02c. Statement of Work SMI.docx

FTA Office of Transit Safety and Oversight Safety Management Inspection (SMI) Statement of Work Statement of Work (SOW)

1.0 Background

The safety of the nation’s public transportation systems is the Federal Transit Administration’s (FTA) top priority. The Bipartisan Infrastructure Law (Infrastructure Investment and Jobs Act of 2021), authority found in 49 U.S.C. § 5329, grants the FTA the authority to establish and enforce a regulatory framework for public transportation safety and authorizes an enhanced State Safety Oversight (SSO) program, including the 5329 Federal grant programs. In implementing the Bipartisan Infrastructure Law (BIL), the FTA continues to develop and require stronger and more effective public transportation safety programs overseen by qualified and adequately resourced State agencies. The FTA is also expanding its direct oversight of the public transportation industry, including the nation’s largest rail transit systems.

When the FTA has concerns with ongoing safety issues at a State Safety Oversight Agency (SSOA) or Rail Transit Agency (RTA), the seriousness of the events may require that FTA utilize its inspection and enforcement authorities through a Safety Management Inspection (SMI), Special Directives (SD), or Immediate Action Letters (IAL). These enforcement tools provide a method of documenting serious concerns in safety and providing findings that may require corrective actions along with ongoing monitoring. Through the SMI, the FTA will obtain critical data needed to establish safety risks and provide a roadmap to building a robust safety culture at the SSOA or RTA. The SMI will encompass a review of transit operations and maintenance program, including rail and/or bus operations. The SMI will also assess the effectiveness and role played by the SSOA designed to oversee the safety of rail operations at the RTA. The results of the safety inspection will inform the subsequent safety oversight measures to be taken by the FTA.

· After the SMI is conducted, the FTA will continue the oversight and management of the SMI results through the use of Special Directives and/or Immediate Action Letters or other enforcement tools to ensure lasting changes.

2.0 Scope

The contractor will provide senior level transit technical support to the FTA as it assesses the SSOA and RTA during the Safety Enforcement Actions and follow-on support during the corrective phase of the enforcement action. This follow-on support includes providing oversight of the activities that the SSOA and RTA are currently engaged in, and those activities that they will undertake to address the findings of a future SMI Final Report, Special Directives, Immediate Action Letters, or other enforcement tools used by the FTA. Further, FTA requires support to oversee any new deficiencies identified during continued engagement of the SSOA and RTA. This systemic oversight of both SSOA and RTA will require the contractor to oversee identified deficiencies that focus on:

· Immediate Safety Deficiencies

· Safety Culture

· Management’s commitment and accountability to safety

· Safety management policy, risk management, assurance, promotion, and employee hazard reporting system(s)

· Policies, procedures, program plans, operating practices, operational rules, and the safety rules of transportation/operations, vehicle maintenance, track, signal, facilities, and power departments

· Transit Operations and Maintenance of both Bus and Rail

· Inadequate Staffing

Activities for continued oversight include coordination and development of meeting materials, tracking, assessment and verification of CAPs, the development of inspection and verification plans and material, on-site inspection and verification activities, processes, and policy development, coordinating approvals and resubmissions, and ongoing technical review of both Bus and Rail submittals.

3.0 Description of Services

TASK 1 - CONTRACT LINE-ITEM NUMBER (CLIN) 0001 – Safety Management Inspections

FTA’s Safety Management Inspection (SMI) focuses on the SSOA’s and RTA’s safety processes, procedures, and resources for safety decision-making and the role of the SSOA in overseeing safety performance of the RTA. The SMI identifies findings in areas that require continued attention and increased resources by the RTA to prioritize safety and ensure system maintenance.

FTA’s Public Transportation Safety Program regulation (49 Code of Federal Regulation (CFR) Part 670) specifies key FTA authorities in overseeing and supporting transit safety:

· Inspections, audits, examinations, and testing

· Requiring corrective action plans, increased oversight or reporting, and restrictions and prohibitions to address safety concerns.

