PSR RFP 69319520R000007.pdf

Request for Proposal (RFP) No. 69319520R000007 Procurement System Review (PSR)

SECTION B: SUPPLIES OR SERVICES AND PRICES

B.1 Supplies or Services

The United States (US) Department of Transportation (DOT), Federal Transit Administration (FTA) anticipates awarding multiple Indefinite Delivery, Indefinite Quantity (IDIQ) contracts that will allow for Firm-Fixed Price (FFP) and Labor-Hour hybrid task orders. This requirement is a total small business set-aside. The Period of Performance (POP) will be a five-year term, one base year period of 12 months and four (4) one (1) year option periods for each IDIQ contract.

The FTA has a vested interest in assisting recipients to maintain efficient and effective procurement systems as well as a responsibility to ensure that its recipients expend their funds in accordance with FTA regulations, the Uniform Administrative Requirements, Cost Principles, Audit Requirements for Federal Awards at 2 Code of Federal Regulation (CFR) Part 200 (Uniform Guidance), and contractual agreements with FTA. To carry out this responsibility, FTA has established an oversight framework that is comprised of recipient self-certifications, annual single audits conducted in accordance with 2 CFR Part 200, and FTA oversight reviews, including the Procurement System Review (PSR). The total estimated value for this overall program requirement is no more than $19.8 million across a total of five years concerning performance.

MAXIMUM QUANTITY: The minimum value specified herein, represents the total minimum amount of work effort (in terms of dollars) that the Government is required to order and the contractor is obligated to furnish as ordered, over the entire term of the contract. The total minimum value of this contract is $TBD. The government reserves the right to withhold this minimum amount if the vendor demonstrates consistent lack of interest in competing for orders throughout the life of the contract.

MAXIMUM QUANTITY: The maximum value of the contract specified herein, represents the total maximum amount of work effect (in terms of dollars) that the Government may require and the contractor is obligated to furnish if and as ordered, over the entire term of the contract. The total maximum value of this contract is $TBD.

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 $16.5 Million.

B.3 Contract Line Item Number (CLIN) Structure

CLIN 0001 – Program Management CLIN 0002 – Special Assignments CLIN 0003 – PSR Oversight Reviews CLIN 0004 – Corrective Action Support CLIN 0005 – Targeted Technical Assistance CLIN 0006 – Oversight Workshops CLIN 0007 – Recipient Training Modules CLIN 0008 – Other Direct Costs (ODC) CLIN 0009 – Travel

B.4 Contract Period of Performance The contract period of performance is from date of award through a five-year period including a one (1) year base and four (4) one-year option periods. The Federal Acquisition Regulation (FAR) clause 52.217-8 “Option to Extend Services” NOV 1999, shall be incorporated into the resulting contracts, 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 term.

B.5 Pricing/Labor Rates Table The contractor shall enter prices using the Pricing spreadsheet provided in Section J.2 of this solicitation.

*NOTE: The labor categories in the Pricing Template (Attachment J.2) shall be used for the total life of the requirement. If the labor categories for this requirement change but within scope of the contract, a modification must be executed to clearly reflect this to ensure clarity concerning the labor categories authorized for use. The resulting contracts will be awarded to the contractor based within the pre-established labor rates as stated using the CLIN structure in the Pricing Template (Attachment J-2).

(END OF SECTION B)

SECTION C: DESCRIPTION/ STATEMENT OF WORK

C.1 Background

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 $12 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).

FTA is responsible for conducting procurement oversight activities to help ensure that recipients of Chapter 53 grants 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 Objectives

The FTA has a vested interest in assisting recipients to maintain efficient and effective procurement systems as well as a responsibility to ensure that its recipients expend their funds in accordance with FTA regulations, the Uniform Administrative Requirements, Cost Principles, Audit Requirements for Federal Awards at 2 Code of Federal Regulation (CFR) Part 200 (Uniform Guidance), and contractual agreements with FTA. To carry out this responsibility, FTA has established an oversight framework that is comprised of recipient self-certifications, annual single audits conducted in accordance with 2 CFR Part 200, and FTA oversight reviews, including the Procurement System Review (PSR).

