Attachment J.3.2 TASK ORDER NO.2.docx

ATTACHMENT J.3.2

Performance Work Statement Verification of a Random Sample of Substance Abuse Professionals Registered in the Drug and Alcohol Clearinghouse

1.0 Overview: The Applied Research Division of Federal Motor Carrier Safety Administration (FMCSA) requires services related to the verification of substance abuse professionals (SAPs) registered in the Drug and Alcohol Clearinghouse (DACH).

In brief, this requirement includes the following general components:

1. Using a list of SAPs registered in DACH provided by FMCSA, verify the contact information provided by the SAP to DACH. For each SAP, this information includes, as applicable:

a. Telephone and alternate telephone numbers.

b. E-mail address.

c. Office address.

The verification of office address may be accomplished via any reasonable means and need not include an in-person visit.

2. Verify (e.g., the status of) each SAP’s credentials as required by 49 CFR 40.281(a).

3. Verify the SAP’s compliance with the requirements prescribed by 49 CFR 40.281(d) during the present or previous three-year period as described in the same paragraph.

4. Record results of items (1)-(3) above and summarize the findings in a) a research briefing and b) a final report.

5. Other tasks and reporting requirements as described in this PWS/SOW.

2.0 Background: Many FMCSA registration systems rely upon the registrant's self-certification of compliance with Federal requirements—e.g., the Registered Electronic Logging Device List, the Entry Level Driver Training Provider Registry, and the Drug and Alcohol Clearinghouse. FMCSA utilizes this approach, in part, due to the substantial costs to both the Agency and industry that would otherwise result from the implementation of rigorous vetting procedures.

While the number of registrations for the SAP Role in the Clearinghouse has generally been decreasing since 2020 (with the exception of CY2024), there are anecdotal reports of individuals offering to provide fraudulent SAP filings in the Clearinghouse through advertisements on social websites.

It is unclear, however, whether any of these individuals are nonetheless qualified as SAPs (per 49 CFR 40.281) or are otherwise registered as SAPs in the Clearinghouse. While the goal of this project is not to directly determine whether fraudulent SAP registrations are present in DACH, to support potential future efforts to that effect, FMCSA seeks a verification of a random sample of SAPs, including successful contact, verification of credentials status, and auditing of continuing education training compliance.

Furthermore, the Agency seeks general clarity regarding the quality and accuracy of the registration information for SAPs as presently contained in DACH.

3.0 Overall Objective: The aim of this project is to randomly sample 10% of active SAP registrants in DACH and verify their credentials, documentation, and compliance with training requirements.

4.0 Scope: The Contractor shall provide all personnel, equipment, supplies, facilities, transportation, tools, materials, supervision, and other items and non-personal services necessary to conduct this project, except that Federal Motor Carrier Safety Administration (FMCSA) will provide the sampled list of 10% of registered SAPs and their contact information as provided to DACH. The Contractor is also responsible for all tasks and deliverables described in this statement of work/performance work plan (SOW/PWS).

5.0 General Acceptance Criteria: This project, as described, involves auditing a sample of SAPs and their documentation, credentials, and training. In general, acceptance will be based on the extent to which the deliverables meet the requirements listed in the corresponding tasks descriptions which appear in the following section of this statement of work/performance work statement (SOW/PWS).

TASK DESCRIPTIONS

Task 1: Post-Award Orientation Conference The Contractor and FMCSA will hold a virtual post-award orientation conference with a scheduled duration of 30 minutes (0.5 hours) within one week of bilateral execution of this Agreement. Microsoft Teams or Zoom are acceptable mediums for holding this meeting. FMCSA’s Contracting Officer’s Representative will host the meeting.

The post-award orientation conference will involve the key research team partners from each organization, and, at a minimum, the Contractor’s project lead will attend. The primary purpose is to accomplish the necessary tasks laid out in the Federal Acquisition Regulation concerning post-award orientation. The Contractor will be provided with notes from the meeting by FMCSA’s Contracting Officer’s Representative.

