FY2023 CORTAP Base Contract Solicitation - Section C - FINAL.docx

SECTION C STATEMENT OF WORK

C.1 Overview

The Federal Transit Administration (FTA) is one of eleven modal agencies within the United States (U.S.) Department of Transportation (DOT). FTA invests more than $13 billion annually to support and expand public transit through several different formula and discretionary funding programs authorized under Chapter 53 of Title 49 of the United States Code (49 U.S.C. Chapter 53).

The largest of these funding programs is the Urbanized Area Formula Grant program (49 U.S.C. §5307), which provides funding to transit providers in urbanized areas. FTA currently has approximately 653 Section 5307 award recipients (Recipients) that range in size and complexity from small transit operators that only provide bus and para-transit service to large and complex agencies that provide bus, rail, and ferry service. Geographically, these Recipients are located throughout all 50 states and in the U.S. territories.

Other funding programs authorized under 49 U.S.C Chapter 53 include:

C.1.1 Planning grants for States, authorities of the States, metropolitan planning organizations, and local governmental authorities (Sections 5303, 5304, and 5305) C.1.2 Capital investment grants for new starts, small starts, and core capacity improvements (Section 5309) C.1.3 Formula grants for the enhanced mobility of seniors and individuals with disabilities (Section 5310) C.1.4 Formula grants for rural areas (Section 5311) C.1.5 Accelerating Innovative Mobility (Section 5312) C.1.6 Human Resources & Training (Section 5314) C.1.7 Emergency Public Transportation Relief (Section 5324) C.1.8 Transit Cooperative Research Program (Section 5326) C.1.8 Public Transportation Safety (Section 5329) C.1.9 State of Good Repair (Section 5337) C.1.10 Bus and Bus Facility (Section 5339)

FTA is responsible for conducting oversight activities to help ensure that recipients of Chapter 53 awards use the funds in a manner consistent with their intended purpose and in compliance with regulatory and statutory requirements. To accomplish this, FTA utilizes multiple contractors to conduct comprehensive oversight reviews of these Recipients.

C.2 Background

FTA's comprehensive oversight reviews take a broad look at Recipient management practices as well as compliance with program and administrative requirements across a broad spectrum of topic areas in accordance with 49 U.S.C. Chapter 53. Areas of review include financial management and capacity, technical capacity, maintenance, procurement, civil rights, and others. Each year, the specific content of the comprehensive reviews is modified to reflect any changes in statutory requirements made over the preceding year in the funding programs and FTA policy.

In addition to helping evaluate Recipients, these reviews give FTA an opportunity to provide technical assistance on FTA requirements and aids FTA in reporting to the Secretary, Congress, other oversight agencies, and the transit community on FTA programs.

Historically, FTA's comprehensive oversight reviews have been split across two programs the Triennial Review and the State Management Review.

The Triennial Review was mandated by Congress in 1982 for each recipient of Section 5307 funds and is codified in 49 U.S.C. § 5307(h) (2), which states:

At least once every 3 years, the Secretary shall review and evaluate completely the performance of a recipient in carrying out the recipient's program, specifically referring to compliance with statutory and administrative requirements and the extent to which actual program activities are consistent with the activities proposed...

The State Management Review has typically focused on states receiving Section 5311 funds. These reviews also occur every three years and use a format and process similar to the Triennial Review.

49 U.S.C. §5338 provides the statutory basis for FTA's oversight responsibilities and the funding available to carryout oversight activities. In addition, 49 U.S.C. §5338 authorizes FTA to provide technical assistance to correct deficiencies found during oversight reviews and to promote overall Recipient compliance.

Since 1990, the FTA has utilized contractor support to conduct comprehensive oversight reviews, present Recipient training workshops across the country, and provide targeted technical assistance to Recipients. In any given year, the FTA may conduct about 250 comprehensive reviews and sponsor 20-30 workshops.

While the Triennial Review and the State Management Review have served well at providing sufficient oversight for the majority of FTA funding recipients, changes in existing as well as new funding programs, new types of designated recipients, changing relationships between recipients and their partner agencies, as well as a desire to provide sufficient oversight for Recipients that do not conform to a typical State DOT or 5307 funding recipient have necessitated a more flexible comprehensive oversight review program.

