RFP_Drug_and_Alcohol_compliance_Review_Program-amendment_0002_-_12-22-2015.pdf

Drug and Alcohol Compliance Audit Program Review

RFP Number: DTFT6016R00003

SECTION B: SUPPLIES OR SERVICES AND PRICES

B.1 Supplies or Services

The Department of Transportation (DOT), Federal Transit Administration (FTA) is seeking professional contractor support to deliver a comprehensive compliance audit program of transit providers, and contractors, receiving federal financial assistance under 49 U.S.C. 5307, 5309 or

5311. The contractor will assist FTA to provide auditing services, audit selection, auditor team training, transit grantee training, and technical assistance to support the drug and alcohol testing compliance audit program in accordance with the statement of work (SOW) in section C of this

RFP.

This requirement is a total small business set-aside. The Government intends to award one

Labor Hour (LH) contract. The total estimated value for this program is $8.7 million across a total of five years concerning performance.

B.2 North American Industry Classification System (NAICS) Code and Small Business

Standard

The North American Industry Classification System (NAICS) Code for this acquisition is

541611, Administrative Management and General Management Consulting Services. The small business size standard is $15,000,000 (Fifteen million dollars).

B.3 Contract Definition – Labor Hour Contract

This is a Labor Hour (LH) Contract as defined at Subpart 16.602 of the Federal Acquisition

Regulations (FAR) and in Section I, FAR Clause 52.216-1, Contract Type, herein. Services provided by the Contractor under this Contract shall be secured by the issuance of a Labor Hour

(LH) contract.

B.4 CLIN Structure

CLIN001- Conduct Drug and Alcohol Testing Compliance Audits/Reviews (Labor Hour)

CLIN002- Auditor Team Training (Labor Hour)

CLIN003- Drug and Alcohol National Conference (Labor Hour)

CLIN004- Audit Planning (Labor Hour)

CLIN005-Techinal Assistance and Program Management Support (Labor Hour)

CLIN006- Other Direct Costs (Travel) (Cost-Reimbursable)

B.5 Contract Period of Performance

The contract period of performance is from date of award through a five year period. The FAR clause 52.217-8 “Option to Extend Services”, shall be incorporated into the resulting contract, as referenced in Section I, in the event the Government requires continued performance of any services with the limits and at the rates specified in the contract beyond the five-year period of performance.

B.6 Pricing/Labor Rates Table

TBP

Base Year:

12 months from date of award

Labor Category Rate Hours Total Price

Senior Program Manager/Audit Team Lead 6,450

Project Technician 2,968

Administrative Support 300

ODC (TRAVEL)

(109 Trips at $1,830.00 per trip)

$199,470.00

(NTE)

Sub-Total Labor 9,718

Option Year 1: 12 months upon expiration of the base year

Option Year One (1) – 12 months

Project Technician 2,968

Administrative Support 300

ODC (TRAVEL)

(109 Trips at $1,830.00 per trip)

$199,470.00

Total 9,718

Option Year 2: 12 months upon expiration of Option Year One (1)

Option Year One (2) – 12 months

Project Technician 2,968

Administrative Support 300

ODC (TRAVEL)

(109 Trips at $1,830.00 per trip)

$199,470.00

Option Year 3: 12 months upon expiration of Option Year Two (2)

Option Year One (3) – 12 months

Project Technician 2,968

Administrative Support 300

ODC (TRAVEL)

(109 Trips at $1,830.00 per trip)

$199,470.00

Option Year 4: 12 months upon expiration of Option Year Three (3)

Option Year One (4) – 12 months

Project Technician 2,968

Administrative Support 300

ODC (TRAVEL)

(109 Trips at $1,830.00 per trip)

$199,470.00

RECAP OF PRICING:

Base Period $_________

Option Period 1 $_________

Option Period 2 $_________

Option Period 3 $_________

Option Period 4 $_________

TOTAL CONTRACT VALUE, IF ALL OPTIONS EXERCISED: $________________

The labor categories in the Pricing Template (Attachment J-1) shall be used for the total life of this contract.

This contract will be awarded to the contractor based within the pre-established Labor Hour (LH) rates as stated using the CLIN structure in the Pricing Template (Attachment J-1).

End of Section B

SECTION C: DESCRIPTION/SPECIFICATION/STATEMENT OF WORK

C.1 Background

The Federal Transit Administration (FTA) is one of the eleven modals of the Department of

Transportation (DOT) which has a mission to “serve the United States by ensuring a fast, safe, efficient, accessible and convenient transportation system that meets our vital national interests and enhances the quality of life of the American people, today and into the future.

As part of the Congressionally-mandated substance abuse management program, the FTA’s

Office of Safety and Oversight (TSO) ensures their grantee’s compliance through a drug and alcohol testing compliance audit program. The audit program began in 1997, and of FTA’s estimated 600 urban grantees 95% have received an audit since the roll out of the audit program in 1997. Re-audits were instituted in 2002, whereby the largest transit agencies and their contractors will receive a second audit, focused generally on contractors not covered during the initial audit visit or on grantees with serious deficiencies during their initial audit. In August of

2012, Congress approved Moving Ahead for Progress in the 21st Century legislation (MAP-21), MAP-21 modified the Tribal Transit program whereby Tribes now are direct recipients of

Section 5311 funds, which requires them to have a drug and alcohol program compliant to FTA’s

Part 655, Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations and to the US DOT Part 40, Procedures for Transportation Workplace Drug and Alcohol Testing

Programs. FTA seeks to complete an initial audit on all Tribes and small urban grantees, while concurrently re-auditing larger agencies to achieve an optimum mitigation of risk from drug use and alcohol misuse in the transit industry.