· Directing the use of, or the withholding of, Federal funds

· General Directives

· Special Directives

· Safety Advisories

· Immediate Action Letter

Kick-Off Meetings and Work Plans

For each SMI, the contractor will meet with FTA virtually to develop a work plan that identifies the schedule for milestones and deliverables under this work plan.

· The contractor will draft and submit to FTA, its work plan to conduct this work. The work plan will identify a schedule for each project deliverable.

· The contractor will present the work plan to the FTA Program Manager during a virtual or in person meeting.

· The contractor is responsible for taking notes during the meeting and must incorporate any changes required by the program manager into a revised work plan.

· The contractor will deliver the final work plan to the FTA.

Development of On-Site SMI Inspection Plan and Activities

The contractor in conjunction with Federal staff, will develop the on-Site SMI Inspection plan and activities. To assist with development of the plan and approach to the activities, the contractor shall use all means at their disposal, including FTA data-systems, to collect and review any necessary information prior to the beginning of the inspection.

· The SMI Inspection Plan shall be specific to the SSOA and the RTA, and include any other oversight required resulting in a further engagement with the SSOA and the RTA.

· The SMI Inspection Plan shall identify tasks to be performed by each team, the structure of each team and a timetable to conduct and complete each task.

· The contractor shall prepare, or direct the preparation of, data analysis tools, templates and other materials that will be needed for the oversight, including but not limited to oversight activities including document review, the development of inspection and verification documents and plans, and on-site inspections of the SSOA and RTA action items, audit findings and other deliverables and process changes.

· The contractor shall update and maintain the data analysis tools and tracking mechanisms for all results, interviews and inspections while conducting the inspection.

· The team will prepare and send any necessary coordination letters and documents to the SSOA and RTA per the processes and requirements set by the FTA as required for the SMI.

· The team will prepare materials for any interviews/meetings with the SSOA and RTA and as required for coordinated oversight. Interviews and meetings may be conducted in person or virtually.

Development of Safety Management Inspection Draft and Final Report

The contractor in conjunction with Federal staff, will develop a Draft and Final report at the conclusion of the Safety Management Inspection. To assist with development of the plan and approach to the activities, the contractor shall use all means at their disposal, including FTA data-systems, to collect and review any necessary information prior to the beginning of the inspection.

· The Final report will include multiple sections, including background and executive summary of the final report. The Final report will include the results of the SMI, by category and include findings, recommendations, and required actions to address the identified safety conditions.

· The Final report is intended to be issued with several Special Directives and/or Immediate Action Letters (IAL). The contractor will prepare, in coordination with Federal Staff, any necessary Special Directives or Immediate Action Letters required to address safety issues identified during the SMI. Further, if interim Special Directives are necessary prior to the release of the final report, the contractor will work with Federal Staff to draft and release these documents.

· The contractor will prepare and send any necessary coordination letters and documents related to the SSOA and RTA to the SMI Team Lead per the processes and requirements set by the FTA as required for the SMI.

· The contractor will prepare materials for any meetings with the SSOA and RTA as required for coordinated oversight.

· The contractor shall prepare reports as requested by FTA. These reports shall be used to develop briefings, talking points and other materials for FTA leadership.

TASK 2 - CLIN 0002 - Development of the Oversight Plan for Corrective Action Plans and Action Items

The contractor in conjunction with Federal staff, will develop the Oversight Plan for Corrective Action Plans and Action Item Plans. To assist with development of the plan and approach to the activities, the contractor shall use all means at their disposal, including FTA data-systems, and collect and review any necessary information.

· The Oversight Plan shall be specific to the SMI its Special Directives and/or Immediate Action Letter, and any other oversight required of further engagement with the SSOA and RTA.

· The Oversight Plan shall identify tasks to be performed by each team, the structure of each team and a timetable to conduct and complete each task.

· The contractor shall prepare, or direct the preparation of, data analysis tools, templates and other materials that will be needed for the oversight, including but not limited to oversight activities including document review, the development of inspection and verification documents and plans, and on-site inspections of the SSOA and RTA action items, audit findings and other deliverables and process changes.