C.3 Objectives

Important objectives of the Comprehensive Review oversight program include:

C.3.1 Assessing and documenting Recipient compliance with Federal requirements;

C.3.2 Identifying technical assistance needs, at the Recipient level and at the national level, and delivering technical assistance to meet those needs;

C.3.3 Spotting emerging issues with Recipients in a forward-looking fashion;

C.3.4 Recognizing when there is a need for more in-depth reviews in specific review areas;

C.3.5 Identifying Recipients with recurring or systemic issues;

C.3.6 Highlighting policy issues and informing policy development;

C.3.7 Understanding trends and cross-cutting issues at the national level;

C.3.8 Informing curriculum development of FTA-sponsored technical training courses; and C.3.9 Aiding in the development of reports to FTA and DOT leadership, Congress, other oversight agencies and the transit community in general.

In addition, this new comprehensive oversight review program will provide a review process that is tailored to the specific funding program requirements through which each Recipient receives funding. These comprehensive reviews may examine Recipient compliance in any or all of the following areas:

Depending on the oversight needs and specific funding sources of a recipient, or changes in program requirements or FTA policy, the FTA may add additional review areas at its discretion.

C.4 Definitions Work Statement

C.4.1 Tier Designations

FTA recognizes that the contractor's level of effort to conduct a Comprehensive Review for a very large and complex agency is greater than it is for a small Recipient. In light of this increased effort, the FTA has designated Five (5) Tiers to accurately reflect the level of effort for each.

C.4.1.1 Tier 1: Any Recipient with annual operating expenses of $5 billion or greater.

C.4.1.2 Tier 2: Any Recipient with 1) annual operating expenses of $1 billion or greater C.4.1.3 Tier 3: Any Recipient with 1) annual operating expenses of $100 million or greater and a peak fleet size of over 500 vehicles.

C.4.1.4 Tier 4: Any non-state direct recipient of 5307 funds that are not included in Tiers 1, 2, or 3.

C.4.1.5 Tier 5: Any Recipients that is a State DOT or Instrumentality of a State this is not included in Tier 1, 2, 3, or 4.

Tier designations are solely a mechanism for tracking level of effort, based on the operating expenses of the Recipient. FTA reserves the right to modify Tier definitions as necessary to represent actual or anticipated level of effort more accurately. Tiers are not to be misconstrued as indicating any other designation (i.e., risk).

FTA alone will determine the Tier level for each Recipient that will receive a comprehensive oversight review based on the most recent publicly available National Transit Database at the time of review assignment. This list will be provided to contractors each program year. A preliminary list of recipients and their Tier designations is included in Appendix A, Section J.3

Regardless of the tier level of the Recipient, Contractor shall conduct the Comprehensive Oversight Review and Technical Assistance Program as indicated below and in accordance with all relevant Standard Operating Procedures.

C.4.2 Standard Operating Procedures (SOP)

The Contractor shall perform Comprehensive Oversight Review and Technical Assistance work in accordance with all appropriate FTA Review Manuals and SOPs. Current relevant SOPs include the Triennial Review SOP (Appendix B), State Management Review SOP, Comprehensive Review and Findings Management SOP. Theses SOPs can be found in Section J.

Any work conducted in contradiction of an established SOP may be considered non-performance by the Contractor. In the event of a discrepancy between this Statement of Work and any SOP governing the Comprehensive Oversight Review and Technical Assistance Program, the requirements of the SOP will take precedence. FTA reserves the right to modify any SOP governing this program or issue new SOPs without issuing a contract modification when such changes do not materially affect Contractor deliverables or levels of effort. Any work performed in variance to the SOP must be done only at the written approval of the COR.

C.4.3 Documentation Requirements

The Contractor shall thoroughly document and preserve work efforts described in this statement of work, provide documentation as required or requested to appropriate FTA offices, and upload required or requested documentation to FTA's oversight system of record or other identified information repository. This includes but is not limited to:

C.4.3.1 Completed review manuals, working papers, information request responses and background research C.4.3.2 Correspondence related to work assigned under this contract C.4.3.3 Technical memoranda C.4.3.4 Draft and final reports C.4.3.5 Other documentation as requested and assigned

C.4.4 Program and Regional Office Coordination

For all oversight activities the Contractor shall coordinate with the COR and appropriate Regional Office or TCR, TRI and TPM as it relates to a review or assessment. If the Contractor requires input or coordination from an HQ Program Office or individual, the Contractor shall send the information to the COR for coordination with the appropriate HQ Program Office or individual. There shall be no direct contact with the HQ Program Offices or individuals with the exception of draft reports requiring review. This includes, but is not necessarily limited to:

C.4.4.1 The Office of Civil Rights (TCR) C.4.4.2 The Office of Program Management (TPM) C.4.4.3 The Office of Research, Innovation and Demonstration (TRI) C.4.4.4 The Office of Safety and Oversight (TSO) C.4.4.5 The Office of Planning and Environment (TPE) C.4.4.6 The Office of the Chief Counsel (TCC) C.4.4.7 The Office of Budget and Policy (TBP) C.4.4.8 The Office of Administration (TAD) C.4.4.9 The Office of Regional Services (TRS) C.4.4.10 Subject Matter Experts in various offices (SMEs)

Some HQ Offices such as TCC and TCR maintain staff in FTA's regional offices.

C.4.5 Accessibility and Language Requirements

Contractor shall ensure that:

C.4.5.1 All materials are in accessible formats and usable by persons with disabilities upon request C.4.5.2 All web-based materials comply with Section 508 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794 (d)) C.4.5.3 Spanish translators are provided upon request C.4.5.4 Sign language interpreters are provided upon request

C.5 Statement of Work Functional Areas and Tasks

The work statement that follows is divided into three (3) functional areas.

C.5.1. Program Management & Support

Within this functional area, the contractor shall be responsible for overall management of the contractor team, administrative functions associated with the contract, regular program reporting, attendance and participation at meeting and conferences as requested, and special assignments within scope as requested by the COR.

C.5.2. Recipient Compliance

Within this functional area, the contractor shall be responsible for performing oversight reviews (including enhanced review modules), providing compliance-related technical assistance for recipients, and offering corrective action support for FTA regional and program offices as requested by the COR.

C.5.3. Recipient and FTA Staff Training

Within this functional area, the contractor shall be responsible for designing, coordinating, planning, executing, and facilitating FTA-sponsored Program Oversight meetings and workshops; developing and producing online training modules and case study videos; recording and/or simulcasting recipient workshops; hosting webinars; and other assignments as requested by the COR. All training materials and modules shall be Section 508 compliant. All recordings must be submitted to the FTA COR for review and posting on the FTA Website as appropriate. Contractors are prohibited from posting on any forum.

C.6 Functional Area 1: Program Management and Program Oversight Support

C.6.1. Task and CLIN 1: Program Management

Tasks within this CLIN shall include:

C.6.1.1 Contract Kick off Meeting

The Project Manager from each contractor team shall participate in a contract kickoff meeting with the Contracting Officer (CO), Contracting Officer's Representative (COR), and Office of Program Oversight within two weeks of base contract award. No work may begin on the contract or first task order until after this meeting occurs.

C.6.1.2 Monthly Progress and Program Performance Reports

Concurrent with the Monthly Invoice, the Contractor shall produce a monthly progress report and issue log summarizing the work performed in the previous month and the status of their work. The monthly report is due with the invoice and should cover all work performed the preceding month. A report template that Contractor shall use and complete in full each month is provided in Appendix H Section J.8. The issue log template that the contractor shall use is provided in Appendix H Section J.8. The report and issue log templates may be updated yearly or more often as necessary by the COR.

C.6.1.3 Quarterly Contractor Meetings

Contractor shall participate in quarterly meetings with the Office of Program Oversight. These meetings will either be conducted in person or by conference call at the discretion of the COR. The Office of Program Oversight will schedule these meetings and develop the agendas. Upon request from COR, Contractor shall suggest agenda topics, report on specific issues or concerns, and/or document discussion points and action items and provide a written summary to the COR. While the exact timing of these meetings will be at the discretion of the COR they will roughly occur as follows:

C.6.1.3.1 Annual kick-off meeting: Contractor shall participate in an annual review cycle kickoff meeting. This meeting will typically occur in August. FTA will review the upcoming year's work schedule and task orders; any changes to the manner in which the reviews are to be conducted; any new or modified regulations and guidance that have been incorporated into the content of the Comprehensive Reviews; and any other pertinent contractual, procedural or administrative matters. At the discretion of the Office of Program Oversight, this meeting may be combined with the Annual Contractor's Summit as described below or other Program Oversight events. Contractor Technical Project Managers and all Lead Reviewers shall participate in this meeting unless otherwise directed by the COR. Other staff shall participate at the request of the COR. In the event a team member is not able to attend, Consultant's Technical Project Manager shall ensure all information provided in the meeting is quickly and accurately conveyed to the absent team members.