C.2 Scope

The requirement is for 24 on-site audit trip weeks (audit events) per year with as many as four

5307 grantees and/or larger contractor audits conducted per trip. Approximately 46 large 5307 urban grantee (and selected contractors) and four 5311 rural State Program (with six to ten selected sub-recipients) audits or the equivalent are anticipated in a particular audit year. In general, one State DOT with six to ten sub-recipients, two large 5307 with contractors, or 4 small

(less than 100 safety sensitive employees) grantees are to be audited in an audit event week.

With FTA and the USDOT Volpe Center, the auditor develops the schedule and conducts audits.

The activity consists of pre-audit preparation, site visits and post-audit communication and technical assistance activities designed to assist the grantee in compliance with 49 CFR Part 655 and Part 40. The audit program is comprehensive, utilizing an in-depth checklist of all the required elements specified in Parts 655 and 40. These requirements cover all aspects of the drug and alcohol program at a grantee level. This includes any grantee contractors, vendors, and third party administrators. The aspects of the grantee’s drug and alcohol program examined shall include the following: policy, training, testing program administration and records, drug and alcohol program manager functions, medical review officer (MRO) functions, collection site

(urine and breath) performance and physical characteristics, laboratories, and the role of substance abuse professionals (SAP).

The questionnaires and investigative elements have been developed previously and incorporated into the preexisting audit software package-Substance Abuse Management Oversight (SAMO), maintained by the Volpe Center. The questionnaires and investigative elements shall be flexible to incorporate future guidance and regulatory changes, from FTA with the input of Volpe and the contractors. Flexibility and innovative analysis and investigative techniques are key to quality and productivity at this point in this mature FTA program. Grantees have been proven as largely compliant need not be subjected to rote re-auditing using well established questionnaires.

C.3 Objective

FTA seeks contractor support to deliver a comprehensive compliance audit program of transit providers, and contractors, receiving federal financial assistance under 49 U.S.C. 5307, 5309 or

5311. The contractor will assist FTA to provide auditing services, audit selection, auditor team training, transit grantee training, and technical assistance to support the drug and alcohol testing compliance audit program.

C.4 Description of Work Statement

The following description of work represented as CLINs below corresponds to the pricing template (Attachment J-1):

CLIN001 – Conduct Drug and Alcohol Testing Compliance Audits/Reviews

The contractor shall provide the personnel, materials and equipment necessary to conduct 24 on-site audit events. The contractor shall have a minimum of four Audit Team Leaders to fulfill the requirements of the program. The audit team should consist of a Team Leader, a Federal

Representative, and 2 to 6 team members as determined by the Team Leader in consultation with

FTA in the pre-audit phase.

The audit process shall encompass the following 3 phases:

Phase 1- Pre-audit

Arrangement of all audit logistics

Official notifications and request for documents, records, and other materials are emailed or overnight mailed as deemed appropriate (by the audit team leader) to the grantee (not less than 6 weeks and not more than 7 weeks in advance of entrance)

Development of the following:

Audit agendas

Schedules will include at a minimum time and locations for, audit interviews, records review, mock collections, report and chart production, and the schedule must be made available no less than 30 days in advance of entrance meeting for federal representative travel coordination. It is recognized the schedule will continue to develop as the audit team leader consults with the grantees as the audit approaches. The latest iteration of the schedule should always be available on the auditor travel site.

Pre-audit notes include at a minimum an overview of the travel logistics for sub-teams, an analysis of the employer’s previous years Drug and Alcohol

Management Information System (DAMIS) results, hours of service, program attributes such as if the transit property has a no tolerance or 2nd chance policy, contractor performance, and general pre-audit findings

Request and receipt of materials (as detailed in the official notification letter) from the grantee

Coordination of logistics with federal representative staff (FTA headquarters and or regional staff and USDOT Volpe staff) including completion, attachment of correspondence, and inclusion of all elements of the pre-audit portfolio into the drug and alcohol auditor travel site found here https://transit-safety.fta.dot.gov/auditorsite/, in concert with timing of grantee notification

Perform pre-audit review, analysis of policy and other materials, and recording the results in data files uploaded to SAMO and the drug and alcohol auditor’s site.

Arrange and complete telephone interviews with the medical review officers and substance abuse professionals in the pre-audit phase. The contractor is encouraged to complete this during the pre-audit phase to minimize information request while on-site.

