline} yet under
[contract]{.underline} with the prime Applicant at the time the initial
Application is submitted, the prime Applicant is strongly encouraged to
disclose, in its initial Application, at least the
[identity]{.underline}, the [qualifications]{.underline}, the
[estimated]{.underline} price, and the [estimated]{.underline} pricing
[rate]{.underline} structure for each such intended or probable sub. A
prime Applicant is [not]{.underline} required to have its entire project
team under [contract]{.underline} at the time the initial Application is
submitted to the FHWA. (In fact, until the successful Applicant
completes its final design, it will be impossible to positively identify
vendors who will provide the necessary [system]{.underline} components.)
The FHWA has considered but rejected the idea of allowing 120 days for
preparation and submission of applications. The exact due date for the
FHWA's receipt of applications is stated in this RFA's "Article XII--
Instructions to Applicants".**

7.  In multi-state partnership applications (as in scenarios 1- 4
    above), would all the funding awarded for that application go to the
    prime applicant state? If so, additional complications could arise;
    e.g., while the sub states could submit invoices to the prime state
    for funding, the sub states would have to temporarily pay for the
    activities with money not from the MDI. In addition, due to state
    regulations, reimbursement from the prime state may not be able to
    be placed in the same account the invoice was paid from.
    Furthermore, many states are currently strapped for funds of any
    kind and would not allow funding transfers or manipulations required
    by this scenario. One option for addressing this concern may be to
    provide for appropriate cash advances to the prime state to allow
    for timely payment to sub states, assuming this could be allowed
    under relevant OMB circulars.

**[Answer]{.underline}: A. [FHWA Will Make Payments to *Prime*
Recipient]{.underline}: As indicated above, it is the FHWA's intent to
award a Cooperative Agreement to the lead state (i.e., the "prime
Recipient" of the Cooperative Agreement). All payments made by the FHWA
would be made to that *prime* Recipient, and that prime could use those
Federal funds to [reimburse]{.underline} itself and its subs, for costs
[already]{.underline} incurred. B. [FHWA Will Consider Making Cash
*Advances*]{.underline}: If a prime Applicant demonstrates (in its
initial Application, or during negotiations) a need for receiving cash
[advances]{.underline} from the FHWA (i.e., cash payments
[before]{.underline} costs are actually [incurred]{.underline}), and if
such prime Applicant turns out to be the prime Recipient of the
Cooperative Agreement, then the FHWA will make [advance]{.underline}
payments to that prime Recipient, but only in accordance with: (1) the
demonstrated [need]{.underline} for advance payments; and (2) the
provisions of the controlling Office of Management and Budget (OMB)
Circular.**

8\. For purposes of eligibility to submit an Application and to serve as
the Prime Recipient of the Cooperative Agreement, what does the Federal
Highway Administration mean by "State", as that word is used in the
phrase "State Department of Transportation"?

Answer: The word "State" includes each of the United States of America's
50 States, and also includes the District of Columbia and Puerto Rico.

9\. Will the Federal Highway Administration (FHWA) publish a list of
organizations who might be interested in serving as
[sub]{.underline}-recipients?

**Answer:** The FHWA does not have such a list and does not intend to
publish one.

\[**[NOTE REGARDING INCUMBENCY]{.underline}**: There is [NO]{.underline}
[INCUMBENT]{.underline} contractor, and [NO]{.underline}
[INCUMBENT]{.underline} recipient.\]

\[**[NOTE REGARDING MULTIPLE AWARDS]{.underline}**: The FHWA's
[strong]{.underline} [preference]{.underline} is to award, from this
RFA, just [one]{.underline} Cooperative Agreement for a comprehensive
performance of this [entire]{.underline} project. **Therefore, each
Applicant [shall]{.underline} propose to perform this RFA's
[entire]{.underline} Statement of Work**. [However]{.underline}, the
FHWA does hereby reserve the [right]{.underline} to award
[more]{.underline} than one Cooperative Agreement from this RFA, should
the agency hereafter determine that multiple awards are in the
Government's interest. And [if]{.underline} more than one Cooperative
Agreement is awarded, the FHWA further reserves the [right]{.underline}
to award only a [portion]{.underline} (or portions) of this RFA's
Statement of Work to any one Recipient. **Nevertheless, each Applicant
[shall]{.underline} propose to perform this RFA's [entire]{.underline}
Statement of Work.**\]

\[End of Foreword\]

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***TABLE OF CONTENTS***

***ARTICLE SECTION TITLE PAGE***

*I Authority 6*

*II Background 6*

*III Objective 11*

*IV Statement of Work 12*

*V Period of Performance and*

*Deliverables and Schedule 17*

*VI Responsibilities of Recipient(s) 23*

*VII Responsibilities of Government 23*

*VIII Agreement Administration 24*

*IX Special Provisions 28*

*X Governing Regulations 30*

*XI List of Forms 30*

*XII Instructions to Applicants 31*

*XIII Selection Factors for Award 51*

***Article I***

#### Authority

Authority to award cooperative agreements exists for the program funds
being applied to this project. The statutory authority for this
Cooperative Agreement (AAgreement@) is 31 U.S.C., Sections 6301-08 as
implemented in 49 CFR, Pt.19, and Federal Highway Administration
(AFHWA@) Order 4410.1, Grant and Cooperative Agreements Policies and
Procedures, Section 11(a). Specific authority for conducting the Model
Deployment is found at Section 5207 of the ISTEA.

\[ **[NOTE REGARDING RESTRICTED FORM OF COMPETITION]{.underline}**: (1)
At the [PRIME]{.underline} level (i.e., prime applicants or prime
"offerors"), the Federal Highway Administration (FHWA) is seeking
applications (i.e., proposals) solely from State Departments of
Transportation. It [would]{.underline} be permissible for
[two]{.underline} [or]{.underline} [more]{.underline} State Departments
of Transportation (or equivalent) to [team]{.underline}
[together]{.underline} in a [single]{.underline} application,
[provided]{.underline} that such application clearly designates one and
[only]{.underline} one of those team members as the proposed
[prime]{.underline} Recipient of the Cooperative Agreement, and clearly
designates all [other]{.underline} team members as proposed
[sub]{.underline}-Recipients. The [prime]{.underline} Recipient (in
whose name a Cooperative Agreement is awarded) shall be one and only one
State Department of Transportation. (2) At the [LOWER]{.underline}-tier
level (i.e., at the level of proposed SUB-recipients or "subcontractors"
or consultants), the FHWA is [not]{.underline} placing any restrictions
on participants. Lower-tier participants may include any entity that
would contribute to the success of the effort. Lower-tier participants
may include\-\-\--but are not restricted to\-\-\--public safety
agencies, transit agencies, commercial companies or organizations,
consultants, public and private institutions of higher education,
non-profit organizations, and not-for-profit organizations. And the FHWA
in fact [encourages]{.underline} each prime Applicant to propose
partnerships with other public agencies (e. g., public safety agencies,
transit agencies, etc.) and with private sector companies, in responding
to this RFA.\]

### *Article II*

### 

**[Background]{.underline}**

This model deployment is focused on enhancing the security and
reliability of the surface transportation system through the widespread
availability of real-time information. The model deployment will examine
how security and reliability can be improved under the five specific
situations or scenarios described below:

1.  ***Major metropolitan areas*** -- The collection and dissemination
    of real time information on all principal arterials, freeways, major
    rail and bus systems, and intermodal connectors and facilities to
    support security management and emergency evacuation and response.
    On a day-to-day basis, this real-time information will also support
    improved congestion management and incident response, enhanced
    travel time reliability, improved safety and better overall
    operational performance of the metropolitan area surface
    transportation system.

2.  ***Statewide reporting system*** -- The widespread collection and
    dissemination of information on incidents, weather events, and other
    scheduled and non-scheduled lane and road closures that can
    significantly impact security management and emergency response by
    reducing travel capacity on major highways.

3.  ***Security of critical infrastructure*** -- The surveillance and
    monitoring of critical bridges and tunnels; major rail and bus
    facilities; freight and intermodal connectors and terminals; and
    major hazardous materials and military routes to detect potential
    security problems, provide alerts and assist in post-event analysis.

4.  ***Non-metropolitan evacuation*** -- Traffic and weather monitoring
    of key roadways or corridors outside of metropolitan areas to
    support emergency evacuations caused by either man-made or natural
    disasters.

5.  ***Weather response*** -- The collection and use of road weather
    information to improve safety and operational response to weather
    events such as flood, fog, snow or ice.

From a model deployment of the above applications, we will learn about:

-   Innovative approaches and technologies for providing security
    monitoring and management of critical infrastructure, particularly
    tunnels, bridges and key intermodal freight and transit facilities.

-   Collection and operational use of traffic and weather data to
    support emergency evacuation.

-   The data needed to support security management, emergency
    evacuation, congestion management, freight management, safety
    management, weather response, and traveler information. This
    includes learning about the spacing, coverage, frequency, and mix of
    innovative and traditional data sources.

-   Innovative approaches and technologies for monitoring and collecting
    traffic, transit, truck and intermodal freight, weather and
    transportation security information.

-   The amount of surveillance or monitoring needed to support improved
    transportation security and reliability as a function of traffic
    volumes and geographic area.

-   New institutional arrangements needed for the integration and
    sharing of data.

# 

It is becoming increasingly apparent that the availability of
information on the operating condition of our Nation's roadways and key
surface transportation infrastructure elements is becoming critical to
our National interests. The events of September 11, 2001 vividly brought
home the need for information on the condition and performance of
evacuation routes in New York City and Washington, D.C. and also
demonstrated the need for information that would help protect critical
infrastructure elements surrounding those cities. Although authorities
in both locations were able to deal with the safe evacuation of large
numbers of people, snarled roads and interruptions in transit train and
bus service added to the stress affecting all parties dealing with the
tragic events of that day. Drivers attempting to get to their
destinations, emergency response vehicles attempting to reach the scenes
of the attacks, and people who lost access to their vehicles all faced
major difficulties in accomplishing normal tasks. Existing
transportation management and information systems in New York City and
Washington, D.C. played an important role in dealing with the events of
September 11^th^, but also pointed out the need for and potential of
more aggressive deployments.

Another crucial security issue is the need to protect the critical
infrastructure along our roadways and on our transit systems. In the
days following the September 11^th^ terrorist attacks, for example,
authorities had credible information that there were possible threats to
major bridges in California and elsewhere. Damage or destruction of a
major tunnel, bridge or transit facility could cause significant
injuries and fatalities, as well as disrupt the transportation system
for an extended period of time. Threats or damage to our transportation
infrastructure can also come from events other than terrorist attacks.
For example, when a ship struck the Sunshine Skyway in Florida, causing
the bridge roadway to collapse and spilling buses, trucks, and passenger
cars into Tampa Bay, there was a significant loss of life. It is
imperative that we have systems in place to monitor critical
infrastructure, major transit facilities, military routes, and freight
intermodal connectors and terminals to detect problems quickly and
reliably and to facilitate rapid evacuation and emergency response if
needed.

Major incidents can also paralyze metropolitan freeways and the
surrounding arterial system. A hazardous material spill on an already
congested urban Interstate roadway, such as occurred when a truck
carrying gunpowder overturned in a major urban interchange, has dramatic
repercussions throughout the area. In the case in point, traffic on the
freeway was frozen in place for miles as public safety officials
attempted to deal with the spill and potential for explosion. As
vehicles attempted to find alternate routes around the incident, the
surrounding arterial system suffered a demand several times normal,
causing additional congestion and delays. The resulting congestion led
to delays ranging from one to six hours in travel time for those
affected by the incident.

Even non-traffic incidents can cause major traffic congestion. Recently,
a potential suicide chose a major bridge connecting two states as his
prospective suicide location. The prospective jumper climbed on the
bridge railing near the center of the bridge, forcing police to close
the bridge to traffic in both directions as they negotiated with the
prospective jumper, trying to convince him to come down from his perch.
The closure led to backups as long as ten miles in length along the
roadways leading to the bridge.

While major incidents such as those above stand out in our memories as
congestion-causing events, on a daily basis, non-recurring congestion
due to incidents, weather events, work zones, and other similar factors
reduces the capacity of our roadways on a temporary basis. This
congestion results in delay and can generate additional incidents that
can impact safety and further exacerbate congestion. Like the weather,
everybody complains about traffic congestion. However, unlike the
weather, it is possible to do something about traffic congestion through
statewide and metropolitan traveler information and traffic management
systems that help to reduce congestion and improve travel time
reliability.

Other events have also pointed out the need for better, more timely
information. Hurricane Floyd demonstrated the need to manage the mass
movement of people from coastal areas while addressing their demand for
information on travel conditions, availability of lodging, location of
shelters, and other similar information. The snow-related chain reaction
collision of vehicles on I-95 in Virginia last winter, and the major
chain reaction collision in California caused by wind-driven dust that
obscured driving conditions worse than any fog, also illustrate the need
for improved systems to monitor weather events and communicate their
potential impact to drivers. Information on the potential hazards caused
by these weather conditions might have prevented the loss of life and
damage to property that occurred.

A crucial factor in the ability of transportation managers to respond
effectively to a wide variety of events and situations is the
availability of a critical mass of information. With good information
about the events causing traffic and safety problems, transportation
managers can react to address and alleviate the problems. For example,
transportation managers with the ability to modify signal timing plans
from a central location can revise those timing plans to move traffic
along the principal arterials better, perhaps at the expense of traffic
on side streets. Transportation system managers with good information
may even be able to re-route traffic in cooperation with public safety
officials, to prevent buildups in critical areas. With information about
weather events, transportation managers can provide real-time alerts,
through dynamic message signs, about adverse conditions that pose
hazards to drivers. The availability of better information to the
traveling public, allowing the public to learn about factors that affect
their travel and make choices about the timing of their travel or the
routes along which they will travel, contributes to better traffic flow
and reduce travel stress. To provide the necessary timeliness and level
of detail needed for effective information availability, we need to have
a critical mass of surveillance coverage on our roadways.

To address the needs described above, the U.S. Department of
Transportation has evolved a vision of a surface transportation security
and reliability information system. This solicitation is designed to
test the effectiveness of that vision, through a model deployment of
that vision in a single State.

### Vision of a Surface Transportation Security and Reliability Information 

### System

The three key aspects to making the vision of a surface transportation
security and reliability information system a reality are:

-   Collection of data

-   Data sharing and data integration

-   Operational use of the data

In envisioning a future transportation information system that overcomes
today's security, reliability and operational problems, each of these
aspects must be addressed.

####### Vision: Collection of Data 

To overcome the operational shortcomings discussed earlier, there is an
overall need to accelerate the deployment of sensors and information
systems that gather and correlate data on usage of, and conditions on,
the nation's surface transportation system. The resulting surface
transportation information system will address national transportation
security needs, help protect our critical infrastructure, and facilitate
evacuation and emergency response to natural or man-made disasters.
Security management requires the reporting of disruptions on key
transportation facilities nationwide, including surveillance of critical
infrastructure, major intermodal connectors and freight facilities, and
other key transportation facilities. Security management also includes
the monitoring of traffic and transit information in major metropolitan
areas.

To support national needs for surface transportation security,
reliability and safety information, systems would be deployed to
identify and locate incidents, significant weather-related events,
construction and maintenance activities, or other lane/road restricting
events in near real-time on the National Highway System (NHS) and its
intermodal connectors; monitor conditions (volume, speed, pavement
condition, etc.) on all urban freeways and major arterials in all major
metropolitan areas; and monitor conditions on key facilities such as
critical infrastructure, major rail, transit, or intermodal terminal
facilities, and key military or hazardous material routes.

On a day-to-day basis, transportation information systems will enhance
operations at the local level, increase safety, facilitate the movement
of freight, and improve travel time reliability through enhanced
traveler information services both regionally and nationwide. To achieve
this long term vision, surveillance instrumentation is needed on
principal freeways and arterials in all metropolitan areas. This
capability is of immediate need in our largest metropolitan areas (e.g.,
those with populations over 1,000,000). The density of this
instrumentation would be based on the congestion levels of those
facilities (i.e., v/c ratio). The vision of a surface transportation
information system also calls for monitoring transit facility status and
automatic tracking of transit vehicle location for all major bus and
rail transit systems in the metropolitan area.

Data needs, collection methods and data density will vary by facility
type and traffic volumes, and these decisions would be locally
determined. Urban networks and other key routes will likely be most
densely monitored; lower volume roads will be less instrumented, if at
all.

**[Vision: Data Sharing and Data Integration]{.underline}**

Improved transportation security and reliability requires the
integration and sharing of data. Data collected by the surveillance
instrumentation and systems may be needed by multiple users and for
multiple functions. Preparing for a security-related evacuation, for
example, might require transportation and public safety agencies to
establish new relationships and information sharing arrangements with
non-traditional partners such as the National Guard or other branches of
the military. A major coastal hurricane could result in the mass
evacuation of people across multiple jurisdictions or states, requiring
near real-time information on weather, travel and roadway conditions,
the availability of lodging, and much more.

The operation of roadways along a multi-state corridor routinely
requires the sharing of data by all of the jurisdictions along that
corridor. Operation of roadways and transit systems in a metropolitan
area that spans multiple states or multiple jurisdictions would require
data sharing among all appropriate agencies, including states, local
jurisdictions, public safety agencies, emergency managers, and transit
operators.

There is also the need to share data with the public and with private
sector organizations that seek to add value to the data and provide
traveler information or other data-based services to the public and to
other organizations. Data must be openly available to all prospective
users under non-exclusive arrangements, and stored in standard formats
to facilitate its use.

Related to the concept of data sharing is that of data integration. This
would enable, for example, coordinated freeway, arterial and transit
management. Much of the data needed to perform the core management
functions (security management, congestion management, weather response,
and traveler information) is not always collectible through sensors. For
example, pre-planned road closures affect congestion. While sensors can
detect the congestion after it occurs, transportation system operators
want to know about the [potential]{.underline} for congestion, so that
they can attempt to mitigate (i.e., manage) it. Similarly, if
transportation system operators know about special events (e.g., major
sporting events, major cultural events), they can plan strategies to
deal with the expected (short-term) increases in traffic volume and
possibly mitigate the impact of these events on congestion. Since data
of this type will come from sources outside of the transportation
system, it is essential to plan for ways to integrate these data into
those collected by sensors under a transportation system operator's
control.

Other data that need to be integrated include data from public safety
agencies on incidents, evacuations and other emergency events that come
under their purview. While transportation system operators frequently
inform public safety or emergency response agencies of incidents that
the transportation system operators detect, incident data that is first
collected by public safety or emergency response agencies is rarely
passed to transportation system operators. In the vision for a future
surface transportation information system, these agencies will share
their data with transportation system operators who will integrate it
with other data that they collect.

The availability of consolidated data from disparate sources will
provide new opportunities for enhancing security, safety, and
operational programs. It will also facilitate cooperation and
communication among the many public agencies responsible for responding
to emergencies and operating the surface transportation system. It is
expected that once these agencies have access to data from other
organizations they will rapidly find uses for it and interagency
cooperation will naturally flow from this more unified picture of the
state of the transportation system. In addition, the availability of
this source of real-time data will allow agencies to archive data that
will be useful to their long-term planning and operational needs.

**[Vision: Operational Use of the Data]{.underline}**

While collecting, sharing, and integrating data are all essential
requisites for an information system that supports transportation
security and reliability, the concept provides little benefit to the
traveling public and transportation system operators unless the data are
actually [used]{.underline} in day-to-day operations and in operational
planning to improve the performance of the transportation system. To
improved surface transportation security, better information on the
status and condition of the transportation system is critical to support
evacuations in response to natural or man-made disasters, and to
facilitate emergency response. To protect critical infrastructure
components such as key bridges, tunnels, transit facilities, military
routes, and intermodal freight facilities*,* innovative use of
surveillance technologies (e.g., via automated vision systems) will
detect potential problems, provide alerts, and assist in post-event
analysis.