C.6.1.3.2 Check-in meetings: After the annual kick-off meeting, Contractor Technical Project Managers and all Lead Reviews shall participate in quarterly check-in meetings to discuss and resolve any issues that have emerged during the review process.

C.6.1.4 Program Meetings, Conference Calls, and Administration

Periodically, upon request, the Contractor shall participate in meetings and conference calls with the Office of Program Oversight, other FTA program offices, or FTA regional offices to, among other things, discuss comprehensive review program matters, draft, clarify and refine work plans, or provide contractual clarification or guidance as needed. Upon request, the contractor shall provide a written summary of key discussion points and action items.

C.6.1.5 FTA's Annual Oversight Conference

Contractor shall participate in FTA's Annual Oversight Conference, typically held in March. Attendance at this meeting is comprised of senior FTA leadership, oversight staff from FTA headquarters and regional offices, invited staff from other program offices, and FTA program oversight contractors. All contractor teams are expected to be represented at and actively participate in this meeting. FTA, at its discretion, may limit the number of attendees from each contractor team. Notification will be provided by the COR in advance of each conference. Upon request from COR, Contractor shall develop presentations, talking points, agendas, or other materials related to the Annual Oversight Conference.

C.6.1.6 Program Oversight Contractors Summit

Contractor shall participate in the Office of Program Oversight's Annual Contractor Summit. This annual summit of oversight review contractors is designed to provide a forum for contractors to better understand how other contractor teams approach and conduct reviews, training, and technical assistance; develop and share best practices; and improve the consistency in how FTA contractors conduct oversight reviews and identify findings of deficiency. All contractor teams are expected to be represented at and actively participate in this meeting. FTA, at its discretion, may limit the number of attendees from each contractor team. Notification will be provided by the COR in advance of each conference. Upon request from COR, Contractor shall develop presentations, talking points, agendas, or other materials related to the Program Oversight Contractors Summit.

C.6.1.7 Other Oversight Events

Contractor may be asked to attend, interact, and present findings, trends, etc., with the other oversight Contractors, Recipients, and FTA representatives during other oversight events, conferences, and/or meetings as directed by the COR.

CLIN 1 Deliverables

C.6.1.3 C.6.1.4 C.6.1.7

C.6.1.5 C.6.1.6

C.6.2. Task and CLIN 2: Special Assignments

Within this CLIN, the Contractor may be tasked with various work items and special assignments to support FTA's program oversight activities. At the direction of the COR, the Contractor shall provide all resources necessary to perform tasks such as, but not necessarily limited to, the following:

C.6.2.1 Special Assignment Work Plans and Budgets

Assignments will be tasked to Contractors based on specific needs of FTA and specific capabilities of the Contractor. In advance of each assignment, the Contractor shall submit to the COR:

C.6.2.1.1 Special Assignment Work Plan - The Contractor shall submit a special assignment work plan for each assignment detailing the Contractor's understanding of the assignment, work tasks to be undertaken, deliverables to be provided to FTA, and schedule for assignment completion.

C.6.2.1.2 Special Assignment Budget - The Contractor shall submit a budget detailing the labor and direct expenses that the Contractor will incur to complete the assignment.

Contractor shall not begin work on the assignment until the Special Assignment Work Plan and Budget have been approved by the COR and the COR has issued a written approval for work to begin. Once approved by the COR, the Special Assignment Work Plan shall be considered the assignment scope of work and the Special Assignment Budget shall be considered the not-to exceed (NTE) amount for the assignment. Any deviation from the Special Assignment Work Plan or Special Assignment Budget must be approved, in writing, by the COR in advance of the Contractor performing any work not included in the Special Assignment Work Plan or billing beyond the NTE amount.

C.6.2.2 Special Assignment Task Deliverables

Special assignment tasks may include assignment-specific deliverables. These will be described in the Special Assignment Work Plan along with the format for deliverables and schedule and mechanism for delivery.

C.6.2.3 Special Assignment Technical Memorandum

After each assignment, unless otherwise notified by the COR, Contractor shall submit a Special Assignment Technical Memorandum detailing the work performed, discussing issues of note, suggesting next steps for FTA as appropriate.

Task and CLIN 2 Deliverables

assignment.