Phase 2- Audit

The central component of the audit process is the on-site visit by the contractor (audit team) to the grantee. The audit team typically consists of three to six staff including contractor and federal members; and the duration of the audit event is usually one week on-site. Audit staff with extensive knowledge of USDOT Part 40 and FTA Part 655 drug and alcohol regulations and application of those rules will interview grantee and contractor personnel (possible review of multiple safety-sensitive contractors), and vendors. The audit team leader and the federal representative will work together to determine, final deficiencies and or findings, and language used in the final audit report. The audit team leader shall defer to the federal representative in the event of any disagreement. They may also contact the Program Manager/Contracting

Officers Representative (PM/COR) at any time there are questions as to the content or style of the final audit report.

The audit staff shall be able to conduct mock collections at contracted and directly operated collection sites and medical facilities. The audit staff will conduct a records review of the

Federal Drug Testing Custody and Control forms and Alcohol Testing forms of all testing types required under Part 655: including pre-employment, random, post-accident, reasonable suspicion, return-to-duty, and follow-up drug and alcohol tests noting any errors. The audit staff will graphically depict the random spread of testing and determine compliance based on hours of service and proportion of safety-sensitive functions during those hours. The audit staff will analyze post-accident tests and accident investigations to determine if FTA thresholds for testing were met. The audit staff will review reasonable suspicion determinations and analyze whether https://transit-safety.fta.dot.gov/auditorsite/ https://transit-safety.fta.dot.gov/auditorsite/ appropriate signs and symptoms were observed. The audit staff shall perform a certification review of vendors and review grantee training records.

The audit staff shall produce a final report (hardcopy and electronic PDF) with FTA cover letter and response software to be left with the grantee at the exit meeting portion of the audit. The contractor will provide sufficient copies for all grantee attendees at the exit meeting. The electronic copy shall be distributed to the FTA Program Manager and the FTA Regional

Administrator or designated contact on the day/evening before the presentation to the grantee or as soon as possible. Archival copies must also be uploaded to the drug and alcohol auditor travel site, and hard or electronic copy of employer response material sent to the DAMIS Program

Manager at the USDOT Volpe Center. The contractor is encouraged to use electronic means of storage as much as possible as well as encourage grantees to respond with scanned material as opposed to hardcopy. The audit team leader is also responsible for uploading all SAMO elements and follow-up correspondence with the grantee into the drug and alcohol auditor travel site.

Phase 3- Post-audit follow up process

The audit team will develop and adhere to a process of follow-up phone calls, emails, letters and other communications (deemed appropriate by the FTA program manager); technical assistance support with grantees; and interim compliance reports to the grantee. These will be sequenced at several intervals (until the grantee is in compliance): for example 90, 60, and 30 days. There will be two types of compliance reports: “continuing concerns” or “acknowledgement of compliance.” The scheduled “continuing concerns” letter will take place at the specified intervals until compliance is attained. Once compliance is achieved, the “acknowledgement of compliance” letter will be issued.

The audit team leader is also responsible for uploading all SAMO elements and follow-up correspondence into the drug and alcohol auditor travel site. The contractor must also upload the final audit report into OTRAK on a quarterly basis, noting original number of deficiencies from the final audit report and the subsequent compliance date (s). The contractor will shred all pre and post audit paper materials submitted by the grantee, after the final compliance letter is issued to the grantee.

CLIN002- Auditor Team Training

The contractor shall conduct one two-day training session annually, to update all audit team members (contractor, FTA and USDOT Volpe Center staff) on any new procedures to the audit process, new or revised regulatory interpretations, changes/updates to audit software and/or the auditors travel site, any regulatory updates/changes to Parts 655 and 40 and to review current processes and lessons learned from the prior audit cycle.

The contractor shall provide for review and approval a draft agenda and other meeting materials, via email, 30 days prior to the training to the PM/COR and Volpe Center staff. The PM/COR will provide written comments back within 7 days to be incorporated into the final training materials.

CLIN003- Drug and Alcohol National Conference

The contractor shall provide staffing for the annual national 3-day conference to include at a minimum four team leaders, and members of the contractor audit team who will serve as either presenters or conference support staff (room monitors). The contractor will also deliver presentation(s) covering the content of the audits, such as deficiencies and compliance trends;

provide real time policy review analysis and feedback to grantees, as well as cover new best practices, regulatory interpretations and other issues as specified by FTA.

The contractor shall coordinate closely with FTA and Volpe staff in providing presentation materials in a timely manner as determined by the COR.

CLIN004- Audit Planning

The audit planning process begins with the inventory, verification, and analysis of grantees from various sources. The three primary data sources the contractor will accesses for this task are the

FTA’s Drug and Alcohol Management Information System (DAMIS), FTA’s National Transit

Database (NTD) for safety data, and FTA’s Oversight Tracking System (OTRAK) for Triennial

(TR) data in order to develop the optimum Drug and Alcohol audit mix designed to minimize drug and alcohol related risk in the transit industry, as well as minimize overlap with other FTA oversight reviews. Re-audits of larger grantees should be targeted towards operations and maintenance contractors, who were not audited during the grantees initial audit and or have been identified to have particular issues and problem areas. Also, State grantee audits should be focused on those non-urban (Section 5311) sub-recipients not covered during the initial on-site audit or re-audit.

The labor is expected to be one full-time equivalent for up to two weeks of pre-analysis and a one-day meeting with the senior audit team leader and or contract program manager, Volpe

Center Staff and the FTA Program Manager/COR.

