SOW_DACH_Help_Desk_DRAFT.pdf

FEDERAL MOTOR CARRIER SAFETY

ADMINISTRATION (FMCSA)

COMMERCIAL DRIVER LICENSE DRUG AND

ALCOHOL CLEARINGHOUSE HELP DESK

PERFORMANCE WORK STATEMENT

Department of Transportation Federal Motor Carrier Safety Administration

Office of Enforcement and Compliance 1200 New Jersey Avenue, SE

Washington, D.C. 20590

Procurement Sensitive See FAR 3.104

Table of Contents

1.0 Background

2.0 Scope

3.0 Program Requirements

4.0 Facilities and Personnel

5.0 Schedule of Deliverables

6.0 Contractor Performance Report

7.0 Contractor Quality Control Plan (CQCP)

8.0 Security/Privacy Requirements

9.0 Invoice Instructions

10.0 Attachment A – Contractor Quality Control Plan

1.0 Background

Section 32402 of the Moving Ahead for Progress in the 21st Century Act mandated that the Federal Motor Carrier Safety Administration (FMCSA) establish, operate, and maintain a national clearinghouse for records relating to drug and alcohol testing of commercial motor vehicle (CMV) operators. The purpose of the clearinghouse is to improve compliance and to enhance safety on roadways by reducing accidents and injuries involving the misuse of drugs and alcohol by CMV operators.

On December 5, 2016, FMCSA published a final rule to establish requirements for the Commercial Driver’s License Drug and Alcohol Clearinghouse (Clearinghouse). The Clearinghouse will contain information about CMV operators who are noncompliant with FMCSA’s drug and alcohol program by committing drug and alcohol violations that render them ineligible to operate a CMV.

The final rule requires:

• Employers and medical review officers (MROs) to report information about positive drug and alcohol tests, refusals, and other non-test violations of FMCSA’s drug and alcohol regulations.

• Substance abuse professionals (SAPs), and employers or consortia/third party administrators (C/TPAs), to report information about drivers in the return-to-duty process.

• Employers or C/TPAs to query the database during pre-employment and at least once a year for current and prospective employees before permitting those employees to perform safety-sensitive functions (e.g., operate CMVs on public roads).

• State Driver Licensing Agencies (SDLAs) to query the Clearinghouse to determine whether commercial driver’s license (CDL) or commercial learner’s permit (CLP) holders have any unresolved drug or alcohol violations which would render them ineligible to operate a CMV.

The Clearinghouse will provide FMCSA, State Partners, and employers the necessary tool to identify drivers who are prohibited from operating a CMV and to ensure those drivers receive the required evaluation and treatment before performing safety-sensitive functions.

2.0 Scope

In support of FMCSA, the Contractor will provide a contact center for customer service support, via phone and email, in response to requests for technical assistance with the Clearinghouse.

The Contractor shall be responsible for the operation and day-to-day management of the contact center to include the facility, telephones and all equipment required for the normal operation of the center.

The contact center shall be located at the Contractor’s normal place of business and operational seven days a week, Sunday through Saturday, 24 hours each day, excluding Thanksgiving, Christmas and New Year’s Day. In addition, during operating hours, at a minimum one Spanish-speaking customer service representative must be available to assist Spanish-speaking users of the Clearinghouse.

Customer service representative (CSRs) must be proficient in oral and written communication;

possess effective listening skills; possess problem-solving abilities; and be proficient in the operation of personal computers, data entry, telephone and other communication devices. The Spanish-speaking CSRs must also be proficient in both English and Spanish oral and written communication. All CSRs must demonstrate the ability to learn and support new systems and applications as well an understanding of Clearinghouse policies and procedures.

Technical assistance provided to users of the Clearinghouse include, but is not limited to the following:

• System outage

• Error message received

• How to correct incorrect information

• How to request and provide consent

• How to view a driver record

• How to view driver violation information

• How to report violation information

• How to select designated personnel (SAPs, C/TPAs, Assistants, etc.)

• How to submit a petition or administrative review

• How to run reports

3.0 Program Requirements

The Contractor shall provide all services identified in this performance work statement (PWS).