C.7 Functional Area 2: Recipient Compliance

C.7.1. Task and CLIN 3: Comprehensive Oversight Reviews

The tasks described below are intended to provide a high-level overview of the comprehensive review process. Contractor shall conduct all reviews in accordance with applicable Review Manuals/Workbooks and SOPs and within the framework of the Office of Program Oversight's Annual Oversight Lifecycle. For all Recipients receiving 5307 funds, Contractor shall call and document the comprehensive review as a "Triennial Review." Reviews for all other Recipients will be Comprehensive Oversight Reviews unless otherwise directed by the COR.

C.7.1.1 Annual Regional Kickoff Meetings

The Contractor shall initiate and schedule a Comprehensive Review kickoff conference call with each FTA regional office and/or Program Office identified in the Contractor's annual task order. The Contractor shall meet separately with each region (including the Regional Civil Rights Officer and Regional Counsel) and/or Program Office to which they are assigned. The Contractor shall invite the COR to participate in each meeting. Contractor shall document the meeting and provide a written summary of key discussion points and action items to the COR and appropriate FTA Offices. The purpose of the kickoff teleconference for the Contractor is to:

C.7.1.1.1 Receive an overview of Regional and/or Program Office staffing in terms of organizational structure and specific staff that the contractors will be coordinating with for each review;

C.7.1.1.2 Review the list of Recipients receiving a Comprehensive Review;

C.7.1.1.3 Receive pertinent information about those Recipients from the Regional and/or Program Office;

C.7.1.1.4 Discuss with Regions which recipients would require a full on-site review, or where a hybrid or virtual approach would be effective; and C.7.1.1.5 Receive Regional and/or Program Office perspectives and considerations for scheduling and coordinating the reviews.

C.7.1.2 Prepare a Recipient Information Request Package and Cover Letter

For each Recipient assigned, the Contractor shall prepare a Recipient Information Request (RIR) package and cover letter using a pre-determined template provided by FTA. Contractor shall deliver the RIR packages and cover letters to the appropriate regional and/or program office. Contractor shall, as necessary, send and review responses to additional information requests based on background research, discussions with regional and program offices, and decisions made during Scoping Meetings. This may include, but not be limited to additional information requests for clarification on issues not appropriately addressed in the initial RIR response.

C.7.1.3 Review Scheduling

Contractor shall contact assigned Recipients to discuss and schedule the review dates. The Contractor shall coordinate with regional and/or program office staff and the Recipient to determine suitable site visit and/or virtual review dates. Contractor may need to offer multiple dates to avoid conflicts with previously scheduled external Recipient reviews or audits. No review may begin until after the Scoping Meeting (see below) is complete for the Recipient. All reviews must be complete (through exit conference) before the end of the federal fiscal year (September 30). The schedule of reviews shall be included in the Work Plan, described below.

C.7.1.4 Work Plan

Concurrent with scheduling reviews, the Contractor shall develop and submit a preliminary Work Plan to the COR and Regional Office. The plan must address any challenges the Contractor is encountering or anticipates in meeting deliverables (such as potential unavailability of key regional staff). Contractor shall submit to the COR and Regional Office, updated Work Plans following Scoping Meetings, final scheduling of review activities, addition or removal of any assigned review activity, changes in personnel or assignments. The work plan shall include, but may not be limited to the following:

C.7.1.4.1 List of Recipients to be reviewed;

C.7.1.4.2 Regional Comprehensive Review Coordinator contact information;

C.7.1.4.3 Primary Contractor contact person;

C.7.1.4.4 Schedule/dates for review activities;

C.7.1.4.5 Contractor personnel anticipated to participate in each activity;

C.7.1.4.6 Other fields as requested or required.

C.7.1.5 Recipient Conference Call

After distribution of the prereview assessment package, Contractor shall organize a conference call with Recipients in each region, FTA Regional and/or Program Office Staff, and the COR. The intent of this call is to introduce reviewers to their Recipients, explain the review process, and answer questions about the review process and how to complete the Recipient Information Request package. FTA anticipates these calls may last several hours to respond to recipient questions about the RIR package. FTA anticipates that conference calls may include one or more recipients (up to, but not necessarily, all recipients within a region).