Collecting road weather data in states with significant snow, ice or fog
conditions is not sufficient. The data must be shared with the road
maintenance agency in the state and that agency must [use]{.underline}
the data to improve its road maintenance operations. Similarly,
collecting information on road weather conditions is of little benefit
unless the transportation system operators make this information
available to the travelers most likely to be impacted.

The expansion and improvement of statewide and regional traveler
information systems, including 511 telephone services, require improved
information on the condition and status of our surface transportation
system. Information on freeways, arterials, and transit systems would be
provided in all major metropolitan areas. Other uses of the data include
support of integrated operations of the arterial, freeway, and transit
management systems. This information would also support improved
management and response to non-recurring congestion caused by incidents,
weather-related events, work zones, etc.

In the vision of the future, transportation system operators will
develop new and innovative ways to use the data they collect to improve
overall system safety and performance, enhance security and improve
travel time reliability. This requires the development of measures of
effectiveness that help system operators allocate their resources to
address problems when they arise, and to anticipate and mitigate
potential problems before they arise.

***Article III***

**[Objective of the Model Deployment]{.underline}**

The objective of the model deployment is to demonstrate the wide variety
of operational functions that are enabled or enhanced with a surface
transportation security and reliability information system. The model
deployment will:

-   [expand]{.underline} and [integrate]{.underline} existing data
    collection and monitoring systems,

-   [collect]{.underline} and [share]{.underline} data,

-   [use]{.underline} the data operationally to improve transportation
    system security, safety, reliability and performance,

-   where appropriate, [distribute]{.underline} the data to the
    traveling public.

The model deployment will demonstrate today's best practices and
innovative approaches in the collection, processing, use, dissemination,
sharing, and archiving of transportation information. As part of this
model deployment, existing surveillance and monitoring will be augmented
to fill gaps, and coverage will be enhanced with new sensor types,
increased data rates, or increased coverage density. Existing
institutional arrangements will be expanded to provide additional
operational functionality and integration.

#### Scope of the Model Deployment

The Government intends to select one state to conduct a model deployment
of an integrated system of data collection, integration, sharing, and
operational use that best represents the vision of a surface
transportation security and reliability information system described
above. The selected state will demonstrate as much of this vision as is
possible given the funding and time limitations of the model deployment.
A specific focus of the model deployment and its evaluation will be on
the use of the data and information produced by surveillance and
monitoring systems to support evacuation management and response, the
monitoring and protection of critical infrastructure and other key
transportation facilities, as well as improving the day-to-day operation
of the transportation system. It is intended that the model deployment
not only demonstrate how to collect data about the transportation
system, but also demonstrate what data could be made available to
support the operation of the surface transportation system, and how such
data could be used in innovative ways to improve transportation
security, safety, reliability and overall performance.

***Article IV***

###### **Statement of Work**

For this model deployment, the Government is looking for creativity and
innovation in how data are collected and used to support improved
transportation security, safety, reliability and operations. Thus the
state is not limited in the technical solutions that may be proposed.
For example, roadside technologies and/or other technologies such as
various forms of probe vehicles or wide-area surveillance may be used
for surveillance and data collection.

The technologies used to collect the information may be deployed and
owned by the public sector or they may be owned by the private sector.
Nothing shall preclude the private sector from using the transportation
data to provide value-added services for a fee. However, all data
collected as part of this model deployment, with two exceptions, shall
be openly available, on a non-exclusive basis, to all potential users of
the data, including the traveling public, other public agencies, and the
private sector. The exceptions are: surveillance information on critical
infrastructure, and information deemed "sensitive" for security or
privacy reasons. The state shall clearly state what the "sensitive"
information will be.

***The model deployment shall include, [as a minimum]{.underline}, the
operational components described below. Additional geographic coverage,
expanded data collection, greater institutional integration, and more
innovative operational use of the data beyond these minimum requirements
is desirable.***

1.  [Metropolitan area data and information systems:]{.underline}
    Although the vision for the transportation information system of the
    future encompasses all metropolitan areas with a population greater
    than one million, the state shall select one such major metropolitan
    area for the model deployment. This metropolitan area may encompass
    multi-state jurisdictions. Although the vision calls for inclusion
    of all jurisdictions and all freeways, expressways and principal
    arterials within a metropolitan area, it may not be feasible to do
    so within the timeframe or budget of the model deployment.
    Nonetheless, the model deployment should strive to achieve coverage
    of as many roadway and transit facilities as possible, and the
    cooperation of as many jurisdictions within the chosen major
    metropolitan area as is feasible. The model deployment shall include
    the state, the principal city government and at least one other
    local jurisdiction. At least one intermodal connector and/or
    intermodal freight facility such as a port shall be included.
    Finally, whereas the vision includes all transit systems, the model
    deployment shall include at least one, and preferably more transit
    systems.

In the chosen major metropolitan area, in addition to the information
described below for the statewide reporting system, the model deployment
shall demonstrate as a minimum:

a)  Data collection and quality assurance: Collection and processing of
    traffic flow, speed, volume, and weather data on freeways,
    expressways, and other principal arterials; the collection and
    processing of data on transit operations, arrival / departure times
    of buses and trains through the use of such technologies as
    automated vehicle tracking, and the status of transit stations and
    other transit facilities.

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b)  Data integration and archiving: Integration, cooperation, and data
    sharing among the appropriate public- and private-sector agencies
    involved in the model deployment. The model deployment should also
    consider the requirements for archiving key data to support
    long-term operational and safety analyses.

c)  Operations: Operational use of the data for improved integration and
    operations of security management, safety management, freeway
    management, arterial management, freight management*,* transit
    management, incident response, and weather response. This model
    deployment will also include the provision of near real-time
    multi-modal traveler information through a publicly available
    traveler information service in the metropolitan area (see 5.
    below).

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2.  [Statewide reporting:]{.underline} Collection, use, and
    dissemination of information, through a statewide reporting system,
    on any incidents, weather events, or other scheduled and
    non-scheduled lane and road closures that significantly reduce
    travel capacity on the state's roadways.

The statewide incident and closures reporting system shall include
timely (i.e., near real-time) updates from state transportation units on
scheduled road closures and known weather or other events that will
affect roadway capacity. It shall also include the capability of
integrating real-time incident reports from public safety agencies
within the state, reports from the traveling public on incidents and
congestion affecting roadway capacity, and other information on road
conditions. Although the vision of this state-wide system involves the
collaboration of all public safety agencies within the state, for
purposes of this model deployment, the state shall demonstrate its
ability to incorporate reporting from at least one major public safety
agency, such as the state highway patrol.

3.  [Evacuation Route Monitoring:]{.underline} Traffic and weather
    monitoring of one key roadway or corridor outside the metropolitan
    area that supports emergency evacuation, caused by either natural or
    man-made disasters. This selected roadway or corridor must include a
    route that would not ordinarily be instrumented as part of the
    instrumentation of the major metropolitan area selected for the
    model deployment.

> The model deployment shall demonstrate:

a)  Data collection and quality assurance: The collection, processing
    and innovative use of operational data to support evacuation. This
    could be for evacuation from natural disasters such as hurricanes or
    man-made events such as a dangerous hazardous materials release or
    security-related incident.

b)  Data integration: The coordination and data sharing among emergency
    managers, public safety, and transportation agencies.

c)  Operations: The state shall develop an operational concept for one
    of the following types of evacuation scenarios:

-   Weather-related, with specific emphasis desired on hurricane
    evacuation

-   Significant hazardous material release

-   Military deployment (not strictly an evacuation, but has similar
    operational issues)

-   Terrorist attack-related

The evacuation scenario may combine more than one type, if it deals with
a route that supports multiple types of evacuation. Since it is unlikely
that a real evacuation will occur during the operational period of the
model deployment, the USDOT is looking for innovative ways to
demonstrate and test the effectiveness of evacuation route monitoring.
As part of the operational use of the deployed data collection and
monitoring systems, the state DOT, along with public safety and
emergency managers, shall plan and execute an evacuation exercise that
demonstrates the use of the data to support the type of evacuation
proposed in its operational concept.

4\. [Weather response:]{.underline} Effective response to adverse
weather requires weather information that is tailored to the surface
transportation environment There are multiple processing paths from data
collection to tailored road weather information, and there are many
public and private entities that play a role in its production.
Therefore, the ability to integrate the data into both transportation
and meteorological databases is essential.

The model deployment shall include incorporation of a locally-defined
weather response component for such conditions as flood, fog, snow, or
ice. The model deployment shall demonstrate:

a)  Data collection and quality assurance: Depending on local weather
    response needs, the data collection can be in metropolitan or
    non-metropolitan areas.

b)  Data integration: How such locally-driven weather information can be
    effectively integrated in an overall operational concept and design.
    The system should enable the open exchange of observation data
    (e.g., into environmental data networks, also known as mesonets).

c)  Operations: How operational use of this additional weather
    information addresses local needs and improves the operation of the
    surface transportation system. The system should integrate the
    forecast products from both public agencies (e.g., the National
    Weather Service) and private sector weather information providers
    into the appropriate management and information systems.

5\. [Multi-modal traveler information:]{.underline} Establishment of a
basic, publicly available, near real-time, multi-modal

> traveler information system, supported by the data collected in the
> first four components. If a 511 traveler information service is not
> already operational, this information will form the basis for 511
> services that will become operational during the period of performance
> of the model deployment.

6\. [Security Monitoring:]{.underline} The vision for surface
transportation information includes security monitoring of all
designated key facilities, including critical infrastructure elements,
such as key bridges and tunnels, freight intermodal facilities and key
transit facilities. For the model deployment, the state shall select at
least [one]{.underline} critical bridge or tunnel, and at least
[one]{.underline} critical transit facility to demonstrate effective
surveillance and monitoring for security and safety purposes. Other
locally-defined critical infrastructure elements or key facilities may
be included in the model deployment. The model deployment is seeking
creative and cost-effective ways to monitor critical infrastructure and
facilities to detect potential problems, provide alerts, and assist in
post-event analysis. Innovative solutions that address specific security
requirements are also sought.

7.  [Data availability:]{.underline} A system for providing the data,
    including weather data, to other public agencies and private
    companies. This "data pipe" shall make the data available for use in
    traveler information, value-added services, modeling and other
    applications in a standard format. Selected portions of the data
    shall be archived as appropriate.

8.  [Locally-defined components]{.underline}: Incorporation of
    additional locally-defined transportation data elements that are
    effectively integrated into the overall system design and support
    local operational and information needs are encouraged.

9.  [Cooperation with the national evaluation:]{.underline} Partnerships
    participating in this model deployment are expected to cooperate
    with the U.S. DOT Program Assessment team and any national evaluator
    designated by that team, to evaluate all of the eight components
    listed above. This cooperation includes:

    a.  Providing the evaluator with all relevant project information,
        including system descriptions, contractual documents, briefings,
        etc.

    b.  Providing the evaluator with a comprehensive list of project
        participants and their roles and responsibilities on the task.
        This should include identification of the project partner and
        the primary evaluation point of contact.

    c.  Development of an evaluation strategy. This strategy should:

    -   Clearly identify the purpose of the test and the problems it is
        trying to solve (e.g. there is currently a ½ hour delay in
        clearance times at border crossing X, this is causing air
        pollution and considerable delay).

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    -   Propose a number of hypotheses outlining the expected
        outcome (s) of the deployment (e.g. deploying of the automated
        tags at toll plaza X will reduce vehicle emissions by Y %).

    -   Identify one or more measures of effectiveness to investigate
        each hypothesis (e.g. vehicle idling time will serve as a
        surrogate measure for vehicle emissions).

    -   Describe how data will be collected to support quantify these
        measures.

    d.  Collecting and providing the evaluators with relevant benefits
        data identified in the evaluation strategy.

    e.  Collecting and providing the evaluators with detailed costing
        information, including both deployment and operations and
        maintenance costs.

    f.  Ensuring that this information is provided in a timely fashion.

    g.  Making accommodations (where appropriate) for evaluators to be
        present at coordination or partnership meetings.

    h.  Ensuring that self-evaluation activities being conducted by the
        project participants are coordinated with and reviewed by the
        national evaluators.

    i.  Providing review of relevant reports, presentations, etc.
        prepared by the national evaluation team.

### 

As described below, the lead agency for the model deployment will
design, deploy, and operate monitoring systems that demonstrate the
vision of a surface transportation information system that supports
national security needs, improves travel time reliability, and addresses
local safety, operational and information needs. The lead agency may be
the state or another transportation-related public agency designated by
the state. Other participants in the model deployment may include any
entity that contributes to the success of the effort. Other participants
may include -- but are not restricted to -- commercial companies or
organizations, consultants, public and private institutions of higher
education, non-profit organizations, and not-for-profit organizations.

# **[Phase 1 -- Planning and Design]{.underline}**

The lead agency will carry out all model deployment activities in
accordance with professionally recognized systems engineering and
software acquisition practices. The use of industry standards for
documenting the model deployment is encouraged.

The systems engineering approach will begin with the development of an
operational concept for the overall system that will be implemented. The
operational concept will address the operation of each of the proposed
components as well as the functions that will use the information. The
operational concept will be formalized in an operational concept
document ("ops concept"). IEEE Standard 1362-1998 provides one possible
outline for an ops concept.

The ops concept will describe the operational characteristics of the
current and proposed data collection and monitoring system from a user
agency's viewpoint. It will include such items as data requirements;
functional capabilities; geographic coverage; organizations and their
roles; external interfaces and standards to be used. The ops concept
will identify limitations in the current transportation data that
justify the need for the proposed changes as part of the model
deployment. The ops concept will also include scenarios, that is,
step-by-step descriptions of how the proposed surveillance and
monitoring system will function and how the data provided will be used
to improve operations. This includes the ops concept for the evacuation
scenario discussed in the "Description of the Model Deployment."

The lead agency will define and document requirements for the additional
surveillance and monitoring that are based upon the ops concept. These
requirements will address the collection, processing, sharing, and
archiving of data using standard data formats. Functional, performance,
interface, input, and output requirements will be included.

Using the requirements, the lead agency will develop a system design for
the proposed surveillance and monitoring system. The system design will
consider and use ITS standards as appropriate.

The lead agency will develop a high-level work plan that guides the
overall sequence of activities and management approach for the model
deployment. This plan will identify all of the organizations involved in
the model deployment as well as the contractual and other working
arrangements among them. The work plan will address systems engineering
and software acquisition practices to be followed, including the risk
management, configuration management, software acquisition, and system
acceptance testing approaches to be used throughout the model
deployment. This plan will include a project schedule of such model
deployment tasks as establishing institutional agreements, developing a
regional ITS architecture, deploying surveillance and monitoring
components, using the data and information to carry out operations, and
assisting in the conduct of an evaluation.

The lead agency will work to incorporate the proposed systems into the
appropriate regional architecture. If the proposed deployment involves
more than one region, such as a metropolitan area and the overall state,
more than one regional architecture may need to be updated. If a
regional architecture does not exist, the lead agency will work with
other relevant agencies to develop a regional ITS architecture that
addresses the new surveillance and monitoring systems and their
integration with other ITS systems.

The lead agency will develop a deployment plan. This plan will include
schedules that show when and where each component of the model
deployment will be deployed as part of a phased deployment process. This
plan will also describe the system acceptance criteria to be used in
determining when individual elements of the model deployment are ready
for operational use. The plan will be submitted to the designated
Agreement Officer's Technical Representative (AOTR) for review and
comment. Based on comments received, the plan will be revised prior to
delivery in final form.

Planning and design of all components of the model deployment will be
completed within 8 months of the effective date of the agreement.

**[Phase 2 -- Deployment and Operations]{.underline}**

The lead agency will not proceed with Phase 2 without written approval
from the Government. It is likely that Phase 1 planning and design
activities for some model deployment components will be completed prior
to others. Thus the Government will provide approval to proceed on a
phased basis as the planning and design for each component is completed.

**A. Deployment** -The lead agency will develop and deploy the
components designed during Phase 1. Those components are as follows:

1\. Statewide Reporting

2\. Metropolitan Area Data and Information Systems

3\. Evacuation Route Monitoring

4\. Weather Response

5\. Multi-modal Traveler Information

6\. Security Monitoring

7\. Data Availability

8\. Locally-defined Components

To facilitate an incremental approach, the Government may at its
discretion give approval to develop and deploy portions of the model
deployment at various times. Unless otherwise directed, the lead agency
will use its final deployment plan as the governing tool guiding the
timing and nature of the system. The lead agency will carry out and
document system acceptance of the deployed components in accordance with
the deployment plan developed during Phase 1 to ensure that each
component is ready for operational use. The deployment phase will be
completed and the entire system will be integrated and operational
within 24 months of the start of the model deployment.

**B. Implementation, Operations and Maintenance** -- It is anticipated
that the lead agency will have already been using existing monitoring
and surveillance systems before the operational phase of the model
deployment begins. New components will be implemented and brought
on-line, with approval of the Government, as soon as they become
available. The operational use and evaluation of the system will then
continue for at least 2 years. The lead agency will be responsible for
maintenance and repair of the model deployment systems as needed during
this period.

As part of the operational use of the deployed system, the lead agency
must plan and execute an evacuation exercise that demonstrates the
operational capabilities of the system to support the type of evacuation
proposed in its operational concept. This evacuation exercise will be
part of the evaluation of the deployment conducted by the U.S. DOT.

Upon completion of this project, the lead agency will submit a final
technical report. This report will document the operational use of the
surface transportation information system, realized benefits
(qualitative or quantitative), and any problems or limitations
encountered. This report will include findings on effective techniques
for surveillance of critical infrastructure elements and other key
facilities, and the costs for achieving them.

**C. Cooperation With the National Evaluation** -- The state, and its
partners in this model deployment, are expected to cooperate with the
U.S. DOT and its national evaluation team throughout the development and
deployment of the project. The independent national evaluator will be
selected and provided by the USDOT.

***Article V***

**[Period of Performance and Deliverables Schedule]{.underline}**

**PERIOD OF PERFORMANCE**

The desired period of performance of this Cooperative Agreement is 48
months, commencing on the effective date stated on the Agreement, except
as otherwise provided under 49 CFR Part 19, Sections 19.60-19.62,
"Termination and Enforcement." The period of performance includes all of
the planning, deployment, and reporting. Any applicant who proposes a
different period of performance shall carefully explain why.

##### 

##### 

##### OVERVIEW OF DELIVERABLE ITEMS

Draft versions of all deliverables generated will be submitted to the
Government for review and comment. They will be revised accordingly and
then delivered as final versions. The following deliverables will be
produced as part of the model deployment:

> [Work Product]{.underline} [Due Date]{.underline}

-   Draft and final Work Plan TBD

-   Draft and final Ops Concept TBD

-   Draft and final Requirements Document TBD

-   Draft and final System Design Document TBD

-   Draft Deployment Plan TBD

-   Final Deployment Plan Within 8 months of start

-   Draft Version of Final Technical Report TBD

-   Final Version of Final Technical Report Within 48 months of start

Further information regarding submittal of the above-listed deliverable
items is given below in this Article V.

**SPECIFICATIONS FOR DELIVERABLES**

**INTRODUCTION TO SPECIFICATIONS**

Deliverables may take the form of hard copy publications, electronic
media, and presentation materials. In addition, they may be published by
any program office within the FHWA or within the US DOT offices. At the
FHWA's sole discretion, any one of the following specifications may
apply to the deliverable items produced under this
agreement\-\-\--though the particular specifications to be followed in
connection with any given deliverable item will depend upon which
particular program office is supporting the publishing activity. In
addition, the Recipient will be responsible for maintaining the accuracy
of the delivered material as necessary.