The contractor shall establish an FTA OTrak account and enter all scheduled FTA D&A audits into the FTA Auditors website and the OTrak system no later than 30 days after the approved final schedule by the FTA Program Manager/COR.

CLIN005-Techinal Assistance and Program Management Support

The contractor will provide technical assistance to the Program Manager/COR, FTA HQ, US

DOT/Volpe Center, OST Office of Drug and Alcohol Policy and Compliance (ODAPC), FTA

Regional staff and or FTA grantees as determined by the COR. This technical assistance will include training, training materials, policy review, and auditing support to the above parties in order to facilitate understanding and increase compliance with drug and alcohol testing requirements, regulations, program implementation, interpretations, etc.

The contractor may be required to attend one (1) joint modal/ODAPC sponsored Part 40 inspector training and/or one (1) industry trade association meeting (DATIA, SAPAA). This training will allow the contractor to stay updated on current and future drug and alcohol industry trends. Also, this will assist FTA and the Department in aiding grantees, their contractors, and vendors/service agents in achieving compliance and reducing deficiencies outside of the normal drug and alcohol auditing process as described in CLIN001.

The contractor will provide for up to three (3), two-day on-site Go-Teams or equivalent consisting of an audit team leader and a federal representative. The Go-Team shall inspect and/or re-inspect grantees service agents (Third Party Administrators (TPA), Medical Review

Officer (MRO), Substance Abuse Professionals (SAP), collection sites), and operations contractors (if applicable) providing service for FTA-regulated clients. The Go-Team shall be used to inspect and/or re-inspect issues, accidents or events as determined by the FTA Program

Manager/COR.

CLIN006-Travel and Other Direct Costs

Per FTA direction, the Contractor will travel to conduct compliance audits and provide outreach support for the drug and alcohol compliance audit program. The Contractor shall obtain approval from the COR before incurring any such costs and provide detailed travel expenses in its monthly invoices. Travel and Per Diem authorized under this task order shall be reimbursed in accordance with the requirements of FAR 31.205-46, entitled “Travel Cost” and with the

Government Travel Regulations (GTR) in effect at the time of travel. Travel by air will be reimbursed at actual cost not to exceed coach fare. Travel subsistence reimbursement will be authorized under the rates and conditions of the Federal Travel Regulations (FTR) in effect at the time of travel. Throughout the period of performance of this contract, the Government revises the Per Diem rates to reflect changes to these amounts or to the travel regulations. The Per Diem schedule and changes to the travel regulations may be reviewed at http://www.gsa.gov.

If other direct costs (ODCs) are required under this contract, they must be consistent with GSA schedule requirements.

End Of Section C

SECTION D: PACKAGING AND MARKING

All packing, packaging and mailing of reports or submittals shall be accomplished in the most economical and efficient manner and in accordance with the best commercial practices.

All information submitted to the Contracting Officer and the Contracting Officer's Representative shall be clearly marked with the name of the organization/contractor, the contract, and/or modification number as appropriate and the identification of the submission.

End of Section D

SECTION E: INSPECTION AND ACCEPTANCE

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

This contract incorporates the following contract clauses by reference, with the same force and affect as if they were given in full text. Upon request, the Contracting Office will make their full text available. Also the full text of a clause can be accessed electronically at:

http://www.acquisition.gov

52-246-6 INSPECTION-TIME-AND-MATERIAL AND LABOR-HOUR (May 2001)

All pertinent clauses will be incorporated by reference

E.2 Contracting Officer or Contracting Officer’s Representative (COR Inspection and

Acceptance)

The Contracting Officer or the Contracting Officer's Representative (COR) at the Department of

Transportation, Federal Transit Administration, Washington, DC, will perform final inspection and acceptance of all deliverables called for by this contract. The Contracting Officer reserves the right to designate other Government agents as authorized representatives upon unilateral written notice to the Contractor, which may be accomplished in the form of a transmittal of a copy of the authorization.

E.3 Government Contract Quality Assurance

The Government intends to do quality assurance to monitor the quality of the contractor’s performance. The oversight provided for in the order and by the Government’s monitoring, will help to ensure that service levels reach and maintain the required levels throughout the contract term. Further, the Government’s quality assurance monitoring will provide the COR with a proactive way to avoid unacceptable or deficient performance, and provides verifiable input for the required Past Performance Information Assessments. Thus, the contractor must ensure that deliverables meet the Government’s acceptance.

E.4 Performance Indicators/Performance Standards

The Contractor shall use electronic means of storage. All grantee response in hardcopy shall be scanned for archiving. The audit team leader is also responsible for uploading all audit notifications, final reports, SAMO database elements, auditee follow-up SAMO responses, continuing concerns letters, and compliance letters in the audit travel site.

The Contractor shall immediately inform the FTA Program Manager and Federal Team Lead, when a grantee is unresponsive or uncooperative to request during any phase of the audit process.

All Contract personnel attending meetings, answering questions/inquiries, and or working in situations where their contractor status is not obvious to third parties are required to identify themselves as contractors/auditors for the Federal Transit Administration (FTA), to avoid creating an impression in the minds of the public that they are Government officials. They must also ensure all documents or reports produced by the contractor on behalf of the FTA are suitably marked as contractor and sent from the Government issued email address.