C.7.1.6 Perform Pre-Scoping Review of Recipient

An important part of the pre-Scoping review is to begin assessing the Recipient's compliance. In addition, this review phase is also intended to identify activities and events in the Recipient's foreseeable future which may pose a potential risk to the Recipient if not mitigated in advance (e.g., a Recipient planning a construction project for the first time, upcoming or recent changes in key staff, potential reduction in service, changes in local funding sources, etc.). There are three main components to the Contractor's pre-scoping review assessment activities for each Recipient:

C.7.1.6.1 During the time that a Recipient is preparing responses to the RIR package, the Contractor shall perform background research on the Recipient by retrieving and reviewing readily available Recipient information from the web and FTA's files or software systems. Information to be reviewed shall include, but not be limited to:

C.7.1.6.1.1 TrAMS or ECHO system data to obtain information on open awards, including budgets, balances remaining, disbursement activity and financial status and progress reports;

C.7.1.6.1.2 Certifications and Assurances;

C.7.1.6.1.3 Civil Rights files;

C.7.1.6.1.4 Audit reports, if available, including required Single Audits from the Federal Audit Clearing House and any pertinent Government Accountability Office (GAO) or Office of Inspector General (OIG) audits;

C.7.1.6.1.5 Planning files, including key documents and results of the Planning Certification Review C.7.1.6.1.6 National Transit Database correspondence;

C.7.1.6.1.7 Any complaints on file regarding civil rights, American with Disabilities Act (ADA) compliance, charter bus service, school bus service;

C.7.1.6.1.8 Buy America waiver requests;

C.7.1.6.1.9 Prior oversight reports, findings, and files contained in TrAMS.

C.7.1.6.2 The Contractor shall independently review the Recipient's answers and the Recipient-provided documents received in response to the RIR package. To the extent possible in the pre-review assessment, the Contractor shall utilize available background information to verify the accuracy and completeness of answers and documents received from Recipient. Contractor shall communicate with the Recipient to receive any clarifications for answers or request additional documentation or responses needed in order to complete the review of the Recipient assessment. Contractor shall use the Comprehensive Review Manual to track notes, issues, and questions related to each Recipient and begin to verify compliance with requirements.

C.7.1.6.3 For each Recipient assigned, the Contractor shall develop recommendations, as appropriate as to whether an Enhanced Review Focus (see below) should be added to the Comprehensive Review. The Contractor shall include supporting documentation and rationale from background research and RIR responses for all such recommendations.

C.7.1.7 Hold Scoping Meetings

The pre-review assessment phase, for each Recipient assigned, culminates in a Comprehensive Review scoping meeting held with the FTA Regional Office (including the Regional Civil Rights Officer) and/or Program Office. Contractor shall invite the COR to participate in these meetings. Unless otherwise directed and approved by the COR, all scoping meetings will be conducted via conference call.

It is expected that each scoping meeting will address multiple Recipients. In some cases, a region may hold one scoping meeting lasting a day or more to discuss all Recipients in their region receiving Comprehensive Reviews for the year. In very limited cases, such as in a region with a large number of Recipients, more than one scoping meeting may be required.

The Contractor shall be responsible for coordinating with the FTA regional office staff to schedule and prepare for these scoping meetings. The Contractor shall complete and submit the Scoping Worksheet and Recommendations Form to the FTA regional office and the COR in advance of the scoping meeting.

It is FTA's intention to determine at the scoping meeting(s) if an enhanced review focus will be included in the Contractor's Comprehensive Review scope of work for each Recipient. The Contractor and region will jointly discuss the results of the Contractor's pre Scoping assessment and the region's knowledge of the Recipient. The Contractor shall be prepared to discuss and justify any recommendations made for including one or more enhanced review focuses as part of the Comprehensive Review and shall highlight any other specific issues identified. Based on these discussions, the FTA will determine if the Recipient is a suitable candidate for an enhanced oversight focus in addition to the baseline Comprehensive Review. However, the Contractor shall conduct an enhanced review focus, only when tasked to do so by written approval from the COR (See below for information on enhanced review modules.)

C.7.1.8 Prepare Agenda Package

Contractor shall prepare and send an Agenda Package to the Recipient and Regional and/or Program Office. This agenda package may include, but not be limited to:

C.7.1.8.1 Key contractor and Recipient contact information C.7.1.8.2 Entrance and Exit Conference dates, times; locations, call-in numbers and virtual platform (i.e., MS Teams, Zoom) information (if needed) C.7.1.8.3 Interview topic areas, interviewer, locations, times, and required attendees C.7.1.8.4 RMs to be conducted, subject matter expert leading review, locations, times, and required attendees for interviews.