**SPECIFICATIONS FOR HARD COPY PUBLICATIONS**

**[Publications Guidelines]{.underline}**

For each publication, the Recipient must furnish to the Agreement
Officer's Technical Representative (AOTR) five copies of the final draft
of each document. The recipient must also supply an electronic version
of the final draft via email (attached files to be 1 Megabyte or less in
total size) and/or on diskette(s) (PC formatted Zip, Jaz, or CDR disks
are acceptable). Electronic text files should be created in Microsoft
Word for Windows (97 or later). The use of one of the standard 35 fonts
that are provided with most printers is recommended. Files, including
tables and charts, must be included in the programs of origin, such as
PowerPoint, WordPerfect Presentations, etc., so these files can be
modified or corrected and re‑imported into the full text document.
Recipient must furnish appropriate illustrations, including digital
photographs/slides or electronic art/images. Art must be produced in a
program that can export an interchange file format that can be imported
into the full text‑‑TIF or EPS with on‑screen preview. Photos should be
in jpg or tif, with on-screen preview and with line screen appropriate
for printing. Files should be provided in manageable size. The
resolution of electronic images must be appropriate for printing‑‑at
least 266 dpi.

All research reports should provide units of measurement using only the
SI (metric) system. The American Society for Testing and Materials
publication, Standard Practice for Use of the SI International System of
Units: The Modernized Metric System (ASTM E380‑89a or later) should be
followed.

The requirement for an acceptable report/deliverable is not satisfied
until the recipient furnishes to the AOTR a printable electronic version
of the final report and until the ITS Joint Program Office (HOIT), the
Office of Operations R & D (HRDO) or the Office of Information and
Management Services (HAIM) certifies that the editorial standards have
been met.

All applicable reports shall be prepared in accordance with the
\"Guidelines for Preparing Federal Highway Administration Publications\"
(FHWA-AD-88-001), dated January 1988, and as amended by Change l dated
May 20, 1994. Specifically, the recipient will provide the government
with the following for each report developed under this cooperative
agreement:

l . A completed Technical Report Documentation Page, Form DOT l700.7
(8-72), which is located via the Internet at
[http://www.bts.gov/itc/l770-7.pdf]{.underline}. This form is necessary
to ensure all reports are entered into the National Technical
Information Service database.

2\. An executive summary under separate cover. An executive summary is
required as a convenience to the readers. All reports shall have an
executive summary in the report.

3\. A printed version of the report. A camera-ready copy (a publication
term used to define the finished manuscript, including all art work
(illustrations or photographs) ready for printing by photographic or
other means.

4\. An electronic version of the report. An electronic version of the
report is necessary to upload into the clearinghouse library (otherwise,
scanning in the report is required and this is a time-consuming labor
intensive exercise.) All photographs and negatives used within the
report are property of DOT.

5\. One page description of the report, including the title, why is it
important, what it embodies; findings and/or benefits (expected or
realized), real-world example, who is involved (principals, team, other
significant participants) and the audience.

6.  A completed ITS Electronic Document Library (EDL) form. This profile
    must be completed to

> ensure all reports are properly indexed for storage and retrieval.

**[Electronic Media]{.underline}** .

***HTML Coding***

> •HTML 3.2 standards.
>
> •Capability of viewing the finished product in both Microsoft IE 3.0
> and Netscape Navigator 3.0.
>
> •Java Script is acceptable, Java and Active X are not.
>
> •Frames and colored table cells are acceptable
>
> •The document must include on the opening page, the DOT tri‑scallion
> and the following phrases: \"US Department of Transportation, Federal
> Highway Administration, Operations Core Business Unit.\"
>
> •The opening page also needs to include the document number
> (FHWA‑OP‑02‑xxx) and author\'s name.
>
> •Each document should be supported by meta‑text, describing any unique
> features, editing, and any other pertinent information in the
> following format:
>
> \<meta name=\"author of document\" content=\"author name\"\>
>
> \<meta name=\"description\" content=\"A glossary of acronyms,
> abbreviations, and terms relative to the highway and transportation
> industry.\"\>
>
> \<meta name=\"keywords\" content=\"ITS, Intelligent Transportation
> Systems, ADUS, ADMS, ITS Joint Program Office, Data Archiving, Federal
> Highway Administration, FHWA, Department of Transportation, DOT,
> Abbreviations, Acronyms and Terms Glossary\"\>
>
> \<meta name=\"distribution\" content=\"global\"\>
>
> \<meta name=\"resource‑type\" content=\"document\"\>
>
> •CGI and java‑scripting must be tested and approved before public use.
>
> •Server‑side scripting is not an option.
>
> •Color codes should be hexadecimal, not word codes.
>
> •These tags should be used: \<b\> not \<strong\>, \<i\> not \<em\>,
> and \<u\> not (underlining). End paragraph tags \</p\>are not
> necessary.
>
> • Fonts used should be sans‑serif Arial, Helvetica.
>
> •Animated graphics should not loop endlessly.
>
> •Extensive use of mathematical equations will be required. These
> equations will have to be created graphically and coded into the file.
>
> •Extensive use of tables for statistical data will be required. They
> will have to be appropriately coded. The FHWA Operations CBU web
> manager should be consulted when there is any question regarding
> design or style.

•All html files should have the .htm extension, not .html.

•All directories and folders must have 8 letters or less file names.

> •The ITS Electronic Document Library web site is served from a
> standard Windows 2000 server, please keep that in mind

For documents (generally under 50 pages) to be coded by DOT staff: To
submit electronic files to be coded by DOT staff the document should be
sent in Microsoft Word for Windows (97 or later); the text file should
not contain any style codes except for the most basic initial codes
established before any text in the document and the styles required for
titles and headings. Graphic files sent separately in either jpeg or gif
format. Recipient must furnish appropriate illustrations, including
original photographs/slides or electronic art/images. Each task order
will specify whether the document is to be coded by the DOT staff, by
the recipient or by an external source.

For documents over 50 pages to be coded by the recipient or by external
sources: All web-enabled documents should be coded in HTML 3.2 or above,
to viewed in Netscape or Internet Explorer browser versions 3.0 or
better. Design and function need to be pre-approved by the AOTR. Any
scripting beyond HTML needs to be pre-approved by the appropriate web
master. Documents should be broken down into manageable files and
graphics should either be jpeg or gif and as small as possible. The
usage of frames is permissible. Commented code should be used to support
future revisions.

***Adobe Portable Document Format (pdf)***

Adobe Acrobat version 3.0 (or higher) to be used to encode electronic
text files. Optimization will be performed on final PDF file. PDF files
will be delivered on 3.5" floppy, e-mail attachment (under 1 megabyte
total size), Zip, Jaz, or CDR disk as appropriate. Electronic text files
should be created in Microsoft Word for Windows (97 or later); the text
file should not contain any style codes except for the most basic
initial codes established before any text in the document and the styles
required for titles and headings. Graphics should be created as separate
elements and imported into the text file for print reports. All fonts
used in the document must be supplied on the disk so the document will
print as it appeared on the contractor\'s equipment. The use of one of
the standard 35 fonts that are provided with most printers is
recommended. Files, including tables and charts, must be included in the
programs of

origin, such as PowerPoint, WordPerfect Presentations, etc., so these
files can be modified or corrected and re‑imported into the full text
document. Recipient must furnish appropriate illustrations, including
original photographs/slides or electronic art/images. Art must be
produced in a program that can export an interchange file format that
can be imported into the full text‑‑TIF or EPS with on‑screen preview.
The resolution of electronic images must be appropriate for printing‑‑at
least 266 dpi.

At a minimum Title page, Table of Contents, and Chapter bookmarks will
be coded. Hotlinks shall be fully tested.

***Graphics***

Artwork designed for the web should be accompanied by originals (photos,
slides, existing artwork, etc.) if possible. These will then be used as
reference to check color. Electronic files submitted for inclusion in
the graphic should be saved in jpeg or tif format with a resolution of
300 pixels/inch.

If there is an existing design that the graphic needs to tie into, or if
there is a possibility that variations of this graphic may be used in
the future, this should be discussed upon submitting graphic request.

**[Presentation Materials]{.underline}**

Presentation materials, including but not limited to 35 mm slides and
overheads as well as computer-generated presentations, that are prepared
for conferences, briefings, courses, workshops, etc., and developed in
electronic format shall be submitted in hard copy format as well as in
the program of origin that is acceptable to DOT. Art must be produced in
a program that can export an interchange file format that can be
imported into other files, such as reports. Photos must be in jpeg, tif,
or eps format, with on-screen preview and with line screen appropriate
for printing---at least 266 dpi. Recipient must furnish appropriate
original photographs or slides.

r\.

Meetings and Other Presentations/Briefings **Deliverables Other Than
Administrative Reports and Briefings**

  -------------------------------------- --------------------------------
  Deliverable Item                       Due Date

  Phase I\-\--Draft Operational Concept  TBD
  -- 15 copies                           

  Phase I\-\--Final Operational Concept  TBD
  -- 15 copies and Section-508-          
  compliant electronic copy ready for    
  posting on FHWA Web sites              

  Phase I\-\--Draft Requirements         TBD
  Document - 15 copies                   

  Phase I\-\--Final Requirements         TBD
  Document -- 15 copies and              
  Section-508-compliant electronic copy  
  ready for posting on FHWA Web sites    

  Phase I\-\--Draft System Design        TBD
  Document -- 15 copies                  

  Phase I\-\--Final System Design        TBD
  Document - 15 copies and Section-508-  
  compliant electronic copy ready for    
  posting on FHWA Web sites              

  Phase I\-\--Draft Work Plan -- 15      TBD
  copies                                 

  Phase I\-\--Final Work Plan -- 15      TBD
  copies and Section-508-compliant       
  electronic copy ready for posting on   
  FHWA Web sites                         

  Phase I\-\--Draft Deployment Plan --   TBD
  15 copies                              

  Phase I\-\--Final Deployment Plan --   On or before 8 months after the
  15 copies and Section-508-compliant    effective date of the
  electronic copy ready for posting on   Cooperative Agreement
  FHWA Web sites                         

  Phase II\-\--Draft Version of Final    TBD
  Technical Report                       

  Phase II\-\--Final Version of Final    On or before 48 months after the
  Technical Report                       effective date of the
                                         Cooperative Agreement
  -------------------------------------- --------------------------------

**Administrative Deliverables:**

The Recipient shall deliver a hard original of all reports listed below
to the Agreement Officer, and the Recipient shall deliver three hard
copies of all reports listed below to the Agreement Officer's Technical
Representative (AOTR).

Desired

[Deliverable Item]{.underline} [Due Date]{.underline}

#####  Quarterly Progress Report: 

Each Quarterly Progress Report shall include:

//////

A summary of all work accomplished during the quarter / 15^th^ day of
the month following

being reported, as well as work in progress, including / the quarter
being reported.

any problems encountered during the quarter being /

reported /

/ 15^TH^ day of the month following the quarter

A summary of work planned for the upcoming quarter / being reported

/

Costs incurred for the quarter being reported, /

including, when appropriate, analysis and /

explanation of cost overruns //////

#####  Meetings and Other Presentations/Briefings 

> ***Item Desired Due Date***
>
> 1\. Financial Status Report 15^th^ of the month following the quarter
> being reported
>
> 2\. Report of Federal Cash Transactions 15^th^ of the month following
> the quarter being reported

**[Financial Status Report]{.underline}**

The Financial Status Report will consist of a Standard Form 269 or 269A
in accordance with OMB Circular A-110, Subpart C, Section 52. The
Financial Status Report will also include a breakdown by cost accounting
elements of funds spent during the quarter as well as funds spent to
date. **Please refer to Article X of this RFA to obtain a copy of this
form.**

####### Report of Federal Cash Transactions

The report of Federal Cash Transactions will consist of a Standard Form
272, and, when necessary, its continuation sheet, Standard Form 272A, in
accordance with OMB Circular A-110, Subpart C, Section 52. **[Please
refer to Article XI of this RFA to obtain a copy of this
form.]{.underline}**

**PLACE OF DELIVERY**

For the Agreement Officer=s Technical Representative:

Federal Highway Administration

Turner-Fairbank Highway Research Center

Room \[TBD\]

6300 Georgetown Pike

McLean, Virginia 22101

Attention: \[TBD\]

For the Agreement Officer:

Federal Highway Administration

Office Of Acquisition Management

Room 4410

400 Seventh Street, S.W.

Washington, D.C. 20590

Attention: James H. Mowery III HAAM30-D

***Article VI***

**[Responsibilities of Recipient(s)]{.underline}**

The recipient(s), in cooperative relationship with the Government, will
provide leadership and focus in achieving the objectives of this
Agreement. Specifically, the recipient will be responsible for:

> a.. Accomplishing the tasks and meeting the milestones set forth in
> this Agreement.
>
> b\. Providing overall program management, coordinating and managing
> work, including the awarding of projects

c.  Complying with the reporting requirements of this Cooperative
    Agreement.

***Article VII***

**[Responsibilities of The Government]{.underline}**

**FHWA INVOLVEMENT**

FHWA will be involved in all activities undertaken as part of the
cooperative agreement and will:

> 1\. Provide an Agreement Officer=s Technical Representative (AOTR) to
> participate in the planning and management of this Cooperative
> Agreement and to coordinate activities between the Recipient(s) and
> the FHWA.
>
> 2\. Provide information and technical assistance from government
> sources within available resources and as determined appropriate by
> the AOTR.
>
> 3\. Serve as a liaison between FHWA Headquarters, Field Offices and
> others (Federal state and local) interested in the application of this
> program and the activities of the Recipient(s).
>
> 4\. Stimulate the transfer of information between the Agreement
> recipient and others engaged in related activities.

The FHWA will work with the Recipient(s) as a partner in helping to
guide the program. The Agreement Officer=s Technical Representative
("AOTR") will participate in the planning and management of this
Cooperative Agreement and will coordinate activities between the
Recipient(s) and the Government. The Government, however, shall
[not]{.underline} be responsible for performing any of the work
described in this Statement of Work. Instead, [all]{.underline} of the
work described in this Cooperative Agreement=s Statement of Work will be
performed by the [Recipient]{.underline}(s) (and by FHWA-approved
Sub-Recipients)

######## Article VIII

**[Agreement Administration]{.underline}**

**Resource Contribution Requirements (Cost Sharing)**

In accordance with sections 5001(b) and 5207(c) & (d) of the
Transportation Equity Act for the 21^st^ Century, the Recipient shall
contribute a minimum twenty percent (20%) matching share, which must be
from [non]{.underline}-Federally-derived funding sources and must
consist of either: (a) cash; or (b) substantial equipment contributions
that are wholly utilized as an integral part of this particular model
deployment project; or (c) personnel services dedicated full-time to
this particular model deployment project for a substantial period, as
long as such personnel are *not* [otherwise]{.underline} supported with
Federal funds. The "non-Federally-derived funding" just referred to may
come from State, local government, or private sector partners. Note that
"sunk costs" or funding identified to support future operations,
maintenance and management of the system will **[not]{.underline}** be
considered as part of the applicant's cost-share contribution.

The required 20% minimum matching share (i.e., cost-sharing) is in fact
equal to 20% of the "Total Project Value". And the "Total Project Value"
is equal to the [sum]{.underline} of: (a) the Applicant's total proposed
[Federal]{.underline} ITS funding (up to \$10,000,000) ;
[plus]{.underline} (b) the total dollar value of the proposed matching
share or cost-sharing. Therefore, at a total proposed
[Federal]{.underline} ITS funding level of \$10,000,000, the minimum
required matching share or cost-sharing would be
\$2,500,000\-\-\-\--because \$2,500,000, when divided by the
\$12,500,000 "Total Project Value" (\$10,000,000 + \$2,500,000 =
\$12,500,000 "Total Project Value"), is 20%.

Applicants (i.e., offerors) are encouraged to propose a matching share
[above]{.underline} [and]{.underline} [beyond]{.underline} the minimum
described above. Those applicants who do propose such an
[additional]{.underline} matching share (above and beyond the required
20% minimum) may include, in that *additional* share, the value of other
federally-supported projects directly associated with this particular
model deployment project. **[APPLICANTS WHO DO PROPOSE AN ADDITIONAL
MATCHING SHARE (ABOVE AND BEYOND THE REQUIRED 20% MINIMUM) MAY RECEIVE
ADDITIONAL CONSIDERATION IN THE PROPOSAL EVALUATION]{.underline}**.

It is agreed that at any time or times the Government shall have the
right to examine the Recipient=s records for the purpose of determining
compliance with this requirement. To this end, the Recipient shall
establish and maintain records of the cost-sharing costs and the in-kind
services comprising the agreed-upon cost sharing. If the Government
determines that the Recipient has failed to comply with the agreed-upon
cost share requirement, or with any portion of the cost share
requirement, then the Government may deduct the dollar amount of the
cost-sharing shortfall or shortfalls from the cost-reimbursement
payments, or may require the Recipient to tender a cash payment or
payments to raise its share to the agreed-upon cost sharing amount.

If, within three years after the end of the period of performance of
this Agreement, the Government determines that the Recipient has not
fulfilled its cost-sharing obligations, then the Government shall have
the right to recover from the Recipient the amount of any shortfall or
shortfalls. The Government may elect to receive a one-time payment or
schedule a plan of payments for the recoupment of any shortfall or
shortfalls.

The U. S. DOT and the Comptroller General of the United States have the
right to access all documents pertaining to the use of Federal ITS funds
and non-Federal contributions. Grantees and subgrantees are responsible
for obtaining audits in accordance with the Single Audit Act Amendments
of 1996 (31 U.S.C. 7501-7507) and revised OMB Circular A-133, "Audits of
States, Local Governments, and Non-Profit Organizations." The audits
shall be made by an independent auditor in accordance with generally
accepted government auditing standards covering financial audits (refer
to 49 CFR 18.26).

**Note: See 49 CFR 19, Part 19.73, Collection of Amounts Due, for the
rules governing the recovery of any cost share shortfall.**

**[Audit Requirements]{.underline}**

The following Federal Directives will apply to the Cooperative
Agreement:

1\. Department of Transportation Order 4600.15A, Audits of Federal
Assistance Recipients.

2\. OMB Circular A-133, Audits of States, Local Governments, and
Non-Profit Organizations

**[Please refer to the web sites listed in Article X of this RFA to
obtain a copy of this Circular.]{.underline}**

**[Approved Project Budget]{.underline}**

The Approved Project Budget shall be incorporated into this Cooperative
Agreement and made part of this Agreement when awarded. When requesting
approval for budget revisions, recipient(s) shall use the budget and
cost forms provided by the Agreement Officer unless the Agreement
Officer agrees that a letter will suffice.

**[Travel]{.underline} [and]{.underline} [Per]{.underline}
[Diem]{.underline}**

Travel and per diem authorized under this Cooperative Agreement shall be
reimbursed in accordance with the Government Travel Regulations
currently in effect. Travel requirements shall be met using the most
economical form of transportation available. If economy class
transportation is not available, the request for payment must be
submitted with justification for use of higher class travel indicating
dates, times, and flight numbers.

**[Amendments]{.underline}**

Amendments to this Agreement may only be made in writing, signed by both
parties and specifically referred to as an amendment to this Agreement.

**[Agreement Officer' Technical Representative (AOTR)]{.underline}**

The Agreement Officer designates [TBD]{.underline} as the Agreement
Officer's Technical Representative (AOTR) to assist in monitoring the
work under this cooperative agreement. The AOTR will oversee the
technical administration of this Agreement and act as technical liaison
with the recipient(s). The AOTR is not authorized to change the scope of
work as stated in this Agreement, to make any commitments or otherwise
obligate the Government or authorize any changes which affect the
cooperative agreement=s price, delivery schedule, period of performance
or other terms and conditions.