A more in-depth meeting regarding the work plan will be held separately as described in the Task 4 subsection.

Task 2: Regular Progress Meetings Beginning one month (4 weeks) post-award, and at a frequency of once every two weeks thereafter, regular progress meetings with a scheduled/anticipated duration of 60 minutes (1.0 hours) each will be held between the Contractor and FMCSA. Subject Matter Experts (SMEs) and other stakeholders may participate as needed.

Progress meetings shall be held virtually via Microsoft Teams or Zoom. During the meetings, the Contractor shall deliver a PowerPoint presentation which covers the following items, at a minimum:

· Task accomplishments made during the past two weeks.

· Plans for task accomplishments for the next two weeks.

· A timeline of completed tasks and projected completion dates for future tasks.

· Problems, delays, or concerns encountered while performing work during the reporting period.

· Specific actions that will be taken to resolve problems or delays.

· Any actions FMCSA needs to undertake, including actions needed to resolve problems or delays.

The Contractor shall submit a copy of the bi-weekly PowerPoint file to FMCSA’s Contracting Officer’s Representative on the same calendar date of the meeting during which it was presented.

The meetings will also provide an opportunity to discuss the project, including the items covered during the Contractor’s presentation, as necessary to facilitate task completion.

The first progress meeting shall be scheduled to coincide with the Contractor’s delivery of the draft work plan for Task 3.

At the discretion of FMCSA’s Contracting Officer’s Representative, the kick-off meeting described in Task 4 may serve as/replace the second regular progress meeting.

Task 3: Draft Project Work Plan The Contractor will draft a work plan which includes basic descriptions of the tasks, procedures, and timelines for this project. The draft work plan must also include the following details, at a minimum:

· Plan for contacting the SAPs.

· Plan for verifying the SAPs’ contact information, including the office address.

· Plan for verifying the SAPs’ credentials, including coordination with certifying organizations.

· Plan for verifying the SAPs’ continuing education.

· Plan for exchanging/receiving the SAPs’ documentation (if any) and verifying completeness.

· Plan for developing and delivering the research briefing and final report.

The Contractor will deliver the draft work plan for FMCSA review within one month of project award.

The Contractor will be considered to have completed this task upon FMCSA’s acceptance of the electronic delivery of the draft.

FMCSA will provide the Contractor with written feedback on the draft plan within 5 business days. Any edits to the draft work plan in response to the feedback are to be incorporated in the Contractor’s briefing at the kick-off meeting for Task 4, are to be delivered as part of that task.

Deliverable: Draft Project Work Plan Delivery Date: 1 Months Post-Award

Task 4: Kick-Off Meeting The Contractor and FMCSA will hold a kick-off meeting either virtually or at FMCSA headquarters in Washington, D.C. within six weeks (1.5 months) of bilateral execution of this Agreement. The meeting will be scheduled for a duration of 60 minutes (1.0 hours). The Contractor will present a briefing at the meeting detailing the draft work plan, incorporating any feedback from Task 3.

The kick-off meeting will involve the key project team partners from each organization, and, at a minimum, the Contractor’s project lead will attend the kick-off (whether virtually or in-person). The meeting will provide an opportunity for these key staff to meet and discuss project details.

Upon request by the Contractor, FMCSA will provide the Contractor with a briefing on report-formatting and Section 508 compliance for reference.

The Contractor will be considered to have completed this task upon close of the kick-off meeting.

FMCSA will provide the Contractor with feedback on the project plan, as presented at the kick-off meeting, within 5 business days. This feedback should be incorporated in the finalized work plan delivered as part of the requirements for Task 5 below.

Task 5: Finalized Work Plan and Subsequent Receipt of SAP List After the kick-off meeting, the Contractor will finalize the work plan by making any necessary updates, including the incorporation of feedback from FMCSA. The Contractor will submit the written, finalized work plan to the Contracting Officer’s Representative for FMCSA by two months post-award.