· The contractor shall update and maintain the data analysis tools and tracking mechanisms for all CAPs, action items, documents, and other materials necessary for the oversight of the SSOA and RTA.

· The contractor shall maintain consistency of any data analysis tools and tracking mechanisms during transitions to future tracking tools and mechanism to ensure all data is updated into the new tools.

· The contractor will prepare and send any necessary coordination letters and documents related to the SSOA and RTA to the SMI Team Lead per the processes and requirements set by FTA as required for the SMI.

· The contractor will prepare materials for any meetings with the SSOA and RTA as required for coordinated oversight.

· The contractor shall prepare reports as requested by FTA. These reports shall be used to develop briefings, talking points and other materials for FTA leadership.

TASK 3 - CLIN 0003 - Document Review and Conduct On-Site Inspection and Verifications

The contractor shall conduct document reviews and on-site inspection and verification of SSOA and RTA based on FTA safety concerns that may indicate a lack of safety oversight. FTA may issue a Special Directive (SD) in accordance with 49 U.S.C. § 5329, 49 CFR § 670.27, and the authority delegated to the FTA Administrator by the Secretary of Transportation, 49 CFR § 1.91, that directs an SSOA and/or RTA to complete specific actions to address safety concerns or allegations identified by FTA.

Document Review

· Conduct document review of each submittal from the SSOA and RTA and provide assessment of those documents.

· Provide recommendations to the FTA on the effectiveness and thoroughness of the requested documentation from the SSOA and/or RTA, identify any deficiencies, and provide any proposed corrective actions to improve the safety program of the SSOA and/or RTA.

On-site Inspections and Verification

· Conduct comprehensive on-site inspection and verification to identify any potential gaps in safety management practices or deficiencies noted with SSOA and/or RTA practices or procedures.

· Provide a recommendation to the FTA on the implementation and effectiveness of the SSOA and RTA activities that are being inspected and verified by assessing the root cause and safety deficiencies.

Additional Requirements for Review, Inspection and Verification

During the review, and on-site inspection and verification, the contractor shall document, submit, and file within two weeks of its review:

· Records and documents reviewed.

· Management and employees interviewed.

· Any notable findings identified that day.

· Documentation of the reviewed submissions, and recommendation of approval or required resubmittal.

· Documentation of the inspection or verification that occurred, and recommendation or further verification required.

As part of the document review and on-site inspection and verification, the contractor shall prepare reports as requested by FTA. These reports shall be used to develop briefings, talking points and other materials for FTA leadership.

TASK 4 - CLIN 0004 Special Directive(s) (SD)

FTA has several enforcement tools available to assist in oversight of the SSOA and/or RTA. If an SSOA and/or RTA has demonstrated unsafe practices through the analysis of data, recent safety event(s), or FTA safety concerns that may indicate a lack of safety oversight. FTA may issue a Special Directive (SD) in accordance with 49 U.S.C. § 5329, 49 CFR § 670.27, and the authority delegated to the FTA Administrator by the Secretary of Transportation, 49 CFR § 1.91, that directs an SSOA and/or RTA to complete specific actions to address safety concerns or allegations identified by FTA. The SD shall include the Directive and Required actions associated with findings.

· Kick Off Meeting and Work Plan

· Develop the Special Directive including findings and their corresponding required actions.

· Manage the list of required actions and any corrective action plans developed by the SSOA and/ or RTA associated findings.

· Corrective Action plan documentation review on-site inspection and verification

· Closure of the SD

Kick-Off Meeting and Work Plan

The contractor will meet with FTA virtually to develop a work plan that identifies the schedule for milestones and deliverables under this work plan.

· The contractor will draft and submit to FTA it’s work plan to conduct this work. The work plan will identify a schedule for each project deliverable.

· The contractor will present the work plan to the FTA SD Lead Manager during a virtual meeting.

· The contractor is responsible for taking notes during the meeting and must incorporate any changes required by the FTA SD Manager into a revised work plan.