The Contractor shall copy the FTA Program Manager and Federal representative on all responses to grantees questions/concerns, which occur outside of the normal audit process.

End of Section E

SECTION F: DELIVERIES OR PERFORMANCE

Deliverables Schedule

Deliverable Deliverable Due Date Deliver To

CLIN 0001: Drug and

Alcohol Testing Compliance

Audits

Phase 1: The Auditor shall develop audit agendas and schedules. The Auditor shall provide a pre-audit notification letter to the grantee.

Phase 2: The Auditor shall produce a final report (hard and electronic copy) with

FTA cover letter and response software.

Phase 3: The Auditor will deliver a continuing concerns or final compliance letter to the grantee.

COR via email

Acceptance Criteria: The deliverables will be deemed acceptable for review by the

Contracting Officer’s

Representative (COR) as

Microsoft (MS) Word documents.

CLIN 0002: Auditor Team

Training

The Auditor shall provide a draft agenda and other meeting materials.

deliverables will be deemed

30 days prior to Training acceptable for review by the

COR as MS Word

CLIN 0003: Drug and

Alcohol National

Conference

The Auditor will deliver presentation materials covering audit content, compliance trends and perform policy review analysis and feedback.

deliverable will be deemed acceptable for review by the

60 days prior to Annual

Conference

CLIN 0004: Audit Planning

The Auditor will deliver a final audit schedule no later than 7 days after the audit schedule planning meeting.

The Auditor will establish an FTA OTrak account and enter all final audits into

OTrak and the FTA

Auditors website.

acceptable for review by the

7 days after audit planning meeting

30 days after audit planning session

CLIN 0005: Technical

Assistance and Program

Management Support

The Auditor will provide technical assistance to include training, training materials, and policy review.

acceptable for review by the

As assigned

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

F.2-15 Stop-Work Order (AUG1989)

F.2 Place of Performance

At selected FTA grantee facilities.

F.3 Period of Performance

The period of performance is one 12 month base period with four (4) 12 month option periods, if exercised.

F.4 Schedule of Work

All assigned work shall be performed in accordance with the work schedule as negotiated for the contract’s statement of work.

F.5 Government Furnished Property, if applicable

F.5.1 Government Issued ID:

The contractor shall establish and implement methods of making sure all ID cards issued to the contractor by the Government are not lost or misplaced and are not used by unauthorized persons. The contractor shall develop procedures covering ID control that shall be included in the Quality Control Plan. Such procedures shall include turn-in of any issued ID’s by personnel who are no longer required ID’s. The contractor shall immediately report any occurrences of lost or duplicate ID’s to the COR or the Contracting Officer.

The contractor shall prohibit the use of Government issued ID’s by any persons other than the contractor’s employees assigned under the contract.

F.5.2 Government Issued Federal email accounts:

Government Issued Password Protected Account for Drug and Alcohol Auditors Site: The contractor will be issued a password protected account to access the Drug and Alcohol Auditors site. The contractor shall develop procedures to secure the issued password. The contractor shall immediately notify the audit site manager, when the password is lost or forgotten, to be issued a new password.

F.5.3 Other Resource Concerns or Special Conditions, if applicable

None

End of Section F

SECTION G: CONTRACT ADMINISTRATION DATA

G.1 Contracting Officer (CO) and Contracting Officer’s Representative (COR)

Contracting Officer (CO)

Mrs. Stephanie Cooke-Nwadibia

Office of Acquisition Management

1200 New Jersey Ave. S.E.

4th Floor - East Building

Washington, DC 20590

Phone: 202-366-7072

Email: Stephanie.Cooke-Nwadibia@dot.gov

Contracting Officer’s Representative (COR)

To Be Determined (TBD)

Contract Specialist (CS)

Mrs. Naheed Nasrin

Office of Acquisition Management

1200 New Jersey Ave. S.E.

4th Floor - East Building

Washington, DC 20590

Phone: 202-366-4882

Email: Naheed.Nasrin@dot.gov

The Contracting Officer (CO) holds the contractual authority for this contract. The CO alone, without delegation, is authorized to take actions on behalf of the Government to amend, modify or deviate from the contract terms, conditions, and requirements. The CO may delegate certain other responsibilities to the Contracting Officer’s Representative (COR). The CO is the only individual who can legally commit or obligate the Government or authorize any changes that affect the contract price, delivery schedule, period of performance or other terms and conditions.

In accordance with the Transportation Acquisition Regulation (TAR) 1252.242-73 (b)

Dissemination of Contract Information (See Section I), the Contracting Officer cannot authorize the COR or any other representative to sign documents (i.e., contracts, contract modifications, appointments, conflict resolutions, etc.) that require the signature of the Contracting Officer.

In accordance with TAR 1252.242-73 (See Section I), Contracting Officer’s Representative

TAR Clause (OCT 1994), (a) The Contracting Officer may designate Government personnel to act as the Contracting Officer's Representative (COR) to perform functions under the contract such as review and/or inspection and acceptance of supplies, services, including construction, and other functions of a technical nature. The Contracting Officer will provide a written notice of such designation to the Contractor within five working days after contract award or for construction, not less than five working days prior to giving the contractor the notice to proceed.