Important objectives of the Procurement System Review oversight program include:

C.2.1 Encouraging and facilitating improved recipient procurement operations;

C.2.2 Fostering the use of industry best practices;

C.2.3 Assessing recipient’s compliance with Federal procurement requirements, specifically the requirements of 2 CFR Part 200 and applicable statutory and administrative requirements;

C.2.4 Identifying technical assistance needs, at the Recipient level and at the national level, and delivering technical assistance to meet those needs;

C.2.5 Spotting emerging issues with Recipients in a forward-looking fashion;

C.2.6 Identifying Recipients with recurring or systemic issues;

C.2.7 Highlighting policy issues and informing policy development;

C.2.8 Understanding trends and cross-cutting issues at the national level;

C.2.9 Informing curriculum development of FTA-sponsored technical training courses; and

C.2.10 Aiding in the development of reports to FTA and DOT leadership, Congress, other oversight agencies and the transit community in general.

C.3 Statement of Work

C.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.3.1 Completed review guides, working papers, information request responses and background research.

C.3.2 Correspondence related to work assigned under this contract.

C.3.3 Technical memoranda.

C.3.4 Draft and final reports.

C.3.5 Other documentation as requested and assigned.

C.4 Program and Regional Office Coordination

For all oversight activities, in additional to the COR and appropriate Regional Office, the Contractor shall seek input from and coordinate with any appropriate HQ Program Office or individual. This includes, but is not necessarily limited to:

C.4.1 The Office of Program Management (TPM) C.4.2 The Office of Research, Innovation and Demonstration (TRI) C.4.3 The Office of Safety and Oversight (TSO) C.4.4 The Office of the Chief Counsel (TCC) C.4.5 The Office of Administration (TAD) C.4.6 Subject Matter Experts in various offices (SMEs) Some HQ Office such as TCC maintain staff in FTA's regional offices.

C.5 Accessibility and Language Requirements

Contractor shall ensure that:

C.5.1 All materials are in accessible formats and usable by persons with disabilities upon request.

C.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.5.3 Spanish translators are provided upon request.

C.5.4 Sign language interpreters are provided upon request.

C.5.5 All meeting locations shall meet ADA physical accessibility requirements.

C.6 Statement of Work Functional Areas and Tasks

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

C.6.1 Program Management and 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.6.2 Recipient Compliance Within this functional area, the contractor shall be responsible for performing procurement system reviews, providing compliance-related technical assistance for grantees, and offering corrective action support for FT A regional and program offices as requested by the COR.

C.6.3 Recipient 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 grantee workshops; hosting webinars; and other assignments as requested by the COR. All training materials and modules shall be Section 508 compliant.

C.7 Functional Area 1: Statement of Work Functional Areas and Tasks

C.75.1 Task and Contract Line Item Number (CLIN) 0001: Program Management

Tasks within this CLIN shall include:

C.7.1.1 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 (TSO-30) within two weeks of base contract award (time frame is subject to change). No work may begin on the contract until after this meeting occurs.

C.7.1.2 Monthly Progress and Program Performance Reports

Concurrent with the Monthly Invoice template, 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, 2 hours per month is allotted to the Senior Procurement Analyst to complete the report, 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 the SOW. The issue log template that the contractor shall use is provided in the SOW. The report and issue log templates may be updated yearly or more often as necessary by the COR.

C.7.1.3 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 the 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.7.1.3.1 Annual kickoff meeting:

Contractor shall participate in an annual review cycle kickoff meeting. This meeting will typically occur in January. 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 PSR 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 another oversight event such as the annual oversight meeting or contractor summit as described below or other Program Oversight event. Contractor Principal/Program Manager and all Senior Procurement Analyst 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, Contractor Principal/Program Manager shall ensure all information provided in the meeting is quickly and accurately conveyed to the absent team members.

C.7.1.3.2 Check-in Meetings

After the annual kickoff meeting, Contractor Principal/Program Manager and all Senior Procurement Analyst shall participate in quarterly check-in meetings to discuss and resolve any issues that have emerged during the review process.