The Contractor shall also ensure that services delivered employ technology and other resources that is effective and scalable to meet the evolving needs of the FMCSA and adhere to business processes that conform to industry best practices.

3.1 Place of Performance

All services will be provided at the Contractor’s normal place of business. The Contractor and its entire contact center operations shall be located within the Continental United States of America.

The Contractor will provide adequate and accessible office space for supporting the operation of this contract. The office space will include but not be limited to:

a dedicated workspace for the CSRs, and an appropriate phone system that supports the anticipated call volume and adequate oversight of call staff.

3.2 Period of Performance

The period of performance will be from the date of award for 12 months, plus four option years.

3.3 Performance Requirements

Task 1: Administration, Program Management, Transition in Activities

Contract Administration:

Within ten (10) calendar days of contract award, the Contractor shall schedule and coordinate a contract kick off meeting. The meeting will provide an introduction between FMCSA and contractor personnel who will be involved with the management and administration of the contract. Topics for discussion will include, at a minimum, the services to be provided, staffing, deliverables, performance metrics, and reporting procedures.

The contractor will be responsible for the overall administration of the contract.

General contract administrative responsibilities include:

• Coordination of meetings between FMCSA and the Contractor

• Management of communication between FMCSA and the Contractor

• Completion and submission of required deliverables

• Submission of invoices

Program Management:

The Contractor will be responsible for the overall management of the contact center to include personnel, technology resources, and facilities.

The Contractor will be solely responsible for maintaining a qualified labor force and ensuring satisfactory work performance of all employees. Duties will include:

• Hiring and retaining skilled CSRs, including the submission of contractor background check documentation for each of the Contractor’s employees accessing FMCSA IT systems

• Measuring CSRs performance

• Providing ongoing training to CSRs, including annual IT security certification training

The contractor will provide a Contractor Quality Control Plan to ensure the service level objectives are maintained.

The Contractor will develop a disaster and contingency plan, in case of a situation in which the call center is unable to receive and respond to inquiries regarding the Clearinghouse. The plan will:

• Identify manual work procedures

• Identify Key personnel

• Identify an alternate location/and or technology system

Transition:

The Contractor shall submit a contract transition plan within 60 days of contract award, which includes the phase-out activities necessary to transition the contract to another vendor at the end of the overall contract period of performance, if applicable. The Contractor shall ensure it provides a seamless transition from the incumbent to a future follow-on awardee.

Within 30 days of receipt of the contract transition plan, FMCSA will provide comments to the Contractor. The Contractor shall submit a final contract transition plan that incorporates FMCSA’s comments and requested revisions within 10 business days of receipt of FMCSA’s comments.

The contract transition plan shall describe a comprehensive transition approach to successfully performing all the requirements in this PWS. The Contractor shall include their timeline and approach to transferring data and system information and access whereby the new awardee can be fully operational at the conclusion of the phase-out.

The Transition Plan shall include an approach for an innovative and proactive methodology to manage, at a minimum, the following transition activities with

FMCSA:

• Access to historical data, FAQs, documentation, processes, training, tools

• Transfer of custody of assets (GFE/GFI)

The Contractor shall identify the major transition phases, increments, activities, and timing for completion within the allotted timeframe. In addition, the Contractor shall document transition activities, roles and responsibilities, and timelines that are required for a successful transition.

The Contractor shall include, within the contract transition plan, its approach to "ramping-down" resources required to staff a fully functioning team throughout the transition process. The Contractor shall also document expectations and the methodology to transfer people, if applicable, and skill sets from the incumbent Contractor. Additionally, the Contractor shall include the methodologies and schedules that depict the training of the new firm’s resources to properly access and manage all tasks within this PWS.

The Contractor shall include, within the contract transition plan, its approach to transferring knowledge from the incumbent Contractor and FMCSA. The Contractor's approach shall include, at a minimum, the list of required skill sets that the Contractor must acquire, the timeline and tasks to transfer the incumbent knowledge, and list all knowledge transfer work (e.g. shadowing, interviews) that the Contractor wishes to undertake during the overlap period of the incumbent Contractors and the new awardee prior to the end of the transition period.