The Agreement Officer (AO) is the only individual who can legally commit
or obligate the Government for the expenditure of public funds. The
technical administration of this Agreement shall not be construed to
authorize the revision of the terms and conditions of this Agreement.
Any such revision shall be authorized in writing by the Agreement
Officer.

All correspondence to the AOTR shall be addressed to :

> United States Department of Transportation
>
> Federal Highway Administration
>
> Turner-Fairbank Highway Research Center
>
> 6300 Georgetown Pike
>
> Room \[TBD\]
>
> McLean, VA 22101
>
> Attn: \[to be filled in a time of award\]

**[Key Personnel]{.underline}**

The Program Manager, **\<to be negotiated\>**, will assume the day to
day responsibilities for coordinating the management of this Agreement
and will serve as the point of contact for the FHWA. In the event that
the Program Manager=s activities are terminated by the Recipient, or in
the event that the Project Manager is incapacitated due to illness or
injury during the performance of this Agreement, the appointment of a
replacement shall be subject to the prior approval of the Agreement
Officer.

**[Funding]{.underline}**

Currently, funds in the amount of \$ \_\_\_\_\_\_\_\_\_\_\_\_\_ are
obligated to this Agreement.

Subject to the availability of funds, and subject to the execution of a
funding Amendment or Amendments by an authorized FHWA Agreement Officer,
[up]{.underline} [to]{.underline} \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
[may]{.underline} be obligated to this Cooperative Agreement subsequent
to September 30, 2002.

**[Indirect Costs]{.underline}**

The Recipient(s) shall be reimbursed for allowable indirect costs
hereunder at the provisional billing rates of: \[**to be negotiated\]**.
This Indirect Cost provision does not operate to waive the limitations
on Federal funding provided in this document. The Recipient(s)= audited
final indirect costs are allowable only insofar as they do not cause the
recipient(s) to exceed the total estimated costs for performance of this
Agreement.

**[Payment]{.underline}**

Up to the limit of the currently-obligated Federal funding in the amount
of \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_, and up to the limits of the dollar
amounts shown in the "Approved Project Budget", the FHWA will reimburse
the Recipient for all costs that are reasonably, allowably and allocably
incurred in performing this Cooperative Agreement. Of the separate
dollar limits just stated or referred to, the [lowest]{.underline}
applicable dollar limit in effect at any given time shall be the limit
that controls [reimbursements]{.underline}. Payments shall be made in
accordance with the reimbursement provisions of 49 CFR Part 19, Section
19.22, for direct and indirect costs.

[Quarterly]{.underline} payments shall be made by the FHWA after: (1)
the FHWA's receipt of a proper invoice with the corresponding quarterly
financial report and quarterly progress report attached to it; and (2)
the Agreement Officer's acceptance and approval of the invoice and the
corresponding quarterly financial report and quarterly progress report.

To constitute a proper invoice, the invoice shall be submitted on
regular Government voucher forms, (Public Voucher for Purchases and
Services Other than Personnel, SF-1034, and Continuation Sheet, SF-1035)
and include the following information:

1\. The Cooperative Agreement Number;

2\. Name of the Recipient;

3\. An itemized description of costs incurred by cost element and
chargeable to the Agreement for the interval being billed, as well as
cumulative costs incurred to date;

4\. Invoice date and number;

(4) 5\. The beginning date and the ending date of the interval being
    billed;

6\. Name, title, telephone number, fax number and complete mailing
address of the responsible official to whom payment is to be sent;

7\. A dated certification executed in original ink signature by a
financial officer of the Recipient. This certification shall state that
the amounts shown in the invoice are accurate, were incurred in the
performance of this particular cooperative agreement, have not been
previously billed to the Federal Highway Administration (FHWA) or to any
other Federal agency, are not being concurrently billed to the FHWA
under any other award, are not being concurrently billed to any other
Federal agency, and have not been previously disallowed.

Requests for reimbursement must reference this Cooperative Agreement
number and be submitted as one original and three copies, to the
attention of the Agreement Officer at:

> The Federal Highway Administration
>
> Office of Acquisition Management, HAAM-30D
>
> 400 Seventh Street, SW, Room 4410
>
> Washington, D.C. 20590
>
> **Attn: \<to be filled in at time of award\>**

In no case shall this provision operate to waive the limitations under
the Funding paragraph above.

**[Termination]{.underline}**

The Agreement Officer, by written notice, may terminate this Agreement
in whole or in part, when it is in the Government's interest. If this
Agreement is terminated, the Government shall be liable only for payment
under the payment provisions of this Cooperative Agreement for services
rendered before the effective date of termination.

**[Amendments]{.underline}**

Amendments to this Cooperative Agreement may be made only in writing,
must be signed by both parties, and must be specifically characterized
as an amendment to this Cooperative Agreement.

[**Subcontract and Subaward Approvals**]{.underline}

In addition to the procurement standards cited under 49 CFR 19, Section
19.40-19.48, the recipient must obtain prior written approval from the
Agreement Officer (AO) for any subcontract and subaward in excess of
\$100,000.00 before any work or other substantive project effort is
subcontracted or otherwise transferred. Requests for approvals to
subcontract and subaward must be forwarded to the AO with an
explanation, including a proposed statement of work, an analysis of the
price or the estimated cost ( including a detailed budget for
cost-reimbursement type arrangements), and the basis for selecting the
subcontractor or subawardee.

**[Incorporation of Proposal And Order of Precedence]{.underline}**

The Recipient=s initial proposal (Application) dated [TBD]{.underline} ,
and the Recipient=s Best and Final Offer ( BAFO) Application dated
[TBD]{.underline} are incorporated by reference except to the extent
that either or both those submissions is (are) inconsistent with the
terms set forth within this Agreement. As to any and each such
inconsistency:

\(a\) The terms of the Recipient=s BAFO shall prevail over the terms of
the Recipient=s initial Application*;* and

\(b\) The terms set forth in this Agreement shall prevail over both the
Recipient=s initial Application

and the Recipient=s BAFO.

***Article IX***

**[Special Provisions]{.underline}**

**a. Disclosure of Conflicts of Interest**

It is the United States Department of Transportation (USDOT) policy to
award cooperative agreements to only those applicants *whose objectivity
is not impaired* because of any related past, present, or planned
interest, financial or otherwise, in organizations regulated by DOT or
in organizations whose interests may be substantially affected by
Departmental activities. Based on this policy, if after award of this
Cooperative Agreement, the Recipient discovers a conflict of interest
with respect to the Cooperative Agreement, which could not reasonably
have been known prior to award, or after award discovers or identifies
any other conflict of interest not previously disclosed, then the
Recipient shall make an immediate and full disclosure of any and every
such conflict of interest in writing to the Agreement Officer. The
disclosure shall include a full description of the conflict or
conflicts, and a description of the action the Recipient has taken, or
proposes to take, to avoid or mitigate each such conflict.

**b. Disputes**

The parties to this agreement shall communicate with one another in good
faith and in a timely and cooperative manner when raising issues under
this Disputes provision. Any dispute, which for the purposes of this
provision includes any disagreement or claim, between the FHWA and the
recipient concerning questions of fact or law arising from or in
connection with this Agreement and whether or not involving alleged
breach of this Agreement, may be raised only under this Disputes
provision.

Whenever a dispute arises, the parties shall attempt to resolve the
issues involved by discussion and mutual agreement as soon as practical.
In no event shall a dispute which arose more than three months prior to
the notification made under the following paragraph of this provision
constitute the basis for relief under this article unless the FHWA
waives this requirement.

Failing resolution by mutual agreement, the aggrieved party shall
document the dispute by notifying the other party in writing of the
relevant facts, identify unresolved issues and specify the clarification
or remedy sought. Within five working days after providing written
notice to the other party, the aggrieved party may, in writing, request
a decision from the Agreement Officer. The other party shall submit a
written position on the matters in dispute within thirty calendar days
after being notified that a decision has been requested. The Agreement
Officer shall conduct a review of the matters in dispute and render a
decision in writing within thirty calendar days of receipt of such
written position. Any decision of the Agreement Officer is final and
binding unless a party shall, within thirty calendar days, request
further review as provided below.

Upon written request to the Director of the FHWA's Office of Operations
Research and Development, or that individual's designee, made within
thirty calendar days after the Agreement Officer=s written decision or
upon unavailability of a decision within the stated time frame under the
preceding paragraph, the dispute shall be further reviewed. This review
shall be conducted by the Director of the FHWA's Office of Operations,
Research and Development, or by that individual's designee. Following
the review, the Director of the FHWA's Office of Operations, Research
and Development will resolve the issues and notify the parties in
writing. Such resolution is not subject to further administrative review
and to the extent permitted by law, shall be final and binding. Nothing
in this Agreement is intended to prevent the parties from pursuing
disputes in a United States Federal Court of competent jurisdiction.

**c. Intellectual Property**

Intellectual property consists of copyrights, patents, trademarks and
any other form of intellectual property rights covering data bases,
software, inventions, training manuals, systems design or other
proprietary information in any form or medium.

It is the policy of the FHWA to allow the non-Federal partners of an ITS
Partnership Agreement to retain all intellectual property rights
developed under this agreement with the following limitations:

**Rights to Copyrightable Software**

Rights to copyrightable software delivered under this Agreement shall be
determined in accordance with 48 CFR 52.227-14 and Alternates I, II, &
III.

**Rights to Data Other Than Copyrightable Software.**

The FHWA, as the contracting United States DOT agency awarding this
Cooperative Agreement, reserves a royalty-free, nonexclusive and
irrevocable license to reproduce, publish or otherwise use, and to
authorize others to use, for Federal Government purposes:

> a\. The copyright in any work other than copyrightable software
> developed under this
>
> agreement, or under a subgrant or contract under this agreement; and
>
> b\. Any rights of copyright to which the recipient under this
> Agreement, its sub-grantee, or
>
> contractor purchases ownership with Federal financial assistance
> provided under this
>
> Agreement.

**Patents.** Rights to inventions made under this Agreement shall be
determined in accordance with 37 CFR, Part 401. The standard patent
rights clause at 37 CFR, Section 401.14, as modified below, is hereby
incorporated by reference.

a.  The terms "to be performed by a small business firm or domestic
    nonprofit organization" shall

> be deleted from paragraph (g)(1) of the clause;

b.  Paragraphs (g)(2) and (g)(3) of the clause shall be deleted; and

c.  Paragraph (1) of this clause, entitled "Communications" shall be
    read as follows:

> "(1) Communications. All notifications required by this clause shall
> be submitted
>
> to the FHWA Agreement Officer."

***Article X***

**[Governing Regulations]{.underline}**

The parties to this Cooperative Agreement acknowledge that their
performance shall be governed by and in compliance with the following
regulations, as applicable:

\$ 49 CFR Part 18, Uniform Administrative Requirements for Grants and
Cooperative Agreements with State and Local Governments

\$ 48 CFR Part 31, Uniform Administrative Requirements for Grants and
Cooperative Agreements;

These regulations may be found at
<http://www.dot.gov/ost/m60/grant/regs.htm>.

\$ Any other Federal Regulations cited in this Agreement, or which may
be otherwise applicable.

***Article XI***

**[List of Forms]{.underline}**

Applicants are required to submit the following forms as a part of their
application. These forms may be found at either or both of the following
websites:
[**http://www.fhwa.dot.gov/aaa/forms2.htm**](http://www.fhwa.dot.gov/aaa/forms2.htm)
or <http://www.whitehouse.gov/OMB/grants>

1.  Standard Form- 424, Application for Federal Assistance

2\. Standard Form- 424A, Budget Information- Nonconstruction Programs

3\. Standard Form- 424B, Assurances, Financial Status Report

4\. 49CFR Part 20- Appendix A -- Certification Regarding Lobbying

5\. 49CFR Part 29- Appendix A -- Certification Regarding Debarment,
Suspension, and Other Responsibility Matters-Primary Covered
Transactions

6\. 49CFR Part 29- Appendix B -- Certification Regarding Debarment,
Suspension, Ineligibility and Voluntary Exclusion- Lower Tier Covered
Transactions

7\. 49 CFR Part 29 Appendix C- Certification Regarding Drug-Free
Workplace Requirements

8\. SF LLL- Disclosure of Lobbying Activities

***Article XII***

####### Instructions to Applicants

\[ **[NOTE REGARDING RESTRICTED FORM OF COMPETITION]{.underline}**: (1)
At the [PRIME]{.underline} level (i.e., prime applicants or prime
"offerors"), the Federal Highway Administration (FHWA) is seeking
applications (i.e., proposals) solely from State Departments of
Transportation. It [would]{.underline} be permissible for
[two]{.underline} [or]{.underline} [more]{.underline} State Departments
of Transportation to [team]{.underline} [together]{.underline} in a
[single]{.underline} application, [provided]{.underline} that such
application clearly designates one and [only]{.underline} one of those
team members as the proposed [prime]{.underline} Recipient of the
Cooperative Agreement, and clearly designates all [other]{.underline}
team members as proposed [sub]{.underline}-Recipients. The
[prime]{.underline} Recipient (in whose name a Cooperative Agreement is
awarded) shall be one and only one State Department of Transportation.
(2) At the [LOWER]{.underline}-tier level (i.e., at the level of
proposed SUB-recipients or "subcontractors" or consultants), the FHWA is
[not]{.underline} placing any restrictions on participants. Lower-tier
participants may include any entity that would contribute to the success
of the effort. Lower-tier participants may include\-\-\--but are not
restricted to\-\-\--public safety agencies, transit agencies, commercial
companies or organizations, consultants, public and private institutions
of higher education, non-profit organizations, and not-for-profit
organizations. And the FHWA in fact [encourages]{.underline} each prime
Applicant to propose partnerships with other public agencies (e. g.,
public safety agencies, transit agencies, etc.) and with private sector
companies, in responding to this RFA.\]

\[**[NOTE REGARDING POSSIBLE MULTIPLE AWARDS]{.underline}**: The FHWA's
strong preference is to award, from this RFA, just [one]{.underline}
Cooperative Agreement, for a comprehensive performance of the
[entire]{.underline} Statement of Work set forth in Article III of this
RFA. **Therefore, each Applicant [shall]{.underline} propose to perform
this RFA's [entire]{.underline} Statement of Work**.
[However]{.underline}, the FHWA does hereby reserve the
[right]{.underline} to award [more]{.underline} than one Cooperative
Agreement from this RFA, should the agency hereafter determine that
multiple awards are in the Government's interest. And [if]{.underline}
more than one Cooperative Agreement is awarded, the FHWA further
reserves the [right]{.underline} to award only a severable
[portion]{.underline} (or portions) of this RFA's Statement of Work to
any one Recipient. Those potentially-severable "portions" of the
Statement of Work are given as items numbered 1, 2, 3, 4, 5, 6 and 8,
under the heading "Description of the Model Deployment", in the
Statement of Work set forth in Article IV of this RFA, namely:

1\. Statewide Reporting

2\. Metropolitan Area Data and Information Systems

3\. Evacuation Route Monitoring

4\. Weather Response

5\. Multi-modal Traveler Information

6\. Security Monitoring

8\. Locally-Defined Components

**Notwithstanding those potentially-[severable]{.underline} portions of
the work, each Applicant [shall]{.underline} propose to perform this
RFA's [entire]{.underline} Statement of Work.**

The following items\-\-\--as listed in this RFA's Statement of
Work\-\-\--are [not]{.underline} severable, and therefore the FHWA would
never eliminate any of the following items from any Cooperative
Agreement awarded from this RFA:

7\. Data Availability

9\. Cooperation with the National Evaluation

"Phase I - Planning and Design", and "Phase 2 -- Deployment and
Operations", apply to the [entire]{.underline} model deployment and are
not severable.

**\[See further details given below in this Article XI, regarding the
requirement that an applicant include\-\-\-\--within its
[one]{.underline} comprehensive Application for performing this RFA's
[entire]{.underline} Statement of Work\-\-\--a breakout of costs, a
breakout of staffing, and a breakout schedule, for [each]{.underline}
separate one of the nine above-referenced numbered portions of this
RFA's Statement of Work.\]**

Applications must be [received]{.underline}, in [hard]{.underline}
[copy]{.underline} form [and]{.underline} in [diskette]{.underline}
form, at the address [and]{.underline} [room]{.underline}
[number]{.underline} shown below, not later than 4:15 PM Eastern
Daylight Time on September 13, 2002.

**Each Applicant shall show the RFA number (DTFH61-02-X-00089) and
closing date (September 13, 2002) on the [outside]{.underline} of each
box or other container that is used to submit the Application and the
copies.**

Each Applicant shall also show the RFA number on every
[document]{.underline} submitted.

**FACSIMILE APPLICATIONS WILL [NOT]{.underline} BE CONSIDERED.**

**E-MAILED APPLICATIONS WILL [NOT]{.underline} BE CONSIDERED.**

The complete hard [original]{.underline} of each Application, and **12
complete hard [copies]{.underline}** of each Application (each such hard
copy to [include]{.underline} the [cover]{.underline}
[letter]{.underline}), and twelve complete [electronic]{.underline}
copies of each Application (on diskettes, in PDF format), shall
[all]{.underline} be delivered to:

Federal Highway Administration

Office of Acquisition Management (HAAM30-D)

Room 4410

400 Seventh Street, S. W.

Washington, D. C. 20590

Attention: James H. Mowery III

**[NOTE]{.underline}:** In the past, couriers could deliver sealed bids
or offers or applications directly to Room 4410. Special security
procedures have been instituted which prohibit couriers from delivering
material directly to offices in the Nassif Building. Couriers must now
deliver material to the northeast guard station at the Nassif Building.
The guard will accept the material, dismiss the courier, and then the
material will be examined and x-rayed prior to being delivered to Room
4410 through the normal Nassif Building mail delivery procedures, which
could take up to several working days. Couriers and individuals
delivering packages must have them x-rayed behind the northeast guard
station at the Nassif Building (hours of operation: 7 am to 5 pm local
time) prior to delivery to Room 4410. The delivery of sealed bids or
offers to Room 4410 will take longer than it did prior to the
institution of the special security procedures. Offerors must make
allowances for these new procedures in order to assure that offers
arrive [in]{.underline} [Room]{.underline} [4410]{.underline} on time.
**[Applications must be received in Room 4410 by the RFA's closing time
and date, to be considered timely]{.underline}**\-\-\--not just
delivered to a guard station, or to the Nassif mail room, or to a
loading dock. See "Suggested Precautions", in the following paragraph.

**[SUGGESTED]{.underline} [PRECAUTIONS]{.underline}**: It is strongly
recommended that each Applicant arrange to have the complete hard
original and the 12 complete hard copies and the one electronic copy of
its application arrive at the Nassif Building's guard station (or mail
room) [at]{.underline} [least]{.underline} two days [before]{.underline}
the RFA's closing date. It is further recommended that each Applicant
[call]{.underline} Mr. Mowery at (202) 366-4244 and also e-mail Mr.
Mowery at <james.mowery@fhwa.dot.gov> [immediately]{.underline} upon
being informed by the Applicant's courier or overnight delivery company
that the application has reached the Nassif Building's guard station, so
that Mr. Mowery can [attempt]{.underline} to retrieve the application
from the guard station and hand-carry the application to Room 4410. Or,
if an [employee]{.underline} of the applicant hand-carries the
application to the Nassif Building, then that employee should attempt to
call Mr. Mowery upon entering the Nassif Building.
**[However]{.underline}, an Applicant's inability to get such a message
through to Mr. Mowery in time for his retrieval of the application,
shall [not]{.underline} relieve the Applicant of the requirement that
its application arrive [in]{.underline} [Room]{.underline}
[4410]{.underline} by the RFA's closing date and closing time. In other
words, the mere sending of an e-mail or the placing of a telephone call
or voice mail to Mr. Mowery does [not]{.underline} extend the RFA's
closing date and closing time for any Applicant, and does
[not]{.underline} change the required delivery point: Room 4410.** It is
further recommended that each Applicant place a follow-up telephone call
and send a follow-up e-mail to Mr. Mowery, on the morning of the RFA's
closing date, to verify that the application and all of the required
copies have in fact been [received]{.underline} [in]{.underline}
[Room]{.underline} [4410]{.underline} of the Nassif Building. An
Applicant's taking the precautions recommended in this paragraph must
[not]{.underline} to be construed as a [guarantee]{.underline} that the
application will in fact arrive in Room 4410 on time. Rather, these
precautions are intended to minimize the [likelihood]{.underline} that
the application will be received late in Room 4410 and will therefore be
excluded from the competition.