The designation letter will set forth the authorities and limitations of the COR under the contract.

(b) The Contracting Officer cannot authorize the COR or any other representative to sign documents (i.e., contracts, contract modifications, etc.) that require the signature of the

Contracting Officer.”

G.2 COR Assignment

Upon contract award, the Contracting Officer’s Representative will be designated.

The COR has the authority to monitor the technical progress of the services that are required under the contract. This includes visits to the contractor’s place of performance, meetings, and telephone conversations with the contractor’s personnel, inspection, acceptance, or rejection of the contracted items and other duties that may be authorized by the contracting officer. The COR cannot authorize or order the cessation of contract work nor delete, change, or waive any of the technical requirements or other terms and conditions of the contract. If a change (monetary or otherwise) to the contract is desired, the contractor must submit a written request to the contracting officer for consideration. If appropriate, the change will be effected by a contract modification, after discussions and/or negotiations.

Whenever a difference of opinion between the contractor and the COR occurs, the contracting officer or contract specialist should be contacted immediately for resolution. The contractor should also contact the contracting officer or contract specialist when the COR cannot be contacted on a technical matter and for assistance on all other matters pertaining to this contract.

G.3 Billing Instructions

The Contractor shall submit invoices for payment utilizing Standard Form 1034, “Public

Voucher for Purchases and Services Other Than Personal,” to include supporting documentation for all costs/prices claimed in the performance of this contract. The Standard Form 1034 can be obtained from the “Federal Acquisition Regulations”, Part 53-301.1034 (see website at http://acquisition.gov). The Contractor shall submit one copy of all vouchers, including the final voucher to one of the three designated FTA Document Imaging Center noted below: (NOTE:

Please “mark” the final voucher “FINAL”)

1. FTA’S PREFERRED METHOD OF INVOICE TRANSMITTAL:

FTAInvoices@faa.gov

Note: No more than 10 MB of data can be transmitted at one time. For invoices greater than 10MB, please split into multiple emails and notate in the subject Email 1 of 4, 2 of

4, etc.

2. FedEx:

DOT, Federal Aviation Administration

Attn: Accounts Payable, AMZ-150 (FTA Account)

HQ Building, Room 272

6500 S MacArthur Blvd Oklahoma City, Ok 73169

3. U.S. Mail:

Federal Aviation Administration (FTA Account)

AMZ-150, HQ Room 272

P.O. Box 269041

Oklahoma City, OK 73126-69041 http://acquisition/

Submission of vouchers shall be made monthly. The voucher number, contract number, FTA

TEAM Project Number and the name of the COR Contract Manager must be listed on all vouchers.

G.4 Method of Payment and Procedure

Payments under this contract shall be made under the Department of Treasury’s Automated

Clearing House (ACH) system. Under this system, the funds will be wired (electronically transferred or EFT) to the contractor’s financial institution pursuant to FAR 52.232-34.

Prior to the submission of Voucher No. 1, the Contractor shall insure that the information contained in the TFS Form 3881, “Payment Information Form-ACH Vendor Payment System,” will be provided upon contract award. Or alternatively, TFS Form 3881 can be obtained from the Treasury’s website at http://fms.treas.gov/pdf/3881.pdf or the Contracting Office. The cover page to the Contract award should accompany the TFS Form 3881, and be faxed to FTA at (405)

954-9776.

FTA’s designated office for electronic funds transfer information is:

Mailing Address:

Federal Transit Administration

Office of Financial Management, TBP-50

1200 New Jersey Ave., 5th Floor – East Bldg. E52-334

Washington, DC 20590

Telephone: 202-366-7083

Person to Contact: Ms. JoeElla Day

G.5 Status of Payments

Contractors can track the status of payments of vouchers through the Department of Treasury’s

“Internet Payment Platform” system (a system developed by the U.S. Department of the

Treasury’s Financial Management Service (FMS) to provide participating Federal agencies a method of making remittance information available to vendors through the Internet.)

Contractors may register with the Department of Treasury to obtain payment status by logging on: https://www.ipp.gov/. Any changes shall be submitted in writing to the Contracting Officer.

It is the Contractor’s responsibility to furnish these changes promptly to avoid payments to erroneous addresses or bank accounts. Failure to provide the requested informational changes to the Contracting Officer may result in delays in the payment of vouchers. Any such delays shall be considered the Contractor’s responsibility.

G.6 Post Award Evaluation and Contractor Performance

G.6.1. Contractor Performance Evaluations

Interim (after one year of performance) and final evaluations of contractor performance will be prepared for the contract awarded in accordance with FAR 42.15. The final performance evaluations will be prepared as soon as possible after completion of all required work under this contract.

http://fms.treas.gov/pdf/3881.pdf)%20%20or%20the%20Contracting%20Office.

https://www.ipp.gov/

Interim and final evaluations will be provided to the contractor as soon as practicable after completion of the evaluation. The contractor may elect to review the evaluation and submit additional information or a rebuttal statement within thirty days. Any contractor response is voluntary. Any disagreement between the parties regarding an evaluation will be referred to an individual one level above the Contracting Officer, whose decision is final.