The Contractor shall conduct weekly transition meetings during the first sixty (60) days after award of a new contract. Following the first sixty days after contract award, transition meetings may be held potentially less frequently at the discretion of FMCSA, but no less than bi-weekly. The Contractor shall utilize these meetings to communicate status, risks, and issues with transition to FMCSA.

At the conclusion of any performance period, including option periods or extensions, the services provided under this PWS may be awarded to another Contractor. The Contractor in place shall be required to assist in the transition-out activities.

Task 2: Help Desk Support (Contractor Owned Facility)

The purpose of the contact center is to provide support in response to inquiries and issues related to the Clearinghouse.

Trained customer service representatives capable of answering calls and/or electronic communications requires that during all business hours at least one of the dedicated CSRs be English/Spanish bilingual. The Contractor will also ensure phone coverage for 24/7 each day, except Thanksgiving, Christmas, and New Year’s Day, to ensure appropriate coverage. Hours will be determined by FMCSA and are subject to change.

The Contractor will assume responsibility from FMCSA for the phone line associated with this service.

Training:

Under this contract, CSRs will respond to all requests for assistance and provide technical assistance or problem resolution through the utilization of software, databases, scripts, and tools. The CSRs will have sufficient knowledge and training to provide high level customer support and problem resolution. The CSR will be able to provide information to customers including, but not limited to, the following:

• Familiarity of FMCSA Systems

• How to register for a Clearinghouse account

• How to report violations

• How to request consent

• How to query drivers

• How to report return-to-duty information

• How to select consortia/third-party administrators, medical review officers, and substance abuse professional

• How to designate assistants

• How to provide consent

• How to view a user’s dashboards

• How to submit a petition or administrative review

• How to submit a complaint

• How to run and print reports

The CSRs will enter all inquiry information into the Contractor’s tracking system to ensure proper performance management.

The Contractor will:

• Maintain customer satisfaction ratings based on explicit criteria set forth by the Contractor

• Attend all meetings and/or training sessions scheduled by FMCSA for the

Contractor

• Use Contractor’s tracking system to record and report, monthly, call center operations including call center performance, and other data as requested.

Task 3: Reporting Requirements

The Contractor shall provide reports in a format capable of archiving to FMCSA’s SharePoint site.

The Contractor shall capture, record, and document all customer inquiries and responses made to those inquiries via telephone and/or email. This includes but is not limited to date and time of receipt, type of user for inquiry, nature of inquiry, and response date. Documentation shall also annotate whether the inquiries were resolved by the CSR or forwarded to FMCSA personnel for resolution.

For the initial 6-month period of the contact center, the Contractor will provide a bi-weekly report that is due 5 days after the end of the 2-week period, including but is not limited to the following:

• Contract expenditures

• Resources maintained

• Number of calls received

• Average wait time for response

• Number of and types of issues (frequently asked questions)

• Amount of time to resolve issue

• Method and quantity of response – phone/email

• Number of calls escalated to Contact Center Manager

• Average number of calls per agent

• Average length of calls per agent

• Customer satisfaction survey results

• Language spoken

Upon the end of the initial 6-month period, the Contractor shall provide a monthly report that is due no later than 10 days after the end of the month reported, including but is not limited to the information listed above.

The Contractor will provide an annual report aggregating all information reported throughout the previous year, due no later than 30 days after the end of the year reported.

Ad hoc reports may be requested on a periodic basis.

4.0 Facilities and Personnel

To facilitate the coverage of the contact center, the Contractor shall provide CSRs, shift supervisors, bi-lingual agents and contact center managers. The staffing values may change depending upon call forecasting; however, pricing will not be impacted.

Key Personnel

The Contact Center Manager (Manager) will be designated as Key Personnel. In this position, the Manager will be responsible for coordinating and managing the delivery of services. The Manager will oversee all aspects of call center operations and strategy by conducting needs assessments; defining and implementing customer-service standards. The Manager is responsible for planning, organizing, and managing the contact center, including:

• Overseeing and managing the contact center’s day-to-day operations

• Ensuring the contact centers technology systems are operational

• Maintaining the appropriate staffing levels to ensure adequate response and resolution of customers’ issues

• Ensuring staff receives initial and ongoing training

• Ensuring staff members are achieving desired service levels and takes corrective action, as needed

• The Manager will perform daily, weekly and long-term statistical analyses, act as liaison between FMCSA and the Contractor, and be capable of effectively maintaining the integrity of the contact center. Duties include: Preparing reports and analyzing contact center data to improve processes, ensure resources are properly allocated, and maximize efficiency and customer satisfaction

• Attend program meetings with FMCSA to review performance and determine if any operational changes are required

• Manage call center equipment, technology, and physical work space by conducting quality and safety assessments, monitoring equipment, and evaluating work space functionality.