**[QUESTIONS]{.underline}:** Questions about the content or meaning of
this RFA, and questions about any procedures relating to it,
[shall]{.underline} be e-mailed to Mr. James Mowery at:
<james.mowery@fhwa.dot.gov>. It is requested that all prospective
Applicants attempt to e-mail their questions to Mr. Mowery by June 27,
2002. It is currently [estimated]{.underline} that all questions
received by the FHWA by June 27 will be answered in an RFA
[amendment]{.underline} to be published by approximately July 11, 2002.

**[TO OBTAIN COPIES OF THIS RFA AND AMENDMENTS TO THIS
RFA]{.underline}**: Please note that telephoned, faxed or e-mailed
requests for a copy of this RFA or any amendments will not be accepted.
Instead, each prospective applicant may obtain a copy of this RFA and a
copy of all amendments to this RFA from FedBizOpps at the following
internet address: [http://www.eps.gov.]{.underline} No hard copies of
this RFA and no hard copies of any amendments to this RFA will be
issued. **It shall be the responsibility of each prospective applicant
to closely and frequently monitor FedBizOpps for any amendments to this
RFA. Such monitoring is crucial because amendments always contain
important information.**

**a. General Instructions for the Preparation of an Application**

Responses submitted to this request for applications (RFA) must adhere
to the format and content instructions set forth below. These
instructions have been specifically tailored to the process and the
evaluation criteria to be applied during evaluation of applications.
Failure to submit any of the information requested in this RFA may be
cause for unfavorable consideration. Any inconsistencies between the
various sections of an Applicant=s response must be fully explained. A
significant inconsistency, if unexplained, may raise a fundamental
question of the Applicant\'s understanding of the work required, and
ability to perform the Agreement.

The Applicant=s response shall demonstrate its understanding of this
procurement and capability for performance in a concise, logical, manner
and should not contain superfluous material which is not directly
related to this procurement.

**b. Application Format**

Each applicant shall complete and shall submit the following forms
(obtainable at the web sites cited in Article X above) :

1\. Standard Form- 424, Application for Federal Assistance

2\. Standard Form- 424A, Budget Information- Nonconstruction Programs

3\. Standard Form- 424B, Assurances, Financial Status Report

4\. 49CFR Part 20- Appendix A -- Certification Regarding Lobbying

5\. 49CFR Part 29- Appendix A -- Certification Regarding Debarment,
Suspension, and Other Responsibility Matters-Primary Covered
Transactions

6\. 49CFR Part 29- Appendix B -- Certification Regarding Debarment,
Suspension, Ineligibility and Voluntary Exclusion- Lower Tier Covered
Transactions

7\. 49 CFR Part 29 Appendix C- Certification Regarding Drug-Free
Workplace Requirements

8\. SF LLL- Disclosure of Lobbying Activities

In addition, each Applicant shall submit signed letters of agreement or
Memorandums of Understanding for the major team members to support the
proposed Model deployment.

Each application shall be divided into a "Volume I" and a "Volume II",
as follows:

***Volume I*** "Capabilities". This Volume I shall consist of four
parts: "Part I -- Technical Plan"; "Part II -- Project Management and
Staffing Plan" and "Part III - Past Performance and Experience
Proposal", and "Part IV -- Schedule". Those four Parts shall be bound
[together]{.underline} in a single "Volume I", and that Volume I shall
be physically [separate]{.underline} from Volume II. Further details
regarding the required contents of those Parts I, II , III and IV are
given below. There are [no]{.underline} limits on the
[number]{.underline} of pages in Volume I.

**All pages of Volume I (including appendices, resumes, biographical
summaries, past performance references, MOUs, Table of Contents, and
title page) shall be in the form of 8 ½ inch by 11 inch
paper\-\-\--except that up to 20 pages of Volume I may be in fold-out
form, and each such fold-out page may be up to 11 inches by 17 inches,
so long as each such fold-out page is: (a) [bound]{.underline}
[into]{.underline} Volume I; and (b) *folded down* to a size not
exceeding 8 ½ inches by 11 inches.** **Font size throughout Volume I
shall be no smaller than that used in this sentence, except that a
smaller font size may be used for legends, labels, titles, or footnotes
relating to any graph, table, matrix, picture, diagram, equation or
formula\-\-\--[provided]{.underline} that any such smaller font is fully
[legible]{.underline}.**

The front page or cover of Volume I shall include the name, address,
e-mail address, and telephone number of an individual to whom
correspondence and questions about the application may be directed.

> ***Volume II*** "Business and Cost/Price Proposal". This Volume II
> shall be bound [separately]{.underline} from
>
> Volume I. There is [no]{.underline} limit on the number of pages in
> Volume II. As more fully explained below, Volume II
>
> shall contain a complete cost proposal which shall include detailed
> pricing spreadsheets and detailed [support]{.underline}
>
> for all pricing [rates]{.underline} proposed for the
> [prime]{.underline} Applicant [and]{.underline} for all
> [subs]{.underline}, affiliates, consortium members,
>
> and consultants. In [addition]{.underline}, Volume II shall contain
> the Applicant's [answers]{.underline} to the financial questions
>
> set forth below. Further, and [in]{.underline} [addition]{.underline}
> [to]{.underline} the cost proposal, Volume II shall contain a special
>
> "Financial Plan", as more fully explained below. Volume II shall also
> contain the
>
> applicant's completed Standard Forms and Certification Forms (listed
> as items numbered 1 through 8,
>
> above).

**The total available Federal ITS funding for this project is
\$10,000,000. No Applicant shall propose a total Federal ITS price
(including the Federal ITS funding for the prime Applicant and the
Federal ITS funding for all subs, partners, affiliates and consultants)
greater than \$10,000,000. But an Applicant may, if it chooses, propose
a total Federal ITS price [less]{.underline} than \$10,000,000. Further,
each applicant [shall]{.underline} propose cost-sharing,
[over]{.underline} [and above]{.underline} the applicant's proposed
Federal ITS funding figure. The total dollar amount of each Applicant's
proposed cost-sharing (counting not only the contributions proposed to
be given by the [prime]{.underline} Applicant, but [also]{.underline}
the contributions proposed to be given by the [subs]{.underline},
affiliates, partners and consultants) shall be [at]{.underline}
[least]{.underline} 20% of the "Total Project Value". Total Project
Value = Proposed Total [Federal]{.underline} ITS Price (i.e., proposed
Federal ITS Funding) + Proposed Total Dollar Amount of
[Cost-Sharing]{.underline}. Thus an Applicant proposing a \$10,000,000
total [Federal]{.underline} ITS price must [also]{.underline} propose at
least \$2,500,000 of [cost-sharing]{.underline}, over and
[above]{.underline} the \$10,000,000 of proposed Federal ITS funding:
(\$2,500,000 proposed cost-sharing) / \[(\$10,000,000 proposed Federal
ITS Funding) + (\$2,500,000 proposed Cost-Sharing)\] = 20% proposed
cost-sharing.)**

The following is a more-[detailed]{.underline} statement of the required
contents of "Volume I -- Capabilities" and "Volume II -- Business and
Cost/Price Proposal":

**VOLUME I -- CAPABILITIES**

**Part I -- Technical Plan**

In general, the Technical Plan shall contain a detailed and
carefully-thought-out technical *methodology* for performing the
proposed project.

The applicant shall include a technical plan that provides the
***preliminary operational concept*** (sometimes abbreviated as
"preliminary ops concept" *)* for each component of a surface
transportation information system as described below. Describe in the
Technical Plan the deficiencies in the current transportation
surveillance and monitoring systems that will be addressed by the model
deployment. Identify existing and new institutional arrangements and the
public-sector agencies, private companies, and any educational
institutions that will participate in the model deployment, as well as
the roles and responsibilities of each of these participants. The
preliminary ops concept mentioned in the first sentence of this
paragraph shall be provided for each of the following components of a
surface transportation information system:

# [Metropolitan area data and information systems]{.underline}

1\. Identify one major metropolitan area with a population greater than
1,000,000 where the monitoring and surveillance to support a surface
transportation security and reliability information systems will be
deployed.

Identify the partners that will be part of the model deployment. As a
minimum, the partners must include the state, the principal city
government, and at least one of each of the following: other local
jurisdiction, transit agency, public safety agency, and emergency
management agency.

2\. Describe which portions of the data collection infrastructure are
already deployed. Describe any systems already in use for monitoring
freight and transit system operations, including automated vehicle
tracking systems.

3\. Describe any institutional arrangements already in place for the
sharing and integration of data, including surveillance data and data
obtained from automated vehicle tracking systems.

4\. Describe the proposed data collection technologies to be used in the
metropolitan area for the model deployment, and the roads, geographic
areas, transit facilities and intermodal connectors and freight
facilities for which they will be deployed. Include descriptions of new
and innovative approaches to data collection.

5\. Describe institutional arrangements to be established in support of
the operational activities.

6\. Describe how the data will be integrated and used operationally to
support improved security management, enhanced travel time reliability,
and better system performance. Include descriptions of new and
innovative operational uses of the data.

# 

# 

# [Statewide Reporting]{.underline}

1\. Identify any existing centers or monitoring systems that will be
used to achieve this capability.

2\. Describe the proposed approach for the design, development, and
operation of a statewide reporting system. Describe how this information
will be used to improve operations, support security management and

improve travel time reliability.

# [Evacuation Route Monitoring]{.underline}

1\. Identify a key roadway or corridor that will serve as an "evacuation
route" during the model deployment.

2\. Describe the monitoring, if any, currently taking place along this
evacuation route.

3\. Describe any institutional arrangements already in place for
achieving efficient evacuations along this route.

4\. Describe the type of monitoring to be used along the evacuation
route and the data sharing among the agencies involved in evacuation
planning and response.

5\. Describe the institutional arrangements to be established for
achieving efficient evacuations along the evacuation route, including
arrangements with emergency managers, public safety, and other agencies.

6\. .Describe operational approaches to be established for evacuation,
including any innovative approaches such as reversed traffic direction,
closed ramps, etc.

7\. Describe how functionality for evacuation will be demonstrated,
given the unlikely occurrence of a real evacuation during the life of
this model deployment*.*

[Weather Response]{.underline}

1\. Identify the weather information to be collected, and the geographic
area to be covered by the weather

information system.

2\. Describe the processing to tailor the weather data for surface
transportation applications, and how the data

will be integrated with other information systems and with
meteorological and other databases.

3\. Describe the operational uses of the weather data, and how forecast
products from both the public and private

sectors, as appropriate, are integrated into weather management and
information systems.

4\. Describe the institutional arrangement in place or proposed to
support the weather response activities.

[Multi-Modal Traveler Information]{.underline}

1\. Describe what publicly accessible traveler information service(s)
are currently operational.

2\. Describe what institutional arrangements are already in place for
providing multi-modal traveler information.

3\. Describe the publicly accessible traveler information service(s)
that will be provided or enhanced as part of this model deployment. If
the service(s) already exist, describe how they will be enhanced or
expanded.

4\. Describe what institutional arrangements will be established for
collecting multi-modal traveler information and making it available to
the public at no charge.

5\. If a 511 traveler information telephone service is not currently
operational, describe how this service will become operational as part
of the model deployment.

# [Security Monitoring]{.underline}

1\. Identify the critical infrastructure elements that will be
monitored, including at least one bridge or tunnel, and one key transit
facility.

2\. Describe the approach to be used, including innovative,
cost-effective techniques for monitoring the chosen critical
infrastructure, detecting potential problems, providing alerts and
assisting in post-event analysis

3\. Describe the institutional arrangements to be used for notifying the
appropriate agencies of any alerts and the institutional arrangements
for taking appropriate responses to those alerts.

[Data Availability]{.underline}

1\. Describe how the data will be shared with other agencies and the
private sector. Include a description of any data formatting standards
and technologies being considered for use in sharing and archiving the
data.

2\. Identify which types of data will be archived, and the criterion
used for making this determination.

3\. Identify what data will be considered "sensitive" for security or
privacy reasons, and thus would not be made available and shared with
other public agencies and the private sector.

[Locally-Defined Components]{.underline}

1\. Describe any additional components of local interest that will be
included in the model deployment. Identify the types of information to
be collected, the roads, facilities, and the geographic area.

2\. Describe the institutional arrangements that will be established to
make effective operational use of the locally-defined components.

3\. Describe how the locally-defined components will support improved
operations.

[Cooperation with the National Evaluation]{.underline}

1\. Discuss how you will work with the national evaluation team and
build evaluation into the model deployment. Provide draft lists of
evaluation goals, evaluation objectives, and Measures of Effectiveness
(MOEs).

[Technical Approach to Phase 1 -- Planning and Design]{.underline}

1\. Discuss how you will address the regional architecture requirement
including evidence of one or more existing regional ITS architectures
and how they address the model deployment. If your existing regional ITS
architecture(s) do not address the additional surveillance and
monitoring required by the model deployment, provide your approach for
revising the regional ITS architecture(s) to include such information.
If a regional ITS architecture does not already exist, provide your
approach and schedule for developing one or more of them as necessary.

2\. Describe how you will address the selection and use of appropriate
ITS standards.

3\. Describe the systems engineering approach to be used on the model
deployment. At a minimum, address requirements development, risk
management, configuration management, and system acceptance in your
description. Describe how you will control requirements growth and the
approach to be used to ensure that requirements are complete,
consistent, and correct.

4\. Describe the software acquisition principles to be used and what
steps will be taken to ensure that they are followed. Include a list of
deliverable and non-deliverable documentation (e.g., design
documentation) to be produced as part of this process.

[Technical Approach to Phase 2 -- Deployment and Operations]{.underline}

1\. Describe how the components of the model deployment will be
deployed, including additional and innovative surveillance and
monitoring that will be required to achieve the functionality described
in the preliminary operational concept.

2\. Describe how the various components of the model deployment will be
integrated into a seamless surface transportation information system.
Discuss the challenges, and possible solutions, to achieving this
integration from both a technical and institutional perspective.

3\. Provide a commitment to have all components of the model deployment
operational within 2 years of the effective date of the cooperative
agreement, and to operate all components of the model deployment, as
described in the preliminary operations concept, for at least 2
additional years.

4\. Provide a commitment to maintain all components of the model
deployment in good operations working order for the duration of the
model deployment project.

**Part II -- Project Management and Staffing Plan**

**A. Submit a [Comprehensive]{.underline} Project Management and
Staffing Plan for Performance of this RFA's [Entire]{.underline}**

**Statement of Work**

The application shall include a Project Management and Staffing Plan
that identifies a full-time Project Manager and provides the
[names]{.underline} of all [non]{.underline}-clerical personnel and the
[positions]{.underline} (i.e., labor categories) they will occupy as
related to this project.

The Project Management and Staffing Plan shall [also]{.underline}
include a "Master Staffing Table". In that "Master Staffing Table", show
the estimated (proposed) numbers of staffing
[hours]{.underline}\-\-\--by named [individual]{.underline}, by labor
[category / job title]{.underline} ([including]{.underline} clerical),
by [Phase]{.underline} ("Phase I" and "Phase II") of the RFA's Statement
of Work, and by project [year]{.underline}. The project's total Period
of Performance is estimated to be 48 months, or four years. For "Phase
I" and "Phase II" , see the Statement of Work, in Article III of this
RFA. The "Master Staffing Table" shall show not only the hours proposed
to be worked by the [prime]{.underline} applicant's personnel, but
[also]{.underline} the hours proposed to be worked by each
[consultant]{.underline}, by each staff member within each
[sub]{.underline}, and by each staff member within each
[partner]{.underline}. **Each applicant should [attempt]{.underline} to
place [all]{.underline} of its "Master Staffing Table" on
[one]{.underline} page (a [fold-out]{.underline} page could be used).
[Before]{.underline} submitting the application, each applicant shall
manually [cross]{.underline}-check the [numbers]{.underline} of staffing
hours shown in the "Master Staffing Table", [against]{.underline} the
numbers of staffing hours shown in the [cost]{.underline} proposal.
Perform that cross-check all the way down to the level of the individual
staff member, Phase, and project year. There shall be no inconsistencies
between: (a) the numbers of hours shown in the Master Staffing Plan; and
(b) the numbers of hours shown in the cost proposal.**

**In [addition]{.underline} [to]{.underline} (or as a part of)** the
"Master Staffing Table", each applicant shall provide
**[breakouts]{.underline}** showing the proposed numbers of staffing
hours\-\-\--by named [individual]{.underline}, by labor [category/job
title]{.underline} (including clerical), by [Phase]{.underline} ("Phase
I" and "Phase II"), and by project [year]{.underline}\-\-\--for
[each]{.underline} of the following separate **[portions]{.underline}**
of this RFA's Statement of Work:

**Phase 1 -- Planning and Design**

**Phase 2 -- Deployment and Operations. This includes implementation,
operations, maintenance and evaluation support for the following model
deployment components:**

1\. Statewide Reporting

2\. Metropolitan Area Data and Information Systems

3\. Evacuation Route Monitoring

4\. Weather Response

5\. Multi-modal Traveler Information

6\. Security Monitoring

7\. Data Availability

8\. Locally-Defined Components

9\. Implementation, operations, maintenance and cooperation with the
National Evaluation

The Project Management and Staffing Plan shall demonstrate that the
proposed full-time Project Manager is capable, is actually
[available]{.underline} full-time for [this]{.underline} particular
project, and is able to commit to a level of involvement that ensures
the success of this project.

Resumes\-\-\--or brief biographical summaries\-\-\--of key technical
personnel and other key personnel shall be included in the Project
Management and Staffing Plan. Each biographical summary or resume shall
clearly identify and describe the subject individual's education and
experience as it relates to the performance of this project and the
qualifications required for that individual's labor category. Because
personnel/key staff [qualifications]{.underline} are a major evaluation
factor (see Article XII below), applicants are cautioned
[not]{.underline} to use generic or "canned" resumes or biographical
summaries. Instead, each resume or biographical summary should be
carefully [tailored]{.underline} to the requirements of this
[particular]{.underline} project\-\-\--to the extent that such tailoring
can [truthfully]{.underline} be done.

Describe any proposed teaming arrangements and the allocation of duties
between or among such teams; and explain how the efforts of such teams
would be efficiently [coordinated]{.underline}.

The following two tables ("Phase I" and "Phase II") show the
Government's [estimate]{.underline} of the staffing hours that
[might]{.underline} be required for this project. The estimated numbers
of staffing hours shown in the following two tables are believed to
comprise only a [part]{.underline} (namely, the [labor]{.underline}
portion) of the \$12,500,000 estimated total value of this project. The
estimated numbers of staffing hours shown in the following two tables do
[not]{.underline} account for the estimated [deployment]{.underline}
costs of the project. The estimated [deployment]{.underline} costs are
thought to consist primarily of [hardware]{.underline} and
[equipment]{.underline} costs totaling about \$9,765,000.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

ESTIMATED STAFFING HOURS

The following estimates are expressed in terms of direct productive
labor hours. Direct productive labor hours are defined as actual work
hours exclusive of vacation, holiday, sick leave and all other absences.