· The contractor will deliver the final work plan to the FTA.

Development of the Special Directive

· The contractor in conjunction with Federal staff, will use FTA data-systems, to collect and review any necessary information to develop a Draft Special Directives (SD). If required, the contractor should support the FTA to conduct on-site visit to the SSOA and/or RTA.

· The contractor will work with Federal Staff to draft the Special Directive, prepare materials, and coordinate meetings with the SSOA and/or the RTA to issue the SD. The SD will include Findings and Required Actions to address the identified safety conditions.

Management of the Special Directive The contractor shall develop an SD Oversight Plan specific to the Special Directive to the SSOA and/or RTA.

· The contractor oversight activities include but are not limited to document review, the development of inspection and verification documents and plans, and on-site inspections of the SSOA and/or RTA action items and other SD deliverables and process changes.

· The contractor shall update and maintain data tools, and/or tracking mechanisms for all CAPs, action items, documents, and other materials necessary for the oversight of the SSOA and/or RTA.

· The contractor shall prepare any necessary coordination letters and documents related to the SSOA and/or RTA.

· The contractor shall prepare materials and support meetings with the SSOA and/or RTA. Meetings may be conducted in person or virtually.

Document Review and Conduct On-Site Inspection and Verifications

The contractor shall conduct document reviews and on-site inspection (as needed) and verification of SSOA and/or RTA. The review of documents and the inspection and verification activities shall meet the following requirements:

Document Review

· Conduct document review of each submittal from the SSOA and/or RTA and provide assessment of those documents per the requirements of the CAPs and action items.

· Provide a recommendation to the FTA on its effectiveness and thoroughness to address the deficiencies of the SD Findings, CAP or Action Items. These reviews will use the methodology and tools developed under this task order.

On-site Inspections and Verification

· Conduct comprehensive on-site inspection and verification for each SD action item if necessary and identify any potential gaps in safety management practices or deficiencies noted with RTA practices or procedures.

· Perform inspections of transit agency facilities and infrastructure such as track and power systems when needed.

· Provide a recommendation to the FTA on the implementation and effectiveness of the RTA activities that are being inspected and verified assessing if the root cause and safety deficiency will be corrected for the Finding, CAP or Action Item. These reviews will use the methodology and tools developed under this task order.

Closure of a Special Directive

The contractor shall develop at the direction of the FTA SD Manager required documentation to support the closure of the SD.

As part of the SD, the contractor shall prepare reports as requested by FTA. These reports shall be used to develop briefings, talking points and other materials for FTA leadership.

TASK 5 - CLIN 0005: Programmatic and Technical Support

In implementing the Bipartisan Infrastructure Law (BIL), the FTA is expanding its direct oversight of the public transportation industry, including the nation’s largest rail transit systems. This continuous evaluation usually begins with regular phone calls with each RTA and SSOA program. Regular calls sometimes evolve into more complex inquiries and investigations. We occasionally require a contractor to support this process by providing context, data analysis, or other forms of subject matter expertise. TSO may occasionally undertake other finite projects that require contractor support.

TSO will require contractor support in the following task areas:

· Assist in development or improvement of procedural manuals and guidance documents,

· Assist in development of presentations and training,

· Assist in developing new policies, procedures, and practices,

· Give presentations and training,

· Attend training, workshops, and conferences,

· Provide context and analysis,

· SMI, SD and IAL related activities such as interviews and inspections

· Investigate accidents and incidents when needed.

This support may be directed toward the FTA, SSOAs, RTAs, or the public transit industry at large. Anticipated Level of Effort: When awarding task orders, the Government may award hours for specific projects and may also award hours under this CLIN for un-planned assistance to be used on an ‘as-needed’ basis within scope of the SOW. The Government’s needs in this CLIN will vary from year to year.

Interim Reports as Directed

The contractor shall complete interim reports that details the status of the SMI, Corrective Actions, technical reviews, and other activities accomplished during the SMI corrective phase. These reports shall be used to develop briefings, talking points and other materials for FTA leadership.