• Maintain professional and technical knowledge by monitoring emerging trends in call center operations management.

In the event that FMCSA is dissatisfied with the Contractor’s Manager, the Contractor agrees to remove and replace the Manager within four (4) weeks of receipt of notification from FMCSA.

Facility and Systems Access

The Contractor’s facilities and system shall comply with all industry security and technology standards and shall be designed to provide physical and information access security with security monitoring and access restriction.

Technology Systems

The Contractor shall provide and maintain a robust and scalable, modern contact center system hardware, software, and accessories to meet the requirements associated with this scope. The Contractor shall ensure the systems are adequately sized and equipped to handle fluctuations in the volume of contacts received. In addition, the Contractor shall ensure the systems are configured such that they can be easily expanded or reduced to accommodate work volume.

Automated Call Distribution (ACD) System

The Contractor shall provide the required call processing technology and services to handle the workload based on the volume of inquiries related to the Clearinghouse. The Contractor must be able to scale up or down based on the volume to meet the service level objectives.

The Contractor must have a routing solution that has skill-based routing capabilities for all contact channels including, at a minimum, telephone, voice-mail, virtual hold, and email.

The system shall provide routing/distribution of incoming calls based on sequence of arrival/origination, inquiry type, CSR availability and skills, or other predefined routing instructions, as specified below. The system shall integrate with the Contractor’s Private Branch Exchange (PBX) that will, at a minimum:

• Be automatic number identification (ANI)-enabled and possess any additional software required to support such functionality

• Transfer calls within or outside of the contact center

• Distinguish incoming calls by the called number and route them to the appropriate response system and/or CSR

• The system shall integrate with a TTY/TTD. The system shall provide the following functionality/capability at a minimum:

o Monitor and visually display the work state and availability status of all CSRs on a real-time basis o Display call-handling statistics real-time o Provide electronic and hard copy reports on all trunks, CSR, and performance statistics o Provide incoming calls by Dialed Number Identification Service (DNIS) reporting o Originate and least-cost route outgoing and follow up calls o Transfer calls within the contact center or to transfer calls to other locations via attended or unattended transfers o Queue incoming calls with an estimated wait time and other recorded messages o Integrate with a Virtual Hold system to provide customers the ability to continue to hold or be called back in the queue order

The call processing and email routing and management system shall incorporate automated capabilities to perform periodic checks on the systems to verify operational status of the Contractor system and alert Contractor’s system maintenance personnel and/or FMCSA if there is a failure within 2 hours.

Telecommunications Services

The Contractor shall provide the necessary telecommunications services such as the required local exchange carrier and internet access services to meet task requirements. This includes dedicated transmission services between any facilities required.

The Contractor shall provide, at a minimum, the following features:

• Domestic and international toll-free services with nationwide single number coverage and call routing features (e.g., area code routing, time of day and day of week routing, percent allocation routing, area code routing, allocation routing, alternative routing)

• Call termination features (e.g., network call transfer, DNIS)

• ANI

• Interactive Voice Response (IVR)

• Outbound long-distance service

Government Furnished Property (GFP)/Government Furnished Equipment (GFE) Telephone Number Ownership

The FMCSA owns the toll-free telephone number(s) that will be assigned the Contractor during the period of performance of the contract. The Contractor shall expedite the transfer of all toll-free telephone number(s) owned by the FMCSA at the conclusion of the period of performance.

5.0 Schedule of Deliverables

The Contractor will designate a Manager as the sole responsible contact in preparing and providing all deliverables.