Phase I -- Planning and Design (8 months):

Hours

Project Manager 925

Senior Engineer/Analyst 1,384

Junior Engineer/Analyst 384

Support Staff 200

\[Estimates continued on next page\]

Phase II -- Deployment and Operations:

(Includes items numbered 1 through 9, as listed on pages 39-40) - (40
months):

Hours

Project Manager 4,651

Systems Engineering 6,933

Telecommunications 2,500

Information Systems Management 4,600

Programmer 14,000

Junior Engineer/Analyst 2,000

Support Staff 800

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

[Required Information Supporting any Proposed Subs or
Consultants]{.underline}

If a prime applicant proposes to use any [sub]{.underline}-recipients
(i.e., "subcontractors") or any [consultants]{.underline} for this
project, then the prime applicant's "Project Management and Staffing
Plan" shall include the following supporting information:

\~ The name and address of each proposed sub-recipient, subcontractor,
and consultant

\~ For each such sub or consultant, the names and positions of personnel
who are proposed to work on this project

\~ The numbers of staffing hours proposed to be worked by each such sub
or consultant, broken out by each individual staffer's name, by
subcontract company or organization, and by Phase of the Statement of
Work. (Proposed [clerical]{.underline} individuals need
[not]{.underline} be [named]{.underline}, but their estimated numbers of
staffing [hours]{.underline} must be shown, by Phase).

\~ A proposed Statement of Work and work plan (i.e., timing schedule)
for that portion of the work to be performed by each particular proposed
sub-recipient, subcontractor, and consultant.

\~ A letter or other statement from each proposed consultant,
sub-recipient and sub-contractor, stating that he, she, or it has been
approached on the matter of participation in this study, and stating
that he, she or it is in fact willing to participate on the terms
indicated.

**Part III - Past Performance and Experience Proposal**

A. [Past Performance References]{.underline}

i.  For *Prime* Applicants

[No]{.underline} past performance references need be provided for any
[prime]{.underline} applicant (i.e., for the State Department of
Transportation in whose name an application is being submitted).

\(ii\) For *Lower Tier* Participants

As further specified in the following paragraphs, past performance
references [shall]{.underline} be provided for each proposed
[lower-tier]{.underline} participant (i. e. , for each proposed
sub-recipient, subcontractor, non-leading partner, or consultant), if
the lower-tier participant is a commercial company, a commercial
organization, a public or private institution of higher education, a
non-profit organization, or a not-for-profit organization.

[Subject]{.underline} [to]{.underline} the 5-count-[limit]{.underline}
set forth in the next sentence, each application shall include\-\--for
each particular proposed [lower-tier]{.underline} participant as defined
in the preceding paragraph\-\--past performance information (as
described below) regarding [ALL]{.underline} projects (contracts,
subcontracts, grants, cooperative agreements, and projects performed for
private industry) which satisfy [all]{.underline} of the following three
parameters "a" through "c": (a) The project has been completely or
partially performed by the proposed lower-tier participant in question,
for the FHWA or for any other entity, within the eight-year period
immediately preceding the date this RFA was issued (i.e., "posted" to
FedBizOpps) [and]{.underline} (b) The project was at least six months
into its period of performance, as of the date this RFA was issued; and
(c) The project involves (or involved) services similar to, or related
to, the services described in this RFA. For any particular proposed
lower-tier participant having [more]{.underline} than five such
qualifying projects, the application shall include past performance
information on only [five]{.underline} of those projects for that
particular lower-tier participant, and those five projects may be chosen
by the prime applicant.

The following past performance information shall be provided for
[each]{.underline} project cited:

Customer name and address.

Customer's technical office point(s) of contact (name and
[CURRENT]{.underline} telephone number)**\***.

Customer's contracting/Business office point(s) of contact (name and
[CURRENT]{.underline} telephone number)**\***.

Contract number, or project number, if applicable.

Date of contract award and period of performance (i.e., beginning date
of performance, and ending date).

Type of contract (for example: fixed-price, or cost-reimbursable, or
time-and-materials, or cost-plus-fixed-fee,

or cost-plus-award-fee, etc.)

Total contract dollar value at time of award.

Brief description of product or services.

An explanation of [how]{.underline} the cited past performance project
[applies]{.underline} (i.e., relates to) [this]{.underline} RFA's
Statement of Work. In other words, a rationale must be provided to
demonstrate that the work performed in the cited project is
[relevant]{.underline} to [this]{.underline} RFA.

**\*Each applicant shall [verify]{.underline} that each phone number
given is [still]{.underline} current\-\-\-\--by placing a telephone call
to each contact person, [before]{.underline} submitting the application,
and by [verifying]{.underline} that the contact person can
[still]{.underline} be reached at the phone number given. DO
[NOT]{.underline} CITE [FORMER]{.underline} TELEPHONE NUMBERS OR FORMER
AREA CODES FOR ANY PAST PERFORMANCE CONTACT PERSON. It is
[not]{.underline} necessary that a cited [technical]{.underline} contact
person [still]{.underline} be [employed]{.underline} by the organization
that performed the cited project; it is only necessary that the cited
technical contact person be [knowledgeable]{.underline} and
[reachable]{.underline} at the phone number cited.**

[Special Provision for **Newly-Formed** Entities Only]{.underline}: If
any proposed sub or non-leading partner or

consultant is a newly-formed business or entity, and if that
newly-formed business or entity lacks a relevant past

performance history, then past performance references concerning that
business's or entity's [individual]{.underline} proposed

personnel may be submitted.

Evaluation of past performance will be performed by the Government. The
FHWA reserves the right to use any past

performance information provided by the applicant (concerning proposed
lower-tier entities), in order to contact

technical/business representatives on previous projects to obtain
information regarding past performance. Further, in

assessing past performance, the FHWA reserves the right to use
information [not]{.underline} provided by the

applicant\-\-\--such as information contained within the FHWA's past
performance files, and information obtained

directly from Government personnel with whom the lower-tier participants
or any of their professional staff members

have dealt in the past. In evaluating past performance, the Government
reserves the right to perform its [own]{.underline} research

and to look [beyond]{.underline} the projects cited in the application.

The Government will qualitatively evaluate the past performance of an
applicant's proposed [lower]{.underline}-[tier]{.underline} participants
(commercial companies, commercial organizations, consultants, non-profit
organizations, and not-for-profit organizations) on the basis of its
reputation with its customers and others for the following:

1\. Adherence to the terms and conditions of its contracts and projects,
including the technical, business, and administrative aspects of
performance;

2\. Demonstration of a commitment to customer satisfaction;

3\. Pursuit of excellence in all aspects of its business; and

4\. Successful financial performance which includes the applicant's
commitment to customer satisfaction, effective management,
responsiveness to contract requirements, honesty and integrity, prompt
notification of problems, flexibility, proactiveness, effective
recommended solutions, and effective subcontracting and teaming
arrangements.

B. [Awards and Certifications]{.underline}

In its Past Performance and Experience Proposal, an applicant may
identify any relevant quality awards or certifications that it or its
proposed subs or consultants have received over the past eight years.

**Part IV -- Schedule**

**A. Submit a [Comprehensive]{.underline} Schedule for Performance of
this RFA's**

**[Entire]{.underline} Statement of Work**

Volume I of each Application shall include a Part IV containing a
proposed Schedule, which shall: (a) show the proposed timing of key
project events; and (b) be [consistent]{.underline} with all
[other]{.underline} portions of the Application. The schedule shall show
when each element of the Model Deployment listed below will be deployed
and operational:

1.  Statewide Reporting

2.  Metropolitan area data and information systems

3.  Evacuation and route monitoring

4.  Weather response

5.  Multi-modal traveler information

6.  Security monitoring

7.  Data availability

8.  Locally-defined components

The schedule shall include a contingency for possible difficulties that
might be encountered during performance.

**Volume II - BUSINESS AND COST/PRICE PROPOSAL**

**The total available Federal ITS funding for this project is
\$10,000,000. No Applicant shall propose a total [Federal]{.underline}
ITS price (including the proposed Federal ITS funding for the prime
Applicant and the proposed Federal funding for all subs, partners,
affiliates and consultants) greater than \$10,000,000. But an Applicant
may, if it chooses, propose a total Federal ITS price [less]{.underline}
than \$10,000,000. Further, each applicant [shall]{.underline} propose
cost-sharing, [over]{.underline} [and above]{.underline} the applicant's
proposed Federal ITS funding figure. The total dollar amount of each
Applicant's proposed cost-sharing (counting not only the contributions
proposed to be given by the [prime]{.underline} Applicant, but
[also]{.underline} the contributions proposed to be given by the
[subs]{.underline}, affiliates, partners and consultants) shall be
[at]{.underline} [least]{.underline} 20% of the "Total Project Value".
Total Project Value = Proposed Total [Federal]{.underline} ITS Price
(i.e., proposed Federal ITS Funding) + Proposed Total Dollar Amount of
[Cost-Sharing]{.underline}. Thus an Applicant proposing a total Federal
ITS price of \$10,000,000 must [also]{.underline} propose at least
\$2,500,000 of [cost-sharing]{.underline}, over and [above]{.underline}
the \$10,000,000 of proposed Federal ITS funding. That is: (\$2,500,000
proposed cost-sharing) / \[(\$10,000,000 proposed Federal ITS Funding) +
(\$2,500,000 proposed Cost-Sharing)\] = 20% proposed cost-sharing.)**

The 20% cost share must be from non-federally derived funding sources,
and must consist of either cash, substantial equipment contributions
that are wholly utilized as an integral part of this project, or
personnel services dedicated full-time to this model deployment for a
substantial period, as long as such personnel are not otherwise
supported with Federal funds. The non-federally derived funding may come
from State, local government, or private sector partners. Note that
"sunk costs" or funding identified to support future operations,
maintenance, and management or the system will **not** be considered as
part of the applicant's cost-share contribution.

Applicants are encouraged to provide matching share above and beyond the
required match described above. Those applicants proposing additional
match may include the value of federally-supported projects directly
associated with this model deployment. Applicants that propose
additional matching share above and beyond the required minimum 20% may
receive additional consideration in the proposal evaluation.

**Volume II of the application has [no]{.underline} limits on the
[number]{.underline} of pages. [Non]{.underline}-fold-out pages shall be
8 ½ inches by 11 inches. Any number of
[fold]{.underline}-[out]{.underline} pages (each having dimensions not
exceeding 8 ½ inches by 17 inches) may be used in Volume
II\-\-\--[provided]{.underline} that each such fold-out page is: (a)
[bound]{.underline} [into]{.underline} Volume II; and (b)
[folded]{.underline} [down]{.underline} to a size not exceeding 8 ½
inches by 11 inches. The only restriction on font size(s) to be used in
Volume II is that all font shall be fully [legible]{.underline}.**

**The FHWA hereby reserves the right to make one or more awards from
this RFA [without]{.underline} [discussion]{.underline}, based on the
information set forth in the [initially]{.underline}-submitted competing
applications. For that reason, it is imperative that each
[initially]{.underline}-submitted application contain
[complete]{.underline} supporting cost/pricing information, as more
fully specified below.**

In preparing its Volume II Business and Cost/Price Proposal, each
applicant shall assume that the project's work will begin as soon as
practicable [after]{.underline} the month of January, 2003, and that the
cooperative agreement's Period of Performance will be 48 months.

**[A.]{.underline} [Cost/Price Information (To Be Included in Volume II
of Application)]{.underline}**

**I. Submit a Comprehensive Cost Proposal For Performance of this RFA's
[Entire]{.underline} Statement of Work**

1\. [Application for Federal Assistance forms]{.underline}: Each
Applicant shall submit a Standard Form 424 (Application for Federal
Assistance), and a Standard Form 424A cumulative budget summary for this
RFA's entire Statement of Work, covering Phase I and Phase II, and
including the proposed cost share.

2\. [Detailed Spreadsheets for Prime *and* Subs]{.underline}: Each
applicant shall clearly and thoroughly set forth its proposed costs by
submitting a detailed spreadsheet or spreadsheets (along with any
appropriate [subsidiary]{.underline} schedules and attachments), in the
[initially]{.underline}-submitted application. **The applicant's cost
proposal shall include a [breakou]{.underline}t showing the costs for
each of the following nine major elements of this model deployment:
Statewide Reporting; Metropolitan Area Data and Information Systems;
Evacuation and Route Monitoring; Weather Response; Multi-Modal Traveler
Information; Security Monitoring; Data Availability; Locally-Defined
Components; and Implementation, operations, maintenance and cooperation
with the National Evaluation.** The applicant's cost proposal shall
cover not only the costs proposed to be incurred within the
[prime]{.underline} Recipient's organization, but [also]{.underline} the
costs proposed to be incurred by every
[lower]{.underline}-[tier]{.underline} organization serving under the
prime Recipient (e.g., sub-recipients, subcontractors, consultants, and
non-leading partners). (A separate, [subsidiary]{.underline} spreadsheet
or spreadsheets shall be used to show the costing details for each such
lower-tier entity.) Each spreadsheet shall present its costs in the
[same]{.underline} analytical level of [detail]{.underline} as is
contemplated in the attached Form 1411-1. Any applicant (and any
applicant's proposed subs and consultants) may, if they choose, actually
[use]{.underline} the attached Form 1411-1 to present proposed costs.
And any information that is too voluminous to be [fitted]{.underline}
onto the Form 1411-1 can be presented on subsidiary spreadsheets or
schedules attached to a Form 1411-1. [Regardless]{.underline} of whether
an applicant actually uses the Form 1411-1 or uses [other]{.underline}
spreadsheets, the applicant's [initially]{.underline}-submitted cost
proposal (including the [initially]{.underline}-submitted cost proposals
of the [subs]{.underline}) [shall]{.underline} clearly identify and
display [all]{.underline} of the following information:

a\. [Direct Labor Costs]{.underline}: For the [prime]{.underline}
applicant [and]{.underline} for all proposed [lower]{.underline}-tier
entities, the [initially]{.underline}-submitted application shall
display direct labor by person and by labor category, with an explicit
showing of the number of proposed direct productive labor
[hours]{.underline} for each particular person/labor category, an
explicit showing of the proposed [starting]{.underline} un-loaded hourly
pay rate for each person/labor category, and an explicit showing of the
dollar amounts and the percentage rates of any proposed pay
[escalations]{.underline}. For each proposed staffer, include a copy of
a recent [payroll]{.underline} [record]{.underline} supporting the
individual's [actual]{.underline}, [current]{.underline} un-loaded
hourly pay rate. If that payroll record does not explicitly
[display]{.underline} the person's actual current un-loaded hourly pay
rate, then show exactly [how]{.underline} the actual current un-loaded
hourly pay rate is [computed]{.underline} (i.e., derived) from the data
that [is]{.underline} shown on the payroll record. (For example, on a
payroll record displaying gross pay of \$4,000, the applicant might ink
in computations showing that the \$4,000, when divided by the 80 hours
contained within the pay period, equals an actual current un-loaded pay
rate of \$50.00 per hour for the individual in question.) For
[privacy]{.underline}, the following information may be
[redacted]{.underline} from any payroll record: (1) the individual's
Social Security Number; (2) the person's home address; (3) the date of
birth; and (4) any retirement data. State explicitly each proposed
annual pay [escalation]{.underline} percentage, and state whether or not
each such annual pay escalation percentage includes only
[merit]{.underline} pay, or only [inflation]{.underline}, or
[both]{.underline}. [Special]{.underline} [Provision]{.underline}
[for]{.underline} [Independent]{.underline} [Consultants]{.underline}:
No [un]{.underline}-loaded hourly pay rate, and no payroll record, need
be shown for any proposed individual who [qualifies]{.underline} as an
independent consultant. Instead, show the flat (loaded) hourly
consulting rate proposed for each independent consultant, together with
the number of hours estimated to be worked by that consultant.
[And]{.underline} provide copies of at least two consulting
[invoices]{.underline} in which that consultant has [billed]{.underline}
a client at\-\-\--and has been [paid]{.underline} by the client
at\-\-\--a flat hourly consulting rate equal to or greater than the
starting hourly rate being proposed for that consultant for this
project. To [qualify]{.underline} as an independent consultant and to
thereby receive the treatment described in this "Special Provision", an
individual should: (1) [not]{.underline} be forwarding any of his or her
earnings on this project to any [other]{.underline} person or entity
(except to lawful taxing authorities or to retirement accounts); (2)
[not]{.underline} be paying rent for any office space to be used in the
performance of this project (except for working space contained within a
[residence]{.underline} rented by the consultant); and (3)
[not]{.underline} be employing or paying any other person to help in the
performance of this project (except for payments made by the consultant
to a spouse or child, for clerical assistance).

b\. [Indirect Costs, and Indirect Cost *Percentage* Rates]{.underline}:
"Indirect costs" includes items such as fringe benefits, overhead,
general & administrative expenses, and facilities capital cost of money.
This paragraph "b" does [not]{.underline} apply to individuals who
[qualify]{.underline} as independent consultants (see paragraph "a"
immediately above). For the [prime]{.underline} applicant and for each
proposed [lower]{.underline}--tier entity except independent
consultants, the [initially]{.underline}-submitted application shall
include documentation [supporting]{.underline} each proposed indirect
cost [percentage]{.underline} rate. Such support may take any one of the
following three possible forms: (1) A recent written
[approval]{.underline} of the indirect cost percentage rate in question,
issued by the Defense Contract Audit Agency (DCAA) or issued by some
other cognizant [Federal]{.underline} audit agency, such as the
Department of Health and Human Services or the Office of Naval Research.
If relying on this form of support, include in the [initial]{.underline}
application either a [copy]{.underline} of the recent written Federal
approval, or include a written statement indicating the
[name]{.underline} of the approving Federal agency, the
[date]{.underline} of the approval, and the name, current phone number,
and e-mail address of a contact person within that Federal agency;
[OR]{.underline} (2) In the case of an entity that is a university or
college or a state or local agency, the support could be in the form of
a recent [written]{.underline} memorandum or directive\-\-\-\--issued by
a high-level financial officer or by a high-level state government
official or by a dean or chancellor or provost\-\-\--officially
[instructing]{.underline} the organization to [use]{.underline} the
indirect cost percentage rate in question, as a [general]{.underline}
policy for [all]{.underline} projects undertaken in the current year,
and [not]{.underline} just for [this]{.underline} particular RFA;
[OR]{.underline} (3) In cases where no recent written Federal approval
of the indirect cost percentage rate is available, and where the entity
in question is [not]{.underline} a college, university, state agency or
local agency, then the entity must provide, in the [initial]{.underline}
application, a recent supporting [cost]{.underline} [pool]{.underline},
a corresponding [base]{.underline} cost figure, and a
[calculation]{.underline} showing that the resulting indirect cost
[percentage]{.underline} rate is [equal]{.underline} to or
[greater]{.underline} than the indirect cost percentage rate being used
in the [application]{.underline} submitted under this RFA. Any such cost
pool must show costs incurred during the organization's most recently
completed fiscal year, or, if those cost figures are not yet available,
must show costs incurred during the [previous]{.underline} year. Any
such cost pool must show, in [words]{.underline} and in
[dollar]{.underline} figures, each of the cost [elements]{.underline}
contained within the indirect cost percentage rate in question. For
example, "Office Rent \-\-\-\--\$120,000", appearing as a line item in
an entity's overhead cost pool, would indicate that the organization
incurred a cost of \$120,000 for office rent, as an overhead cost item,
during the recently completed fiscal year. For any
[particular]{.underline} indirect cost percentage rate of the prime
applicant or any sub, such a supporting indirect cost pool and
computations [may]{.underline} [already]{.underline} be in
[existence]{.underline}\-\-\--in a recent state or local
[audit]{.underline} report concerning the [prime]{.underline} applicant,
or in a [CPA's]{.underline} recent audit report concerning a proposed
[lower]{.underline}-tier entity, or in a recent income tax return. Check
for such [existing]{.underline} reports first, [before]{.underline}
trying to [construct]{.underline} an indirect cost pool.