Copies of the evaluations, contractor responses and review comments, if any, will be retained as part of the contract file, and may be used to support future award decisions.

G.6.2 ELECTRONIC ACCESS TO CONTRACTOR PERFORMANCE EVALUATIONS

The U.S. Department of Transportation uses Contractor Performance Assessment Reporting

System (CPARS) to record and maintain interim and final past performance information.

Contractors that have internet capability may access evaluations through a secure web site for review and comment by completing the registration form that can be obtained at the following

URL: http://www.cpars.gov

The registration process requires the contractor to identify an individual that will serve as a primary contact and who will be authorized access to the evaluation for review and comment. In addition, the contractor will be required to identify a secondary contact who will be responsible for notifying the cognizant contracting official in the event the primary contact is unavailable to process the evaluation within the required 30-day time period. Once the contractor is registered and a performance evaluation has been prepared and is ready for comment, CPARS will send an email to the contractor representative notifying that individual that a performance evaluation is electronically available for review and comment.

G.7 Post Award Conference / Periodic Progress Meetings

The Contractor agrees to attend any post award conference convened by the contracting activity or contract administration office in accordance with Federal Acquisition Regulation Subpart

42.5. The Contracting Officer (CO), Contracting Officers Representative (COR), and other

Government personnel, as appropriate, may meet periodically with the contractor to review the contractor's performance. At these meetings, the CO or COR shall apprise the contractor of how the government views the contractor's performance and the contractor shall apprise the

Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues. These meetings shall be at no additional cost to the government.

End of Section G http://www.cpars.gov/

SECTION H: SPECIAL CONTRACT REQUIREMENTS

H.1 Executive Order 13514, Federal Leadership In Environmental, Energy and Economic

Performance (October 5, 2009)

The Department of Transportation (DOT) developed a Strategic Sustainability Performance Plan

(SSPP) (June 2010) in accordance with directions contained in the above titled Executive Order.

The plan is designed to enhance and sustain the DOT mission through cost effective acquisitions that achieve compliance, reduces resource consumption and solid and hazardous waste generation. Green procurement is the purchase of environmentally preferable products and services in accordance with the established Federal “Green” procurement preference program.

The SSPP applies to all acquisitions and contracting mechanisms used by Federal agencies including service contracts, leases, purchases made with government purchase and fleet cards and purchases below the micro-purchase threshold. Therefore, all FTA contractors are highly encouraged to supply or use products and services that are energy efficient, contain recycled content, or are non-toxic or less toxic alternatives.”

H.2 Excluded Functions and Responsibilities

Functions and responsibilities directly involved or associated with the management of any FTA

Office are expressly excluded from this contract or order issued hereunder. The parties hereby agree that any instructions, directives, or orders issued under this contract involving such management functions and responsibilities shall be null and void. The following activities are representative of the excluded functions and responsibilities that cannot be provided by the contractor under this contract or order issued hereunder:

(1) Policy making or management of FTA operations;

(2) Program or project management;

(3) Technical management of Government contracts;

(4) Government purchasing, contracting, contract administration, acceptance of materials and/or performance, and pay and accounting therefore;

(5) Direction or supervision of other Government contracts or Government agencies, or otherwise acting as an agent to obligate or commit in any capacity;

(6) Clerical and other administrative type functions required to be performed by civil service personnel; and

(7) Supervision of Government employees.

H.3 Non-Personal Service

As stated in the Office of Federal Procurement Policy (OFPP) Letter 92-1, dated September 23, 1992, “Inherently Governmental Functions,” (See FAR Subpart 2.101 for definition of

‘inherently government function’), no personal services shall be performed under this contract.

Contractor employees will not be directly supervised by the Government. All individual employee assignments, and daily work direction, shall be given by the applicable employee supervisor. If the Contractor believes any Government action or communication has been given that would create a personal services relationship between the Government and any Contractor employee, the Contractor shall promptly notify the Contracting Officer of this communication or action.

The Contractor shall not perform any inherently governmental actions under this contract. No

Contractor employee shall hold him or herself out to be a Government employee, agent, or representative. Contractor employees shall not state orally or in writing, at any time that he or she is acting on behalf of the Government. In all communications with third parties in connection with this contract, Contractor employees shall identify themselves as Contractor employees and specify the name of the company for which they work.

In all communications with other Government Contractors in connection with this contract, Contractor employees shall state that they have no authority to in any way change the contract and that if the other Contractor believes this communication to be a direction to change their contract, they should notify the Contracting Officer for that contract and not carry out the direction until a clarification has been issued by the Contracting Officer.

The Contractor shall insure that all of its employees working on this contract are informed of the substance of this clause. Nothing in this clause shall limit the Government's rights in any way under any other provision of the contract, including those related to the Government's right to inspect and accept the services to be performed under this contract. The substance of this clause shall be included in all subcontracts at any tier.