The work plan should be updated as appropriate (e.g., in response to feedback) throughout the period of performance. The Contractor will deliver subsequent edits of the work plan to FMCSA for review throughout the period of performance.

Upon the plan’s approval by FMCSA’s Contracting Officer’s Representative, FMCSA will furnish the Contractor with the list of SAPs for verification. The list will contain the name and registration information for 10% of all active SAPs registered in DACH.

FMCSA cannot specify in advance/with certainty the number of SAPs this will include due to anticipated registration activity between the issuance of this TOPR and the completion of this Task. However, based on current and historical registration activity, FMCSA reasonably anticipates that the list will include approximately 650 SAPs.

Deliverable: Finalized Work Plan Delivery Date: 2 Months Post-Award

Task 6: Privacy Threshold Analysis The Contractor will prepare an application for a Privacy Threshold Analysis for the project prior to collecting data/beginning any subsequently numbered tasks (i.e., Task 7 or beyond). The application will be furnished to the Contracting Officer’s Representative for FMCSA for submission and approval by Agency privacy officials. Depending on the feedback from the Agency’s privacy officials, this Task may be an iterative process whereby drafts are submitted by the Contractor to FMCSA’s Contracting Officer’s Representative and returned with feedback until a satisfactory deliverable is obtained.

Deliverable: Draft Privacy Threshold Analysis Application (Template Furnished by FMCSA) Delivery Date: 2.5 Months Post-Award

Task 7: Privacy Impact Assessment If required by the Agency, the Contractor will subsequently prepare an application for a Privacy Impact Analysis. As with Task 6, this Task may be an iterative process whereby drafts are submitted by the Contractor to FMCSA’s Contracting Officer’s Representative and returned with feedback until a satisfactory deliverable is obtained.

Deliverable: Draft Privacy Impact Assessment Application (Template Furnished by FMCSA) Delivery Date: By 3.5 Months Post-Award, or by 2 Weeks After Receipt of Requirement (Whichever is Later).

Note: If the Agency determines that a Privacy Impact Assessment is not required, this task is complete upon the Agency’s approval of the Privacy Threshold Analysis and waiver of the requirement to prepare a Privacy Impact Analysis given the scope of the work.

Task 8: Verify SAP Credentials As outlined in the description of Task 5, FMCSA will furnish the contractor with the list of SAPs sampled for verification in accordance with this PWS/SOW. This list will contain the credential information supplied by each SAP to DACH. The contractor must check each SAP’s credentials as supplied to DACH using the list of SAPs furnished by FMCSA and any additional tools necessary given the credentials.

This may include referencing state licensing agencies to verify that the SAP is a licensed physician, social worker, psychologist, employee assistance professional, or marriage/family therapist.

In the case of a certified drug and alcohol counselor, the SAP must verify the credentials with the appropriate certifying organization as listed at https://www.transportation.gov/odapc/sap.

The contractor must record the results of the verification check for each SAP in a Microsoft Excel spreadsheet and deliver them to FMCSA. The results must include, at a minimum, the status (e.g., valid/invalid) of the credential, the date checked, and the source (e.g., the URL of a state certification website). The contractor will not act in an enforcement capacity. Any issues discovered shall be reported to FMCSA via the spreadsheet deliverable.

Deliverable: Spreadsheet containing the list of results of credential verifications/checks for each SAP.

Delivery Date: 9 Months Post-Award

Task 9: Verify SAP Contact Information To the extent practicable, the contractor will verify each SAP’s contact information, including:

1. Telephone number and, if applicable, alternate telephone number.

2. E-mail address.

3. Office address.

For telephone and e-mail address contacts, the contractor will verify these by telephone call and e-mail, respectively, including leaving voicemails requesting callback, if applicable. If contact attempts are unsuccessful, the contractor will make at least three attempts to verify each telephone number and e-mail address to the extent practicable. The requirement to make additional attempts does not apply to circumstances of invalid/returned e-mails or disconnected/erroneous telephone numbers, which may simply be noted as such. Other reasonable exceptions in cases not otherwise covered in this paragraph may also be granted by FMCSA’s Contracting Officer’s Representative, at their discretion, if requested by the Contractor.