Closure of a SMI

· The contractor shall develop at the direction of the FTA SMI Team Lead required documentation to support the closure of the SMI.

Anticipated Level of Effort: The level of effort will be determined based on the anticipated projects implemented withing the period of performance. There is no guarantee that we will require any work at all under this CLIN for the entire POP of resulting contracts. Because of that uncertainty, the Government does not expect the contractor to maintain personnel on staff waiting to perform this work. If the Government were to require support for such an event, we would expect the contractor to acquire the necessary expertise using existing personnel, short-term hires, subcontractors, or other means. The contractor must include in their proposal a plan for making these personnel adjustments. All personnel adjustments must be in accordance with the qualifications and experience specified in the respective approved labor categories.

CLIN 0006: Travel and Per Diem

Travel is anticipated and listed as a reimbursable cost for performance of this requirement. The Contractor shall be responsible for monitoring their budgeted versus actual, planned travel expenses and alerting the FTA Contracting Office Representative (COR) immediately if planned and actual expenses might exceed the budget. The Contractor will travel as needed to review documentation and conduct on-site inspections and verifications when this work cannot be done virtually. The amount for this task order is and shall not exceed total approved travel costs billed and paid to the contractor. Payment will be based on actual travel receipts presented in the Contractor’s monthly invoice and only when those travel receipts are consistent with the scope and timing concerning the performance of this requirement. The Contractor shall also include this information in the Contractor’s weekly progress reports.

All travel requirements (including plans, agenda, itinerary, or dates) must be pre-approved by the Government (subject to local policy procedures) and is on a strictly cost reimbursable basis and must be conducted in conformance with the Joint Travel Regulations (JTR). *Note: If the contractor is located within the local traveling distance for the event, which is normally within a 50-mile radius, the contractor cannot invoice and will not be reimbursed for travel expenses concerning this requirement.

The Contractor shall: (1) utilize per diem rates and (2) make every effort to secure lodging at the Federal Government rate. A travel authorization form will be provided by the Government. The Contractor shall secure written permission from the COR prior to incurring lodging costs at a rate more than the Federal Government rate. Failure to do so may result in such lodging costs not being reimbursed. For air travel and car rental, economy is the only approved class of travel. The Government will not pay for business class or first-class travel.

CLIN 0007: Other Direct Costs (ODCs) Not-to-exceed (NTE)

Occasionally, the contractor may incur other direct costs not associated with travel. This may include printing or shipping materials or paying a conference entrance fee if considered authorized, allowable, and reasonable. These costs will be reimbursed directly according to the FAR and must be within scope of the base contract and issued/awarded task orders. All ODCs must be pre-approved by the Contracting Officer Representative (COR) and documented as such prior to incurring costs and seeking payment for them.

4.0 Deliverables and Schedule

The contractor shall provide the following deliverables:

Delivered in Word and .pdf format Ongoing – delivered to FTA NLT the 5th day after request

Management of the Special Directive Delivered in Word and .pdf format at direction of FTA

Ongoing

TASK 5 – CLIN 0005 Programmatic and Technical Support

5.0 Government Furnished Property/Information

The government will provide DOT laptops to contractors to be used for official business related to this statement of work.

6.0 Period of Performance

The period of performance (POP) includes one (1) base period from the date of the award and four (4) twelve-month option periods. Exercise of the option periods is solely based on the contractor's performance and the Contracting Officer’s discretion.

7.0 Place of Performance

The contractor must provide all resources necessary for the support of this requirement. The primary work site for this effort is at the Government location.

8.0 Personnel

Program Manager – Responsible for managing and overseeing work performance of multiple projects and serves as principal liaison to the Government on business and technical matters for program and project implementation. Directs, prepares, and oversees program development proposals; develops, plans, organizes, coordinates, and allocates staffing resources to contracted task plans and sub-task plans; and selects, directs, supervises, trains, monitors and evaluates program personnel.

Job Qualifications:

Education – Minimum Bachelor’s in any field. Preferred relevant fields include transportation, government, engineering, business, law. Additional education is advantageous.