H.4 Contractor Personnel Maintenance of Professional Conduct

All personnel assigned by the Contractor to work under this contract must be acceptable to the

Government in their personal and professional conduct. Any person in the Contractor’s organization or in any subcontractor’s organization, who is deemed by the Contracting Officer or the COR whose conduct may affect the performance of the Contractor or the image of the FTA, shall be immediately removed from the assignment on the contract. The reason for removal must be documented in writing by the Contracting Officer. Employment and staffing difficulties are not adequate justification for failing to meet established schedules and if they impair performance, the Contractor may be subject to default. Any security violations, denials or revocations of security clearances may be construed as grounds for immediate removal from premises and the contract. The Contractor and its employees, subcontractors and or consultants shall only conduct business covered by this contract during periods paid for by the Government.

Contractor personnel shall abide by the normal rules and regulations applicable to Government and grantee premises on which they work, including any applicable safety and security regulations.

H.5 Section 508 Compliance

All electronic and information technology deliverables required under this contract must comply with Section 508 of the Rehabilitation Act and the Access Board Standards available for viewing at http://www.section508.gov. Unless otherwise indicated, the contractor represents by signature on this contract that all deliverables shall comply with the Access Board standards.”

http://www.section508.gov/

H.6 U.S Department of Transportation (DOT) Contractor Personnel Security and Agency

Access (November 2011)

Contractor personnel will be provided with identification badges and necessary access to facilities used to provide the services set forth in this contract based on the criterion below.

The following definitions are provided:

"Agency Access" means access to DOT facilities, sensitive information, information systems or other DOT resources.

"Applicant" is a contractor employee for whom the contractor submits an application for a DOT identification card.

"Contractor Employee" means prime contractor and subcontractor employees who require agency access to perform work under a DOT contract.

"Identification Card" (or "ID card") means a government issued or accepted identification card such as a Personal Identity Verification (PIV) card, a PIV-Interoperable

(PlV-I) card from an authorized PIV-l issuer, or a non-PIV card issued by DOT, or a non-

PIV card issued by another Federal agency and approved by DOT. PIV and PIV-l cards have physical and electronic attributes that other (non-PIV) ID cards do not have.

"Issuing Office" means the DOT entity that issues identification cards to contractor employees.

"Local Security Servicing Organization" means the DOT entity that provides security services to the DOT organization sponsoring the contract.

1. Risk and Sensitivity Level Designations — For contracts requiring access to DOT facilities, sensitive information, information systems or other DOT resources, the contractor employees will be required to complete background investigations, identity proofing, and government identification card application procedures to determine suitability for access. DOT will assign a risk and sensitivity level designation to the overall contract and/or to contractor employee positions by category, group or individual. The risk and sensitivity level designations will be the basis for determining the level of personnel security processing required for contractor employees.

IF THE DESIGNATED RISK IS:THE BACKGROUND INVESTIGATION IS:

Low: National Agency Check with Written Inquiries (NACI)

Moderate: Minimum Background Investigation (MBI)

High: Background Investigation (BI)

Contractor employees may also be required to obtain security clearances (i.e., Confidential, Secret, or Top Secret). National Security work designated "special sensitive," "critical sensitive," or "non-critical sensitive" will determine the level of clearance required for contractor employees. Personnel security clearances for national security contracts in DOT will be processed according to the Department of Defense National Industrial Security

Program Operating Manual (NISPOM).

2. Pre-screening of Contractor Employees - The contractor must pre-screen individuals designated for employment under any DOT contract by verifying minimal suitability requirements to ensure that only quality candidates are considered for contract employment, and to mitigate the burden on the Government of conducting background investigations on objectionable applicants. The contractor must exercise due diligence in pre-screening all employees prior to submission to DOT for agency access. DOT may decline to grant agency access to a contractor employee for reasons including, but not limited to:

a) Conviction of a felony, a crime of violence, or a misdemeanor involving moral turpitude.

b) Falsification of information entered on forms or of other documents submitted.

c) Improper conduct including criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct or other conduct adverse to the Government regardless of whether the conduct is directly related to the contract.

d) Any behavior judged to pose a potential threat to DOT facilities, sensitive information, information systems or other resources.

Citizenship and Alien Status - The contractor must monitor an alien's continued authorization for employment in the United States. The contractor must provide documentation to the

Contracting Officer or the Contracting Officer's Representative during the background investigation process that validates that the E-Verify requirement has been met for each contractor employee (see http://www.uscis.gov )

3. Background Investigation and Adjudication — The contractor employee must have a favorable adjudication of background investigation before DOT will issue an ID card to the contractor employee granting access to DOT facilities, sensitive information, information systems or other DOT resources. DOT may accept favorable adjudications of background investigations from other Federal agencies when applicants have held PIV cards issued by those agencies with no break in service. DOT may also accept PIV-I (interoperable) cards issued by an authorized PIV-I issuer as evidence of identity. A favorable adjudication does not preclude DOT from initiating a new investigation when deemed necessary. At a minimum, the

FBI National Criminal History Check (fingerprint check) must be favorably completed before a DOT identification card can be issued. Each contractor must use the Office of Personnel

Management's (OPM) e-QIP system to complete any required investigative forms.

Instructions for obtaining fingerprints will be provided by the COR or CO. The DOT Office of Security, M-40, or a DOT organization delegated authority by M-40, is responsible for adjudicating the suitability of contractor employees.

4. Agency Access Denied — Upon contract award, DOT will initiate the agency access procedure for all contractor employees requiring access to…