C.7.1.8.5 Types files to be reviewed, location for on-site or method of transmission for hybrid or virtual reviews of the file and length of time the files will be needed C.7.1.8.6 Facilities and other assets to be inspected, time and location of inspections, contractor conducting inspections, Recipient point of contact C.7.1.8.7 A list of key outstanding questions that need to be resolved or clarified on-site C.7.1.8.8 Other information requested or required

C.7.1.9 Conduct the Review

The Contractor shall use the Comprehensive Review Workbook to conduct the visit in accordance with standard operating procedures. Contractor shall coordinate with Regional Office to determine FTA participation in any review activities. The review includes the following major activities:

C.7.1.9.1 Conducting an entrance conference with the Recipient;

C.7.1.9.2 Performing an examination of each review area applicable to the Recipient;

C.7.1.9.3 Performing an examination of any enhanced review module(s), if applicable;

C.7.1.9.4 Selecting and inspecting facilities, vehicles, and other major assets as appropriate and as determined in coordination with the FTA regional and/or Program office, if on-site visit;

C.7.1.9.5 Selecting and inspecting sample records, files and other source documents for examination;

C.7.1.9.6 Prepare a Summary of Preliminary Findings resolved through technical assistance or submission of revised documentation prior to or during the review.

C.7.1.9.7 Preparing a Summary of Preliminary Findings in consultation with FTA Regional staff;

C.7.1.9.8 Conducting an exit conference with the Recipient and review the Summary of Preliminary Findings; and C.7.1.9.9 Other activities as requested or required.

C.7.1.10 Develop the Draft Report

Once the review has concluded, the Contractor shall complete any final analysis of data collected during the in-person or virtual site visits, prepare a draft Comprehensive Review report and cover letter, gain necessary approvals, and provide it to the Regional and/or Program Office in MS Word format for transmittal to the Recipient. The Contractor shall revise the draft report if requested by the COR, Regional Office, TCR or SMEs. Once the draft report has been issued to the Recipient; the contractor shall upload it, with the signed cover letter, as a single PDF document, to OTRAK.

C.7.1.11 Develop the Final Report

In consultation with the Regional and/or Program Office, the Contractor shall prepare a final report, incorporating changes to the draft report based on Recipient and FTA comments, if any, to the draft report. The final report and cover letter shall be provided to the Regional and/or Program Office in MS Word format for transmittal to the Recipient. Once the final report has been issued to the Recipient, the contractor shall upload it, with the signed cover letter, as a single PDF document to OTRAK.

C.7.1.12 Review Wrap-up

To wrap up a Comprehensive Review, Contractor shall verify all applicable data and documents are accurately input and uploaded into OTrak and provide copies of the Contractor's work papers to FTA.

At its discretion, FTA may choose, where not prohibited by law, to assign assessment or assistance-based reviews for certain Recipients in lieu of a standard Comprehensive Review. This may include but is not limited to Recipients such as American Indian Tribes, Alaska Native Entities, Cooperative Research Grant holders, and new or existing Recipients. Upon assignment of one of these review by the COR, Contractor shall conduct the review in a similar manner to a standard Comprehensive Review with the exception that, unless otherwise notified by the COR, no official findings of deficiency will be made. Contractor shall provide technical assistance to the Recipient during the review process for any areas of non-compliance discovered. Contractor shall note in the draft and final report any areas of non-compliance as well as the assistance provided to the Recipient.

Task and CLIN 3 Deliverables

C.7.2. Task and CLIN 4: Enhanced Review Focus (ERF)

Upon approval from the COR, the Contractor shall conduct an enhanced level of review for Recipients based on the outcome of the pre-review assessment phase, scoping meeting, and/or review. These ERFs are designed to focus on the Comprehensive Review compliance areas that have historically posed the greatest challenges to FTA's Recipients. ERFs are to be conducted by the approved contractor Subject Matter Expert for the specific topic area as defined in the base contract or any subsequent modification. ERFs must be scaled and customized in consultation with FTA Regional and/or Program Office and the Office of Program Oversight to best meet the oversight need for a particular recipient. Examples of ERFs include but are not limited to and can be conducted in any review area:

C.7.2.1 Follow-up on prior review CORTAP findings to ensure intended corrective action has been implemented and the recipient is in compliance with FTA requirements.