c\. [Travel]{.underline} [Costs]{.underline}: The Government estimates
that this project will require a total [un]{.underline}-loaded travel
cost of \$30,000. In showing proposed travel costs, an applicant may
take either of the following approaches: (1) The applicant may
[use]{.underline} the Government's estimated \$30,000 total un-loaded
travel cost figure, and may [allocate]{.underline} any
[portions]{.underline} of that un-loaded figure to the applicant's
proposed [lower]{.underline}-tier participants, as the applicant sees
fit. [If]{.underline} this first approach is used, then the prime
applicant and the lower-tier entities must be sure to [also]{.underline}
propose any applicable [indirect]{.underline} costs (such as general &
administrative expense), [over]{.underline} [and]{.underline}
[above]{.underline} the Government's estimated \$30,000
[un]{.underline}-loaded travel figure. This first approach may be used
[only]{.underline} if the applicant concludes that the Government's
estimated \$30,000 total un-loaded travel cost figure is
[not]{.underline} [inconsistent]{.underline} with the applicant's
proposed [technical]{.underline} [plan]{.underline} for performing this
project. [If]{.underline} an applicant takes this [first]{.underline}
approach, then [no]{.underline} [itemization]{.underline} of travel
costs (e. g., city-pairs, travel purposes, airfares, lodging costs,
etc.) need be shown; [OR]{.underline} (2) An applicant may choose
[not]{.underline} to use the Government's \$30,000 estimated total
un-loaded travel cost figure, and in that event may propose some
[other]{.underline} un-loaded travel figure(s). [If]{.underline} an
applicant takes this [second]{.underline} approach, then all applicable
[indirect]{.underline} costs (such as general & administrative expense)
[still]{.underline} must be proposed, [over]{.underline}
[and]{.underline} [above]{.underline} the applicant's estimated
[un]{.underline}-loaded travel figure(s); and, under this second
approach, the application must include an [itemization]{.underline} of
the proposed [un]{.underline}-loaded travel costs, showing each proposed
trip, the traveler's name, the city of origin, the outbound destination,
the purpose of the trip, the estimated airfare(s), the estimated lodging
costs, the estimated costs for meals, and other incidental expenses such
as highway tolls and taxicab fares.

d\. [Other]{.underline} [Direct]{.underline} [Costs]{.underline}: The
term "other direct costs" includes items such as photocopies, facsimile
transmissions, long distance telephone calls, overnight shipping, and
postage\-\-\-\--but [only]{.underline} to the extent that such expenses
are [not]{.underline} recovered through [indirect]{.underline} cost
rates such as overhead or general & administrative expense. "Other
direct costs" also includes materials and equipment that is needed for,
and dedicated to, this particular project.\-\-\--but "Other direct
costs" does [not]{.underline} include the "Deployment Costs" shown in
the Government Cost Estimate given above. The Government estimates that
this project will require a total [un]{.underline}-loaded figure of
\$50,000 for "Other direct costs". For proposing "Other Direct Costs",
each applicant is offered essentially the same two alternative
approaches that are specified for travel costs in sub-paragraph "c"
immediately above: (1) An applicant may use the Government's estimated
\$50,000 un-loaded Other Direct Cost figure if it is [not]{.underline}
inconsistent with the applicant's proposed technical approach; and in
that event the applicant need not itemize the Government's un-loaded
Other Direct Cost figure; but the applicant must add on all applicable
[indirect]{.underline} costs such as general & administrative expense;
[or]{.underline} (2) An applicant may use some un-loaded Other Direct
Cost figure [other]{.underline} [than]{.underline} the Government's
\$50,000 estimate; but in that event, the applicant must justify and
itemize that chosen un-loaded Other Direct Cost figure; and the
applicant must add on all applicable [indirect]{.underline} costs (such
as general and administrative expense).

e\. [Cost]{.underline} [Itemization]{.underline} [and]{.underline}
[Cost]{.underline} [Support]{.underline} [for]{.underline}
*[Lower]{.underline}*-*[Tier]{.underline}* [Entities]{.underline}: Each
[initially]{.underline}-[submitted]{.underline} application shall
itemize and support the costs proposed to be incurred by each
[sub]{.underline}-recipient, each consultant, each subcontractor, and
each partner. The cost support for each such lower-tier entity shall be
provided in [just]{.underline} [as]{.underline} [much]{.underline}
[detail]{.underline} as is required for the [prime]{.underline}
applicant's [internal]{.underline} costs (but the lower-tier costs
should be shown on a separate, subsidiary spreadsheet for each
particular lower-tier entity). The spreadsheet(s) covering the
[prime]{.underline} applicant's [internal]{.underline} costs should
display a [line-item-total]{.underline} cost for each particular
lower-tier entity.

f\. [Fee]{.underline} [or]{.underline} [Profit]{.underline}: Because
each [prime]{.underline} applicant must be a State Department of
Transportation, the FHWA is not planning on paying any fee or profit to
any [prime]{.underline} Recipient of any cooperative agreement resulting
from this RFA. But a prime applicant's proposed [lower]{.underline}-tier
commercial participants are not prohibited from proposing fee or profit
for themselves. However, any such fee or profit proposed for lower-tier
commercial participants should be minimized, because the FHWA wants to
receive as much [value]{.underline} as possible for the \$10,000,000 of
Federal funding, and it is unlikely that [profit]{.underline} for the
commercial subs would [contribute]{.underline} any value to the project
(except insofar as profit might serve to keep the commercial subs
[motivated)]{.underline}. Any fee or profit proposed for a commercial
lower-tier entity shall be explicitly [shown]{.underline} on that
particular entity's pricing [spreadsheet(s)]{.underline}.

g\. [Cost]{.underline}-[Sharing]{.underline}: Each spreadsheet (or an
attachment thereto) shall clearly show how much of the budget is to be
paid with [FHWA]{.underline} funds, and how much is to be paid through
[cost]{.underline}-sharing to be arranged by the Recipient of the
Cooperative Agreement (or by the Recipient's subs and partners). (See
more about cost-sharing below, under the heading "Financial Plan ".)

3\. [Financial Plan]{.underline} : Each applicant shall include, within
its "Volume II Business and Cost/Price Proposal", a Financial Plan. The
Financial Plan must demonstrate that sufficient funding is available to
successfully complete all aspects of the model deployment as described
in the technical plan. For purposes of demonstrating such "sufficient
funding", each applicant may of course presume that
[Federal]{.underline} ITS funds in the amount of \$10,000,000
[will]{.underline} be available to help pay for an acceptable technical
and staffing plan satisfactorily executed. The main focus of the
Financial Plan shall therefore be on demonstrating the sufficiency and
the actual availability of the proposed [cost-sharing]{.underline}.
Accordingly, the Financial Plan must provide a statement of commitment
from the proposed partners for the model deployment that affirms the
availability of the proposed cost-sharing in an amount equal to or
greater than 20% of the Total Project Value. (To repeat: Total Project
Value = \$10,000,000 of Federal ITS Funding + Total Dollar Value of
Cost-Sharing). The Financial Plan shall clearly show [how]{.underline}
[much]{.underline} of the proposed cost-sharing (in dollars, or in
equivalent dollar [values]{.underline} for [in-kind]{.underline}
contributions) is to be provided by the [prime]{.underline} applicant,
and how much is to be provided by each separate proposed
[lower]{.underline}-tier entity (sub-recipient, subcontractor, partner,
or consultant). The Financial Plan shall clearly show the major
[components]{.underline} (both public and private) of the cost-sharing
dollar amount proposed to be contributed by the [prime]{.underline}
applicant, and the Financial Plan shall show the same kind of break-out
of the cost-sharing dollar amount proposed to be contributed by each
separate [lower]{.underline}-tier entity. As one example of such
components, donated [labor]{.underline} should be shown as a distinct
cost-sharing element, and should be broken out by estimated labor
category and by estimated labor hours to be donated by each such labor
category, and by hourly dollar value of each such donated labor hour.
Donated [equipment]{.underline} and donated [materials]{.underline}
should likewise be shown as a distinct cost-sharing component, with
major [items]{.underline} of equipment and materials described in words,
and an estimated dollar value given for each. And any planned
cost-sharing proposed to be contributed in the form of
[cash]{.underline} should likewise be shown as a distinct cost-sharing
component. Each applicant shall ensure that all proposed cost-sharing
components are [allowable]{.underline} costs under the cost principles
set forth in the relevant OMB Circulars. (For example, costs for
entertainment, alcoholic beverages, most advertising, and most
marketing, would [not]{.underline} be allowable.) The Financial Plan
shall clearly and convincingly [demonstrate]{.underline} that each and
every proposed item of cost-sharing will actually be
[available]{.underline} for [contribution]{.underline} and
[dedication]{.underline} to [this]{.underline} particular project.
Further, the Financial Plan shall include a Memorandum of Understanding
(MOU), on the prime applicant's [letterhead]{.underline}
[stationery]{.underline}, signed by the [prime]{.underline} applicant,
certifying that the cost-sharing proposed to be contributed by the prime
itself and by the lower-tier entities will actually be available and
will actually be contributed to this particular project. And the
Financial Plan shall include, for each separate [lower]{.underline}-tier
entity, a similar MOU, on that lower-tier entity's
[letterhead]{.underline} [stationery]{.underline}, pertaining to the
cost-sharing proposed to be contributed by that particular lower-tier
entity, signed by that entity and signed by the prime applicant. Each
signature on an MOU shall be by an organizational officer possessing the
authority to make the cost-sharing pledge. Ideally, each MOU should also
be signed by the cognizant board of directors or board of regents (if a
board exists).

In [addition]{.underline} [to]{.underline} providing all of the
cost-sharing [detail]{.underline} specified in the immediately preceding
paragraph, each Applicant shall also [summarize]{.underline} the
proposed cost-sharing by displaying it, in a high-level manner, in the
following tabular format:

+------------------------------------+------------+----------+--------+
| # **Cost Br                        |            |          |        |
| eakdown for the Model Deployment** |            |          |        |
+------------------------------------+------------+----------+--------+
| #                                  |            |          |        |
|  **Estimated Cost for each Phase** |            |          |        |
+------------------------------------+------------+----------+--------+
|                                    | # **Fed    | # *      | # **T  |
|                                    | eral ITS** | *Match** | otal** |
+------------------------------------+------------+----------+--------+
| **Phase 1** -- Planning and Design | \$         | \$       | \$     |
+------------------------------------+------------+----------+--------+
| **Phase 2** -- Estimated           |            |          |        |
| deployment cost                    |            |          |        |
+------------------------------------+------------+----------+--------+
| 1.  Metro area information system  | \$         | \$       | \$     |
+------------------------------------+------------+----------+--------+
| 2.  Statewide reporting            | \$         | \$       | \$     |
+------------------------------------+------------+----------+--------+
| 3.  Evacuation                     | \$         | \$       | \$     |
+------------------------------------+------------+----------+--------+
| 4.  Weather response               | \$         | \$       | \$     |
+------------------------------------+------------+----------+--------+
| 5.  Multi-modal traveler           | \$         | \$       | \$     |
|     information                    |            |          |        |
+------------------------------------+------------+----------+--------+
| 6.  Security monitoring            | \$         | \$       | \$     |
+------------------------------------+------------+----------+--------+
| 7.  Data availability              | \$         | \$       | \$     |
+------------------------------------+------------+----------+--------+
| 8.  Locally-defined components     | \$         | \$       | \$     |
+------------------------------------+------------+----------+--------+
| **Subtotal for deployment** (1-8   | \$         | \$       | \$     |
| above)                             |            |          |        |
+------------------------------------+------------+----------+--------+
| 9.  Implementation, operations and | \$         | \$       | \$     |
|     maintenance                    |            |          |        |
+------------------------------------+------------+----------+--------+
| 10. Cooperation With the National  | \$         | \$       | \$     |
|     Evaluation                     |            |          |        |
+------------------------------------+------------+----------+--------+
| **Subtotal for Phase 2** (1-10     | \$         | \$       | \$     |
| above)                             |            |          |        |
+------------------------------------+------------+----------+--------+
| ## TOTAL for Phases 1 and 2        | \$         | \$       | \$     |
+------------------------------------+------------+----------+--------+

\[tabular format continued on next page\]

+-----------------------+-----------+-----------+-----------------------+
| #                     |           |           |                       |
|   **Funding Sources** |           |           |                       |
+-----------------------+-----------+-----------+-----------------------+
| ## Federal ITS Funds  |           |           | \$                    |
+-----------------------+-----------+-----------+-----------------------+
| **Matching            |           |           | \$                    |
| Contributions**       |           |           |                       |
+-----------------------+-----------+-----------+-----------------------+
| **Total for the Model |           |           | \$                    |
| Deployment**          |           |           |                       |
+-----------------------+-----------+-----------+-----------------------+
| # **Detail            |           |           |                       |
| ed Description of Mat |           |           |                       |
| ching Contributions** |           |           |                       |
+-----------------------+-----------+-----------+-----------------------+
| ## Source             | #         | **De      |                       |
|                       | **Value** | scription |                       |
|                       |           | (e.g.,    |                       |
|                       |           | cash,     |                       |
|                       |           | personnel |                       |
|                       |           | or        |                       |
|                       |           | equipment |                       |
|                       |           | devoted   |                       |
|                       |           | full-time |                       |
|                       |           | to the    |                       |
|                       |           | project   |                       |
|                       |           | and not   |                       |
|                       |           | supported |                       |
|                       |           | with      |                       |
|                       |           | Federal   |                       |
|                       |           | funds,    |                       |
|                       |           | other)**  |                       |
+-----------------------+-----------+-----------+-----------------------+
|                       |           |           |                       |
+-----------------------+-----------+-----------+-----------------------+
|                       |           |           |                       |
+-----------------------+-----------+-----------+-----------------------+
|                       |           |           |                       |
+-----------------------+-----------+-----------+-----------------------+
|                       |           |           |                       |
+-----------------------+-----------+-----------+-----------------------+
|                       |           |           |                       |
+-----------------------+-----------+-----------+-----------------------+
|                       |           |           |                       |
+-----------------------+-----------+-----------+-----------------------+
|                       |           |           |                       |
+-----------------------+-----------+-----------+-----------------------+
|                       |           |           |                       |
+-----------------------+-----------+-----------+-----------------------+
|                       |           |           |                       |
+-----------------------+-----------+-----------+-----------------------+
|                       |           |           |                       |
+-----------------------+-----------+-----------+-----------------------+
|                       |           |           |                       |
+-----------------------+-----------+-----------+-----------------------+
| ###                   | \$        |           |                       |
|  Total Value of Match |           |           |                       |
+-----------------------+-----------+-----------+-----------------------+

4\. [Consistency and]{.underline}
[Cross]{.underline}-[Referencing]{.underline}: Any cost or pricing
information submitted must [support]{.underline} the dollar

amount(s) proposed. Include\-\-\--in the
[initially]{.underline}-[submitted]{.underline}
application\-\-\--sufficient detail or cross-references to clearly
establish the relationship of the information provided to the price
proposed. Support any information provided by explanations or supporting
rationale as needed to permit the Government to evaluate the
documentation. In addition, submit with your proposal any information
reasonably required to explain your estimating process, including:

a.  The judgmental factors applied and the mathematical or other methods
    used in the estimate, including those used in projecting from known
    data; and

b.  The nature and amount of any contingencies included in the proposed
    price.

5\. [Government's Right to Request More Pricing Data]{.underline}: The
Government reserves the right to request, at any time after receipt of
the initial applications and before awarding any resulting cooperative
agreement(s), any additional cost or pricing information needed to
perform an analysis. But because one or more awards [may]{.underline} be
made based upon the [initially]{.underline}-[submitted]{.underline}
competing applications and [without]{.underline} conducting any
discussions/negotiations, each applicant should maximize its chances of
receiving an award by documenting its proposed costs so thoroughly in
the [initial]{.underline} application that no additional information is
needed by the FHWA.

6\. [Facilities and Special Equipment, Including Tooling]{.underline}:

It is the general policy of the FHWA not to provide general or special
purpose equipment, facilities or tooling of a capital nature except in
unusual circumstances. Items having a unit cost of less than \$1,000
will not be provided to you except as authorized with nonprofit
institutions or State and local governments. If special purpose
equipment of a capital nature is being proposed, provide a description
of the items, details of the proposed cost including competitive prices,
and a justification as to why the Government should furnish the
equipment or allow its purchase with Government funds.

Your proposal must include a statement regarding availability of
facilities and equipment necessary to accomplish the required work. If
any or all of the required facilities are Government owned, a complete
listing of these facilities is required with the name of the cognizant
Government agency furnishing the facilities and the facilities contract
number(s).

**B.** **[Other Financial/ Organizational Information]{.underline}**

1\. [General Information]{.underline} -- In the
[initially]{.underline}-submitted application, you must attach a
supplemental sheet or sheets providing the following information:

a\. Indicate your fiscal period (provide month-to-month dates).

b\. Indicate whether or not each [particular]{.underline} proposed
indirect cost [percentage]{.underline} rate (for the [prime]{.underline}
applicant [and]{.underline} for each proposed [sub]{.underline}) has
been audited and [accepted]{.underline} by any [Federal]{.underline}
audit agency. Give the name, location, and telephone number of each such
[approving]{.underline} Federal audit agency, and give the name of a
contact person in the Federal audit agency, and state the date when the
Federal audit agency accepted the indirect cost percentage rate in
question. If [no]{.underline} Federal audit report approving any
particular proposed indirect cost percentage rate for 2001or 2000 is
available, then provide [other]{.underline} support for that particular
indirect cost [percentage]{.underline} rate, as specified above in the
paragraph headed "Indirect Costs, and Indirect Cost *Percentage* Rates".

> c\. Indicate whether your system of control of Government property has
> been approved by a Government agency. If so, provide the name,
> location and telephone number of the cognizant agency, and date of
> approval.
>
> d\. Indicate whether written purchasing procedures exist, and whether
> you purchasing system has been approved by a Government agency. If so,
> provide the name, location and telephone number of the cognizant
> agency, and date of approval.

e\. Indicate whether your cost estimating system has been approved by a
Government agency. If so, provide the name, location and telephone
number of the cognizant agency, and date of approval.

> f\. Indicate whether your cost accumulation system has been approved
> by a Government agency. If so, provide the name, location and
> telephone number of the cognizant agency, and date of approval.

g.  Attach a current financial statement, including a balance sheet and
    income statement

> for the last completed fiscal year. Specify resources available to
> perform the contract without assistance from any other source. If
> sufficient funds are not available, indicate the amount required and
> the anticipated source (i.e., bank loans, letter or lines of credit,
> etc.).

2\. [Government's Right to Inspect]{.underline}: By submitting your
application, you grant to the Federal Highway

Administration=s Agreement Officer or an authorized representative the
right to examine those

books, records, documents, and other supporting data that will permit
adequate evaluation of the

proposed price. This right may be exercised at any time before award.
The FHWA may use the support

of another Federal Agency (such as the Defense Contract Audit Agency )
for budget analyses. The

FHWA also reserves the right to request, at any time after the receipt
of initial applications but

before award, additional cost or pricing information necessary to
perform an analysis.

**OTHER INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS**

DOCUMENTS INCORPORATED BY REFERENCE

The following documents are incorporated by reference and may be
reviewed in, or obtained upon request from the Office of Contracts and
Procurement:

> \"Guidelines for Preparing Federal Highway Administration
> Publications\" (FHWA-AD-88-001), dated January 1988.

Federal Information Processing Standards Publication 38 (FIPS PUB) dated
February 15, 1976, and FIPS PUB 64 dated August 1, 1979, are
incorporated by reference and are available for purchase from:

National Technical Information Service

5235 Port Royal Road

Springfield, Virginia 22164

Telephone Number (703) 487-4650

COMMUNICATIONS BY THE GOVERNMENT

Until a formal notice of award is issued, no communication by the
Government either written or oral shall be interpreted as a promise that
an award will be made.