Relevant experience – at least 20 years. Additional experience is advantageous.

Management and leadership experience – at least 10 years. Additional is advantageous.

Experience in safety risk management in a rail environment and familiarity with SSO program requirements, including 49 USC 5329 and 49 CFR Part 674 are advantageous.

Senior Investigator – Generally regarded as an expert in their industry or field. Can lead audit, investigation, inspection, and review teams. Provides technical, managerial, and administrative direction for problem-definition, analysis, requirements-development, and implementation for complex to extremely complex systems in the subject matter area. Makes recommendations and advises on organization-wide improvements or optimization. The Senior Investigator is knowledgeable of the various stakeholders within the transit safety management community, and their complex interrelationships.

Job Qualifications:

Education – Minimum Bachelor’s in any field. Preferred relevant fields include transportation, government, engineering, business. Post-graduate degree is advantageous.

Training and certifications – Completion of Transportation Safety Institute (TSI) Transit Safety and Security Audit Course within the past 5 years is preferred. Other audit or investigative training and certifications are advantageous based on the relevance and quality of the content.

Relevant experience – at least 20 years. Additional experience is advantageous.

Management or leadership experience – at least 10 years. Additional is advantageous.

Minimum of 5 years’ experience in the field of safety and risk management in a rail environment. Must have experience with SSO program requirements including 49 USC 5329 and 49 CFR Part 674.

Investigator – Serves on audit, investigation, inspection, and review teams. May lead teams in some cases. Utilizes extensive, relevant, industry knowledge to support management of project tasks and deliverables. Provides technical oversight as needed.

Job Qualifications:

Education – Minimum Bachelor’s in any field. Preferred relevant fields include transportation, government, engineering, business. Master’s degree is advantageous.

Training and certifications – Completion of Transportation Safety Institute (TSI) Transit Safety and Security Audit Course within the past 5 years is preferred. Other audit or investigative training and certifications are advantageous based on the relevance and quality of the content.

Relevant experience – at least 10 years. Additional experience is advantageous.

Management and leadership experience are advantageous.

Minimum of 3 years’ experience in the field of safety and risk management in a rail environment. Must have experience with SSO program requirements including 49 USC 5329 and 49 CFR Part 674.

The contractor must provide signed letters of commitment for all individuals who will serve as KEY personnel on a resultant contract or task order from the solicitation when posted. The contractor shall not divert or otherwise replace any key personnel without the written consent of the Contracting Officer (CO) within 90 days after contract award.

Non-Key Personnel must meet the following requirements:

Analyst – Conducts interviews and research, provides data and document analysis, creates documents, reports, and presentations.

Job Qualifications:

Education – Associate’s degree minimum. Bachelor’s preferred.

Relevant experience – at least 5 years. Additional experience is advantageous. Must have experience in safety risk management in a rail environment and familiarity with SSO program requirements, including 49 USC 5329 and 49 CFR Part 674.

Additional Requirements for all key and non-key personnel

Personnel conducting audits and inspections must possess the necessary certifications and qualifications for that activity.

All personnel who will work on this contract must meet the requirements of FTA’s Safety and Certification Training Rule, (49 § CFR Part 672).

9.0 Procurement Office Administration Data

Senior/Lead Contracting Officer (CO) Stephanie Cooke-Nwadibia U.S. Department of Transportation Federal Transit Administration (FTA) Headquarters Office of Acquisition Management (TAD-40) Operations Division (TAD-42) 1200 New Jersey Avenue, SE (E41-313) Washington, D.C. 20590 Phone number: 202-366-7072 Email address: stephanie.cooke-nwadibia@dot.gov

Contract Specialist (CS) Crystal Elliott U.S. Department of Transportation FTA Headquarters - Off-Site Office of Acquisition Management (TAD-40) Operations Division (TAD-42) Washington, D.C. 20590 Phone number: 202-366-3434 Email address: crystal.elliott@dot.gov

Contracting Officer’s Representative (COR)

TBD

(END OF SOW)