Task Deliverable Due Date Deliver To

Task 1 Kickoff Meeting Ten (10) calendar days after contract award COR/FMCSA

Task 1 Contractor Quality Control Plan

NLT 30 calendar days after contract award COR

Task 1 Background security check

5 days after date of award and prior to new contract employees' onboarding

COR/FMCSA

Security Office

Task 1 Invoices Monthly FAA (see Block 18 of the OFA 347)

Task 1 Transition Plan 60 days after contract award COR/CO

Task 2 Records of training 30 days after the date of completed training COR/CO

Task 3 Annual Report NLT 30 days after the end of the year reported COR

Task 3 Ad hoc Reports TBD – determined by the complexity of the request COR

6.0 Contractor Performance Report

The Contractor will be evaluated by the COR on an annual basis, prior to the execution of the next option year of the contract. The COR will use the following criteria to evaluate performance:

• Ability to meet acceptable response times per the QASP

• Timeliness of data and reporting requirements

• Timeliness and accuracy for the completion of deliverables

• Customer service satisfaction assessments

• Compliance with FMCSA policies and procedures, and applicable laws and regulations

7.0 Contractor Quality Control Plan (CQCP)

The Contractor shall provide the capability for performance monitoring. The Contractor shall be able to monitor the performance of the CSRs without plugging into the CSR telephone sets. The monitoring system shall allow for silent monitoring both with and without tone indication to the CSR during monitoring. The system shall have the following capabilities:

• Monitoring sessions that can be scheduled and recorded for later review by supervisory and quality assurance personnel

• Monitoring system that can record the voice and data portions of the transaction

• All calls recorded for quality monitoring purposes shall be retained for a 90-day period, at a minimum, and permit tracking of CSR actions in securing the response. The monitoring mechanism should permit calls recorded in sufficient quantity to allow for random selection of calls for review

The Contractor shall develop, implement, and manage a Quality Assurance/Quality Improvement Program to ensure that services delivered comply with the performance standards specified by the FMCSA. The program shall include on-site and remote service monitoring capabilities and performance analysis to support planning and operation of the contact center on an ongoing basis.

The Contractor shall provide the CQCP no later than 30 calendar days after contract award.

Within the CQCP, the Contractor shall describe their approach to ensuring the effectiveness of service delivery within the contact center and consistently meeting contact center requirements.

The Contractor’s CQCP shall include the following sections:

• Quality Assurance (QA) Roles and Responsibilities

• QA Activities

• QA Activity Assessment

• Action Plans

• How to Leverage QA Data (daily operations, training, etc.)

• QA Reports

The CQCP will also include how the Contractor’s action plans will be developed and submitted to FMCSA, as needed. The CQCP will detail how the Contractor will create an environment of continuous improvement to ensure FMSCA’s customers’ needs are met.

Customer Interaction Monitoring

Without the CSR’s knowledge, the Contractor shall, at a minimum silently monitor customer interactions across all contact channels to ensure that CSRs are performing in accordance with the performance standards defined by FMCSA as specified for all contact channels. Contractor shall devise methods for annotating:

• Session details

• Appropriateness of response and resolution

• Individual and operational performance issues

• Training needs

• Communicating feedback to ensure continual performance and process improvement

The Contractor shall develop a scorecard that assesses accuracy, completeness (i.e., addressing all relevant customer concerns, and soft skills) and a matrix that defines quality expectations.

The Contractor shall assess their performance objectively and report their findings along with identified opportunities for improvement to FMCSA.

Compliment and Complaint Management

The Contractor shall have compliment and complaint management process, such as a customer service survey, to capture customer service information regarding areas of service issues and customer need. The Contractor shall compile and analyze such data, identifying opportunities for improvement where appropriate, and reporting such information to FMCSA.

8.0 Security/Privacy Requirements

The Contractor shall be responsible for Information Technology security for their technology systems connected to a FMCSA network or operated by the Contractor for FMCSA, regardless of location. This clause is applicable to all or any part of the contract that includes information technology resources or services in which the Contractor has physical or electronic access to FMCSA information that supports the mission of FMCSA.

The term information technology, as used in this clause, means any equipment or interconnected system or subsystem of equipment, storage, manipulation, management, movement, control, display, switching, interchange, transmission, or reception of data or information. This includes both major and minor applications and general support systems as defined by OMB Circular A- 130.