The Agreement Officer is the only individual who can legally commit or
obligate the Government to the expenditure of public funds. No cost
chargeable to the proposed cooperative agreement can be incurred before
receipt of a fully executed contract or specific written authorization
from the Agreement Officer.

***Article XIII***

**[Selection Factors for Award]{.underline}**

A. **General.** The Government may make one or more awards to the
acceptable Applicant(s) offering the best overall value. The Government
will base its source selection decision on four selection factors:
Technical Plan; Management and Staffing Plan; Past Performance; and
Financial Plan. An Application must be found acceptable (by the FHWA) on
all four of those selection factors, in order to be considered for an
award.

**B. Technical Plan Selection Factor.** In general, an applicant's
Technical Plan will be evaluated and scored on its overall adequacy and
reasonableness to achieve the objectives of the model deployment. The
"Statement of Work", set forth in Article IV of this RFA, contains the
minimum operational functions that the Government wishes to demonstrate
and evaluate as part of this effort. Additional geographic coverage,
expanded data collection, greater institutional integration, and more
innovative operational use of the data beyond those minimum requirements
will receive additional consideration in the evaluation of applications.
The Technical Plan must contain a preliminary operational concept and
technical approach (as discussed in the Instructions to Applicants) that
describes each component of the model deployment and how each component
will be integrated, deployed and operated. Changes to existing systems
and additional surveillance and monitoring elements should be described.
The Technical Plan will be evaluated on the following specific factors:

1\. The proposed scope and operational use of the transportation
information system. Specifically, the extent to which the following
operational components will be deployed, integrated and the resulting
data and information used in innovative ways to support improved surface
transportation system security, reliability, safety and operational
performance:

-   Metropolitan area data and information systems

-   Statewide reporting

-   Evacuation

-   Weather response

-   Security monitoring

-   Multi-modal traveler information

-   Data availability

-   Additional locally-defined components

2\. How well the applicant demonstrates innovative approaches and
technologies for monitoring, collecting, processing and providing
quality assurance for each of the information system components.

3\. How well the applicant demonstrates the capacity to provide
sophisticated, innovative

solutions to use the data and information to improve the security,
reliability, safety and

overall operational performance of the surface transportation system.

4\. The demonstrated ability to bring together State, metropolitan, and
local partners,

public safety agencies, and other traditional and non-traditional
partners, to improve transportation system security and reliability
through data sharing and integration.

5\. How the applicant proposes to demonstrate the use of the
transportation information

system to support evacuation, given that a real evacuation is unlikely
during the model deployment period.

6\. The design of a deployment and integration strategy that ensures
that the system will be operational within 24 months of award.

**C. Management and Staffing Plan Selection Factor.**

The Management and Staffing Plan must demonstrate a well thought out
estimate of the level of effort and skills needed to successfully
complete the model deployment, along with the identification of which
organizations will supply the staff needed, lines of reporting, and
responsibilities. The Management and Staffing Plan must include the
names and qualifications of key staff. The operational roles and
responsibilities of the partners during operations must be defined.

The Management and Staffing Plan must demonstrate a commitment to hire
or assign a full-time project manager and provide adequate full-time
staff to ensure timely implementation of the model deployment. Proposed
staff should have demonstrated skills for effective operations and
management, as well as the necessary skills in relevant technical areas,
such as systems engineering and integration; telecommunications;
software development and information management.

The evaluation will be based on the adequacy, thoroughness, and
appropriateness of the Management and Staffing Plan. That Plan will be
evaluated on the following specific factors:

1\. The knowledge, skills and experience of the proposed Project Manager
and other key staff, and the staffing allocations for the design,
deployment and operational phases of the model deployment.

2\. The organization of the Project Team, including a staffing chart
that demonstrates the relationships among the participating
organizations.

3\. The involvement of key partners and the roles of the partners in the
Project Team, including identification of key staff from other agencies
and/or jurisdictions involved in the project.

> 4\. The availability and commitment of key staff to attend periodic
> model deployment coordination meetings, and to support the national
> evaluation team.

**D.** **Past Performance Selection Factor.** Past performance will
[not]{.underline} be [numerically]{.underline} scored. No past
performance [references]{.underline} need be submitted for the
[prime]{.underline} applicant. The Government will qualitatively
evaluate the past performance of an applicant's proposed
[lower-tier]{.underline} participants (commercial companies, commercial
organizations, consultants, non-profit organizations, and not-for-profit
organizations) on the basis of its reputation with its customers and
others for the following: (1) adherence to the terms and conditions of
its contracts and projects, including the technical, business, and
administrative aspects of performance; (2) demonstration of a commitment
to customer satisfaction; (3) pursuit of excellence in all aspects of
its business; and (4) successful financial performance which includes
the applicant's commitment to customer satisfaction, effective
management, responsiveness to contract requirements, honesty and
integrity, prompt notification of problems, flexibility, proactiveness,
effective recommended solutions, and effective subcontracting and
teaming arrangements. Although no past performance
[references]{.underline} need be submitted for any [prime]{.underline}
applicant, the FHWA does reserve the right to take into
[consideration]{.underline} any thing that it [knows]{.underline} about
the past performance of any [prime]{.underline} applicant.

#### 

##### E. Financial Plan Selection Factor. This selection factor will [not]{.underline} be [numerically]{.underline} scored. The FHWA will examine the [cost]{.underline}--[realism]{.underline} of the application, to determine the *[realistic]{.underline}* [price]{.underline} to be paid by the [FHWA]{.underline}. The FHWA will also consider how much [cost-sharing]{.underline} is being proposed, and how convincingly the applicant has [documented]{.underline} the actual [availability]{.underline} of the proposed cost-sharing, by means of itemizations and Memoranda of Understanding (MOUs) signed by the prime applicant and by the proposed sub-recipients. The Financial Plan must demonstrate that sufficient funding is available to successfully complete all aspects of the model deployment as described in the technical plan. 

**F. Basis for Award (Relative Importance of Selection Factors).** The
Government will accept the application(s) that is (are) considered the
best value and most advantageous to the Government. Of the four
selection factors (Technical Plan, Management and Staffing Plan, Past
Performance, and Financial Plan): The Technical Plan factor is more
important than the Management and Staffing Plan factor; the Management
and Staffing Plan factor is more important than the Past Performance
factor; and Past Performance Factor is more important than the Financial
Plan factor.

<table>
<colgroup>
<col style="width: 2%" />
<col style="width: 29%" />
<col style="width: 18%" />
<col style="width: 10%" />
<col style="width: 10%" />
<col style="width: 4%" />
<col style="width: 5%" />
<col style="width: 5%" />
<col style="width: 5%" />
<col style="width: 5%" />
<col style="width: 5%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="6" rowspan="2"><p><strong>CONTRACT PRICING
SUMMARY</strong></p>
<p><strong>(For New Contracts Including Letter Contracts) (See
Instructions on Reverse)</strong></p>
<p><strong>This form is for use in support of Standard Form 1411
prescribed by GSA, FAR (48 CFR) 53.215‑2(c), Format 7A</strong></p></td>
<td><strong>PAGE</strong></td>
<td></td>
<td><strong>OF</strong></td>
<td></td>
<td><strong>PAGES</strong></td>
</tr>
<tr class="even">
<td colspan="5"><p><strong>OMB Control No. 2105‑0517</strong></p>
<p><strong>Expiration Date: 5/31/00</strong></p></td>
</tr>
<tr class="odd">
<td colspan="11">This collection of information is mandatory and will be
used to fulfill the requirements of the Transportation Acquisition
Regulation (TAR). Public reporting burden is estimated to average 5
hours per response, including the time for reviewing instructions
searching existing data sources, gathering and maintaining the data
needed, and completing and reviewing the collection of information. Send
comments regarding this burden estimate or any aspect of this collection
of information, including suggestions for reducing this burden, to the
FAR Secretariat (VRS), Office of Federal Acquisition and Regulatory
Policy, GSA, Washington, D.C. 20405; and to the Office of Management and
Budget,, Information and Regulatory Offices, 725 17th Street, NW,
Washington, DC 20503. Please note that an agency may not conduct or
sponsor, and a person is not required to respond to, a collection of
information unless it displays a currently valid OMB control number. The
OMB control number for this collection is 2105‑0517.</td>
</tr>
<tr class="even">
<td colspan="4"><strong>NAME OF OFFEROR</strong></td>
<td colspan="7"><strong>SUPPLIES AND/OR SERVICES TO BE
FURNISHED</strong></td>
</tr>
<tr class="odd">
<td colspan="4"><strong>HOME OFFICE ADDRESS</strong></td>
<td colspan="7"></td>
</tr>
<tr class="even">
<td colspan="4" rowspan="2"><strong>DIVISION(S) AND LOCATIONS(S) WHERE
WORK IS TO BE PERFORMED</strong></td>
<td colspan="7"><strong>GOV'T SOLICITATION NO.</strong></td>
</tr>
<tr class="odd">
<td colspan="7"><strong>DTFH61-02-X-00060</strong></td>
</tr>
<tr class="even">
<td colspan="11"><strong>.DETAIL DESCRIPTION OF COST
ELEMENTS</strong></td>
</tr>
<tr class="odd">
<td><strong>1.</strong></td>
<td colspan="4"><h6 id="direct-material"><strong>DIRECT
MATERIAL</strong></h6></td>
<td colspan="2"><strong>EST COST ($)</strong></td>
<td colspan="2"><strong>TOTAL EST COST</strong></td>
<td colspan="2"><strong>REFERENCE</strong></td>
</tr>
<tr class="even">
<td></td>
<td colspan="4"><strong>A. PURCHASED PARTS</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="4"><strong>B. SUBCONTRACTED ITEMS</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="4"><strong>C. OTHER ‑‑ (1) RAW MATERIAL</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="4"><strong>(2) STANDARD COMMERCIAL ITEMS</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="4"><em><strong>TOTAL DIRECT MATERIAL</strong></em></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td><strong>2.</strong></td>
<td colspan="4"><strong>MATERIAL OVERHEAD (RATE ___ % x $_____
BASE)=</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td><strong>3.</strong></td>
<td colspan="2"><strong>DIRECT LABOR</strong></td>
<td><p><strong>ESTIMATED</strong></p>
<p><strong>HOURS</strong></p></td>
<td><p><strong>RATE/</strong></p>
<p><strong>HOUR</strong></p></td>
<td colspan="2"><strong>EST COST ($)</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2"><em><strong>TOTAL DIRECT LABOR</strong></em></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td><strong>4.</strong></td>
<td colspan="2"><strong>LABOR OVERHEAD</strong></td>
<td><strong>O.H. RATE</strong></td>
<td><strong>x BASE =</strong></td>
<td colspan="2"><strong>EST COST ($)</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="2"><em><strong>TOTAL LABOR OVERHEAD</strong></em></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td><strong>5.</strong></td>
<td colspan="4"><strong>OTHER DIRECT COSTS</strong></td>
<td colspan="2"><strong>EST COST ($)</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="4"><strong>A. SPECIAL TOOLING/EQUIPMENT</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="4"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="4"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="4"><em><strong>TOTAL SPECIAL
TOOLING\EQUIPMENT</strong></em></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="4"><strong>B. TRAVEL</strong></td>
<td colspan="2"><strong>EST COST ($)</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="4"><strong>(1) TRANSPORTATION</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="4"><strong>(2) PER DIEM OR SUBSISTENCE</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="4"><em><strong>TOTAL TRAVEL</strong></em></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="4"><strong>C. INDIVIDUAL CONSULTANT SERVICES</strong></td>
<td colspan="2"><strong>EST COST ($)</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="4"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="4"><em><strong>TOTAL INDIVIDUAL CONSULTANT
SERVICES</strong></em></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="4"><strong>D. OTHER</strong></td>
<td colspan="2"><strong>EST COST ($)</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="4"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="4"><em><strong>TOTAL OTHER</strong></em></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="4"><em><strong>SUBTOTAL DIRECT COST AND
OVERHEAD</strong></em></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td><strong>6.</strong></td>
<td colspan="4"><strong>GENERAL AND ADMINISTRATIVE (G&amp;A) EXPENSE
(RATE ___ % x $_____ BASE (I.E., COST ELEMENT NOS.
_____))=</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td><strong>7.</strong></td>
<td colspan="4"><strong>ROYALTIES</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td><strong>8.</strong></td>
<td colspan="4"><em><strong>SUBTOTAL ESTIMATED COST</strong></em></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td><strong>9.</strong></td>
<td colspan="4"><strong>CONTRACT FACILITIES CAPITAL AND COST OF
MONEY</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td><strong>10.</strong></td>
<td colspan="4"><em><strong>SUBTOTAL ESTIMATED COST</strong></em></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td><strong>11.</strong></td>
<td colspan="4"><strong>FEE OR PROFIT</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td><strong>12.</strong></td>
<td colspan="4"><em><strong>TOTAL ESTIMATED COST AND FEE OR
PROFIT</strong></em></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td colspan="2"><strong>Form DOT F 4220.44 (REV.
6/97)(EXCEL)</strong></td>
<td colspan="4"><strong>PREVIOUS EDITION OBSOLETE</strong></td>
<td colspan="5"><strong>AUTHORIZED FOR LOCAL REPRODUCTION</strong></td>
</tr>
</tbody>
</table>

+-----------------------------------------------------------------------+
| **INSTRUCTIONS FOR COMPLETING CONTRACT PRICING SUMMARY**              |
|                                                                       |
| **Offerors are instructed to prepare their cost proposals in          |
| sufficient detail to permit thorough and complete evaluation by the   |
| Government. A separate DOT F 4220.44 is required for the basic and    |
| each option period (if applicable). The supporting data for the DOT F |
| 4220.44 shall be as follows. (NOTE: The DOT F 4220.44 shall be used   |
| to implement the requirements of the SF 1411 and does not relieve     |
| offerors from complying with FAR 15.804‑6 requirements.)**            |
|                                                                       |
| **(a) The basis for all proposed rates (including a copy of the       |
| indirect cost pool and a computational trail used to arrive at the    |
| proposed rate shall be clearly identified when the proposed rates are |
| not approved by a Government audit agency for use in proposals; or    |
| approved by the Government audit agency, but the approval is 12       |
| months or more old. State rather an approved (within 12 months)       |
| Government audit agency rate was used.**                              |
|                                                                       |
| **(b) The information below clarifies FAR 15.804‑6 requirements for   |
| specific cost elements. The cost elements listed below shall be       |
| supported, as a minimum, with the following:**                        |
|                                                                       |
| **1. [DIRECT MATERIAL]{.underline}.**                                 |
|                                                                       |
| > **A. Purchased Parts: Provide a consolidated priced summary of      |
| > individual material quantities included in the various tasks,       |
| > orders, or contract line items being proposed and the basis for     |
| > pricing (vendor quotes, invoices prices, etc.). Give details on an  |
| > attached schedule.**                                                |
| >                                                                     |
| > **B. Subcontracted Items: Show the total cost of subcontract effort |
| > and provide a separate SF 1411 and supporting DOT F 4220.44 for     |
| > each subcontractor or written quotations from the prospective       |
| > subcontractor in accordance with FAR 15.806‑2.**                    |
| >                                                                     |
| > **C. Other.**                                                       |
| >                                                                     |
| > **(1) Raw Material: Consists of material in a form or state that    |
| > requires further processing. Provide priced quantities of items     |
| > required for the proposal. Show total cost and give details on an   |
| > attached schedule.**                                                |
| >                                                                     |
| > **(2) Standard Commercial Items: Consists of items that the offeror |
| > normally fabricates, in whole or in part, and that are generally    |
| > stocked in inventory. Provide an appropriate explanation of the     |
| > basis for pricing. If price is based on cost, provide a cost        |
| > breakdown; if priced at other than cost, provide justification for  |
| > exemption from submission of cost or pricing data, as required by   |
| > FAR 15.804‑3(e). Show total cost and give details on an attached    |
| > schedule.**                                                         |
|                                                                       |
| **2. [MATERIAL OVERHEAD]{.underline}. Show cost here only if your     |
| accounting system provides for such cost segregation and only if this |
| cost is not computed as part of labor overhead (item 4) or General    |
| and Administrative (G&A) (item 6).**                                  |
|                                                                       |
| **3. [DIRECT LABOR]{.underline}. Show the hourly rate and the total   |
| hours for each individual (if known) and discipline of direct labor   |
| proposed. Indicate whether actual rates or escalated rates are used.  |
| If escalation is included, state the degree (percent) and rationale   |
| used.**                                                               |
|                                                                       |
| **4. [LABOR OVERHEAD]{.underline}. See paragraph (a) above.**         |
|                                                                       |
| **5. [OTHER DIRECT COSTS]{.underline}.**                              |
|                                                                       |
| > **A. Special Tooling/Equipment. Identify and support specific       |
| > equipment and unit prices. Use a separate schedule if necessary.**  |
|                                                                       |
| B. Travel. Identify and support each trip proposed and the persons    |
| (or disciplines) designated to make each trip. Identify and support   |
| transportation and per diem rates.                                    |
|                                                                       |
| > **C. Individual Consultant Services. Identify and support the       |
| > proposed contemplated consultants. State the amount of service      |
| > estimated to be required and the consultant\'s quoted daily or      |
| > hourly rate.**                                                      |
| >                                                                     |
| > **D. Other Costs. List all other direct charge costs not otherwise  |
| > included in the categories described above (e.g., services of       |
| > specialized trades, computer services, preservation, packaging and  |
| > packing, leasing of equipment) and provide bases for pricing.**     |
|                                                                       |
| **6. [GENERAL AND ADMINISTRATIVE EXPENSE]{.underline}. See paragraph  |
| (a) above and base approved by a Government audit agency for use in   |
| proposals.**                                                          |
|                                                                       |
| **7. [ROYALTIES]{.underline}. If more than \$250, provide the         |
| following information on a separate page for each separate royalty or |
| license fee; name and address of licensor; date of license agreement; |
| patent numbers, patent application serial numbers, or other basis on  |
| which the royalty is payable; brief description (including any part   |
| of model numbers of each contract item or component on which the      |
| royalty is payable); percentage or dollar rate of royalty per unit;   |
| unit price of contract item; number of units; and total dollar amount |
| of royalties. In addition, if specifically requested by the           |
| Contracting Officer, provide a copy of the current license agreement  |
| and identification of applicable claims of specific patents. (See FAR |
| 27.204 and 31.205‑37)**                                               |
|                                                                       |
| **8. [SUBTOTAL ESTIMATED COST]{.underline}. Enter the total of all    |
| direct and indirect costs excluding Contract Facilities Capital and   |
| Cost of Money and Fee or Profit.**                                    |
|                                                                       |
| **9. [CONTRACT FACILITIES CAPITAL AND COST OF MONEY]{.underline}.     |
| Show total cost on line 9 and attach supporting calculations on the   |
| CASB‑CMF forms. (See FAR 31.205‑10).**                                |
|                                                                       |
| **10. [SUBTOTAL ESTIMATED COST]{.underline}. Enter the total of all   |
| proposed costs excluding Fee or Profit and insert this amount in      |
| Section 6.A. of SF 1411.**                                            |
|                                                                       |
| **11. [FEE OR PROFIT]{.underline}. Enter this proposed Fee or Profit  |
| and insert this amount in Section 6.B. of SF 1411.**                  |
|                                                                       |
| **12. [TOTAL ESTIMATED COST AND FEE OR PROFIT]{.underline}. Enter the |
| total estimated cost including Fee or Profit.**                       |
|                                                                       |
| **(c) Under the column entitled, \"Reference,\" identify the          |
| attachment where information supporting the specific cost element may |
| be found.**                                                           |
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