C.7.2.2 Identification of specific issues by the Regional Office or Office of Civil Rights in CORTAP review areas.

C.7.2.3 Review of specific policies and procedures to ensure adherence to and compliance with requirements.

C.7.2.4 The review work performed identified areas of non-compliance and a more informed assessment of an area is required to determine if the recipient is in compliance with federal requirements.

C.7.2.5 Areas of focus may be:

C.7.2.5.1 Technical Capacity to include organizational structure, level of agencies senior management team and staff technical expertise, training and experience, and staffing turnover; and manner in which awards are managed and closed and transit service is delivered.

C.7.2.5.2 Financial Capacity to review recipient’s financial health in the next one-three years and ability to meet their non-federal match requirements, sustain current and proposed levels of transit service and maintain their federally funded assets in a state of good repair.

C.7.2.5.3 Financial Management to include review of internal controls; processes and procedures for financial reporting, maintenance of accounting records and allowable costs charged.

C.7.2.5.4 Procurement to review how recipients conduct different types of procurements and their ability to use those methods, and contract award and management processes.

C.7.2.5.5 Disadvantaged Business Enterprise (DBE) to review recipient implementation of requirements under DOT DBE regulations (49 CFR Part 26) including but not limited to DBE Liaison Officer requirements, goal setting methodology, shortfall analysis, DBE certification standards and examination of DBE Program Plan, and monitoring and reporting procedures.

C.7.2.5.6 Americans with Disabilities (ADA) to review for recipient compliance with ADA regulations as they (1) build or alter facilities; (2) procure new or remanufactured transit service vehicles and rolling stock; and (3) deliver transit service through the review of policies and procedures, specifications and engineering drawings, service and maintenance data, and service denials and procedures.

C.7.2.5.7 Title VI to review recipient's practices associated with major service changes and fare changes, planning certifications, and weaknesses or inconsistencies in the recipients Title VI program.

C.7.2.5.8 Maintenance to review asset management practices, state of good repair of federally funded assets and weaknesses in maintenance processes.

An ERF may be assigned, at FTA's sole discretion, to the Contractor as part of a planned Comprehensive Review.

Where assigned as part of a planned review, the Contractor shall integrate the preparation, examination, analysis, report writing functions and all other such activities associated with any enhanced review focuses into the standard Comprehensive Review process by adding appropriate subject matter experts as needed to the Contractor's Comprehensive Review team and conducting these enhanced levels of review focus concurrently with other Comprehensive Review activities. For ERFs assigned as a follow-on or standalone review activity, the Contractor shall follow the same procedures and deliverables outlined in this Comprehensive Oversight Review CLIN and the relevant SOPs.

FTA reserves the right to modify ERFs to meets its oversight needs without issuing a contract modification. FTA also reserves the right to task this enhanced review effort to other FTA review contractors or review programs if the agency determines that doing so would more effectively mitigate the potential risks or deficiencies identified.

Task and CLIN 4 Deliverables

For ERFs conducted as follow-on or stand-alone review activity. See Comprehensive Oversight Review CLIN for additional deliverable details.

C.7.3. Task and CLIN 5: Corrective Action Support

To facilitate the timely resolution of Program Oversight Review findings, the Contractor shall, at the direction of the COR, provide targeted assistance to FTA regional or program office staff to review material submitted by a Recipient to verify that the Recipient has successfully fulfilled the requirements of a corrective action.

C.7.3.1. Corrective Action Support Work Plan and Budget

Corrective Action Support Assignments will be tasked to Contractors based on specific needs of FTA and specific capabilities of the Contractor. In advance of each assignment, Contractor shall submit to COR:

C.7.3.1.1 Corrective Action Support Work Plan - The Contractor shall submit Corrective Action Support work plan for each assignment detailing the Contractor’s understanding of the assignment, work tasks to be undertaken, deliverables to be provided to FTA, and schedule for assignment completion.

C.7.3.1.2 Corrective Action Support Budget - The Contractor shall submit a Corrective Action Support Budget detailing the labor and direct expenses that the Contractor will incur to complete the assignment.

The Contractor shall not begin work on the assignment until the Corrective Action Support Work Plan and Corrective Action Support Budget have been approved by the COR and the COR has issued a written approval for work to begin. Once approved by the COR, the Corrective Action Support Work Plan shall be considered the assignment scope of work and the Corrective Action Support Budget shall be considered the not-to-exceed amount for the assignment.