The Contractor shall be responsible for ensuring that all systems are compliant with all Federal security standards. This responsibility extends to documenting compliance and gaining concurrence/approval per FISMA requirements. The Contractor shall also ensure that future compliance of their technology systems is maintained whenever new mandatory Federal security standards are mandated so as to maintain compliance.

Non-Disclosure Agreements

The Contractor shall cooperate in good faith in distributing non-disclosure agreements that other third parties must sign when acting as an FMCSA agent. In addition, the Contractor shall obtain executed non-disclosure agreements, provided by FMCSA, from all its employees and subcontractors and submit to FMCSA within 5 days of award or as new contract employees are hired.

Security of Systems Handling Personally Identifiable Information

Work to be performed under this contract may require the handling of sensitive personally identifiable information (PII). The Contractor shall provide FMCSA access to, and information regarding systems the Contractor operates on behalf of FMCSA under this contract, when requested by FMCSA, as part of its responsibility to ensure compliance with security requirements, and shall otherwise cooperate with FMCSA in assuring compliance with such requirements. FMCSA’s access shall include independent validation testing of controls, system penetration testing by FMCSA, Federal Information Security Management Act (FISMA) data reviews, and access by Agency Inspectors General for its reviews.

In performing its duties related to management, operation, and/or access of systems containing sensitive PII under this contract, the Contractor and its employees and subcontractors shall comply with applicable security requirements or any replacement publication and rules of conduct described in DOT Order 1351.37.

The Contractor shall limit access to the data covered by this clause to those employees and subcontractors who require the information in order to perform their official duties under this contract. The Contractor and its contract employees and subcontractors must physically secure sensitive PII when not in use and/or under the control of an authorized individual, and when in transit to prevent unauthorized access or loss. When sensitive PII is no longer needed or required to be retained under applicable FMCSA records retention policies, it must be destroyed through means that will make the Sensitive PII irretrievable.

The Contractor shall only use sensitive PII obtained under this contract for purposes of the contract, and shall not collect or use such information for any other purpose without the prior written approval of the Contract Officer. At expiration or termination of this contract, the Contractor shall turn over all sensitive PII obtained under the contract that is in its possession to

FMCSA.

Protection of Information/Privacy Act

The Contractor will ensure the following for all facilities utilized and personnel performing on this contract:

• IT security audit by outside vendor. This audit will be provided to FMCSA upon completion.

• Mandatory background checks according to DOT order 1630.2b

• Signed non-disclosure agreements provided by FMCSA within 5 business days of award or when a new contract employee is hired.

9.0 Invoice Instructions

The Contractor will invoice the expense amount per the contract at the end of each service month. This date will be exactly one month from the award date then each month after on the same date. For example, if the award is made on July 2, the invoice shall be submitted on August 2 then on the 2nd of every month thereafter.

The invoice will be submitted to:

Mike Monroney AERO Center U.S. DOT Federal Motor Carrier Safety Administration

MMAC. AME-150

P.O. Box 26230

Oklahoma City, OK 73125

The following will be included in every invoice:

• Order number

• Customer number

• Date and description of service

• Amount to be charged

• Terms

• Accounts receivable

• Contact person

• The electronic transfer fund information

10.0 Attachment A – Contractor Quality Control Plan

Quality Assurance Performance Objectives

Required Service

(Performance Requirements)

Standard (Performance

Standard)

Acceptable Quality

Level (AQL) (Performance

Metrics)

Method of Surveillance

(Quality Assurance)

Negative Incentives (Impact on Contractor Payments)

Compliance with

FMCSA's Policies and

Processes Contractor will maintain a staff adequate to handle a call volume of XX calls per month.

Contractor will maintain an average handle time of 5-10 minutes per call.

Through call monitoring and scoring Contractor will ensure that all CSRs will maintain an average customer service score of 90%.

Contractor will provide quality scores for each CSR on a monthly basis.

Contractor will make the scored recorded calls available for FMCSA’s review.

Contractor will provide FMCSA the ability to access recorded calls and perform quality assessments independently.

1% off monthly invoice for each performance level not achieved for the following:

~ Average customer service score less than 90%

~ Average handle time greater than 10 minutes per call (unless escalation documented)

~ Unable to maintain call volume of XX calls per month

Policies and processes, laws and regulations – 100%