The verification of office address may be accomplished via any reasonable and practicable means and need not include an in-person visit. The method proposed in the Contractor’s accepted technical proposal, including any changes pursuant to negotiations, will be deemed sufficient for completion of this task.

The contractor must record the results of these checks in a Microsoft Excel spreadsheet and deliver them to FMCSA.

FMCSA recommends that the Contractor request the necessary documentation from each SAP required for the Contractor’s completion of Task 10 during the contact resulting from this Task.

Deliverable: Spreadsheet containing the results of the checks of each contact information item for each SAP, including any relevant notes.

Delivery Date: 12 months post-award.

Task 10: Verify Continuing Education Training Compliance The Contractor will obtain from each SAP the documentation required by 49 CFR 40.281(e) applicable to 49 CFR 40.281(d).

The Contractor will use the supplied documentation, which may take any form, to determine whether each SAP has met the requirements of 49 CFR 40.281(d) (and therefore 49 CFR 40.281(e)) for the current 3-year period and/or the previous 3-year period as prescribed by 49 CFR 40.281(d).

The contractor will record the results of these checks in a Microsoft Excel spreadsheet and deliver them to the Contracting Officer’s Representative for FMCSA.

The contractor may select any format, but the results must be reported in a sufficiently detailed manner to determine whether, for each SAP, the requirements of 49 CFR 40.281(d) are (or are presumably) met and whether the requirements of 49 CFR 40.281(e) are met. Instances of inability to verify compliance with the requirements, e.g., due to refusal to comply with the request, must be documented. The Contracting Officer’s Representative for FMCSA may, at their discretion and following request by the Contractor, grant other reasonable exceptions as necessary to facilitate the Contractor’s performance of the work.

Deliverable: Spreadsheet containing the results of the continuing education training compliance checks, including any relevant notes.

Delivery Date: 14 months post-award.

Task 11: Draft Final Report The Contractor will draft and submit to the contracting officer’s representative for FMCSA a final written report detailing the Contractor’s findings following the completion of Tasks 8-10. The final report will detail the methods used, findings, limitations, recommendations, and any other pertinent information.

The Contractor will operationalize the findings in a manner that allows FMCSA to interpret and apply the findings in a straightforward fashion.

The draft final report submission will be an iterative process. The contractor will submit the initial brief according to the deadline specified in this PWS/SOW and make any changes following feedback from FMCSA. This revision cycle may repeat as necessary until an approved draft is obtained by FMCSA.

Deliverable: Draft final report.

Delivery Date: 15 months post-award.

Task 12: Final Briefing The Contractor will conduct a final briefing for FMCSA staff either virtually or at the FMCSA offices in Washington, DC. The Contractor will deliver a draft of the briefing to FMCSA for review two weeks before the final briefing is set to occur. If requested by FMCSA’s Contracting Officer’s Representative, the Contractor will make any necessary changes to the draft briefing prior to the date of the final briefing (see milestone/delivery table).

This briefing will provide an opportunity for FMCSA to address questions that arise during its review of the report.

Deliverable: Draft final briefing.

Delivery Date: Two weeks before final briefing date (approximately 16 months post-award).

Task 13: Submit Final Report and Research Brief The Contractor will submit a Section 508-compliant final report and a two-page research brief summarizing the report to FMCSA. The final report will incorporate all previously received feedback from both FMCSA and the peer review.

Deliverables: Final report and research brief.

Delivery Date: 18 months post-award.

6.0 Project Timeline and Deliverables: The following deliverables shall be included:

Task

* Or 2 weeks after receipt of approved PTA, whichever is later.

7.0 Period and Place of Performance: The period of performance for this work will be eighteen months (1.5 years).