C.7.1.4 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 PSR 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.7.1.5 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 the COR, Contractor shall develop presentations, talking points, agendas, or other materials related to the Annual Oversight Conference.

C.7.1.6 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 the COR, Contractor shall develop presentations, talking points, agendas, or other materials related to the Program Oversight Contractors Summit.

C.7.1.7 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 0001 Deliverables

SOW Reference Description of Deliverables Frequency of Deliverable

C.7.1.2 Progress and Program Performance Reports: The contractor shall submit reports to the COR using the templates provided.

Monthly

C.7.1.1 C.7.1.3 C.7.1.7

Meeting summaries: If requested, the contractor shall submit meeting summaries to the COR within five (5) business days of meeting conclusion in Microsoft (MS) Office Word format.

As requested

C.7.1.4 C.7.1.5 C.7.1.6

Task specific deliverables: Contractor may be requested to develop presentations, present materials, talking points, agendas, or other materials related to Program Oversight events. Schedules and formats for deliverables will be determined by the COR in consultation with Contractor.

As requested

C.7.2 Task and CLIN 0002: Special Assignments

C.7.2.1 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.7.2.1. Participate in FTA-delivered training related to conducting the PSR Review, FTA grant programs and using FTA IT systems including but not limited to OTrak and TrAMS.

C.7.2.1.2 Prepare ad-hoc program level reports, gather data, and capture lessons learned for publication to FTA internal and/or external websites or for meetings.

C.7.2.1.3 Prepare and/or participate in delivering technically correct and professional briefings, presentations, etc. on matters related to the PSR Review program.

C.7.2.1.4 Conduct informational sessions for FTA staff and/or Recipients, which may or may not include development of informational materials, MS Office PowerPoint p presentations, other audio-visual aids, workbooks, manuals, pamphlets or oral presentations.

C.7.2.1.5 Provide assistance to FTA staff with various OTRAK activities, such a C.7.2.1.5.1 Extract and analyze data.

C.7.2.1.5.2 Participate in establishing requirements for and testing new system functionality.

C.7.2.1.6 Provide assistance for detailed and crosscutting analysis of oversight data.

C.7.2.1.7 Provide assistance for developing and modifying oversight strategies for grant programs.

C.7.2.1.8 Provide assistance for developing oversight requirements for FTA-funded programs that are administered by other federal agencies, such as the Federal Emergency Management Agency (FEMA), the Federal Highway Administration (FHWA), and the Department of Homeland Security.

C.7.2.1.9 Assist FTA with Special Projects (e.g., developing and reviewing procedural improvements to programs and developing informational materials including, audiovisuals or overhead projections).

C.7.2.1.10 Provide technical assistance to FTA, its Recipients and other Federal agencies (e.g., FEMA) in emergency response situations.

C.7.2.1.11 Provide assistance to FTA and other contractors with updating and/or producing program content including, but not limited to:

C.7.2.1.11.1 The annual PSR Contractors Manual.

C.7.2.1.11.2 Recipient Information Request package.

C.7.2.1.11.3 Workshop plans, content, slides, talking points, and agendas.

C.7.2.1.11.4 Training modules and video storyboards.

C.7.2.1.11.5 Case studies.

C.7.2.1.12 Review work orders from discretionary grants and Emergency Relief funding.

C.7.2.2 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.7.2.2.1 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.7.2.2.2 Special Assessment Budget – The Contractor shall submit a special assignment budget detailing the estimated 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.7.2.3 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.7.2.4 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.

CLIN 0002 Deliverables

SOW Reference Description of Deliverables Frequency of Deliverable

C.7.2.2.1 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 project completion. The Special Assignment Work Plan shall be submitted to the COR is MS Office Word format.

Due within Five (5) business days of the COR issuing the assignment, unless otherwise notified by the COR in writing-

SOW Reference Description of Deliverables Frequency of Deliverable

C.7.2.2.2 Special Assessment Budget – The Contractor shall submit a special assignment budget detailing the estimated labor and direct expenses that the Contractor will incur to complete the assignment. The budget shall be submitted to the COR is MS Office Excel format.

Due within five (5) business days of the COR issuing the assignment, unless otherwise notified by the COR in writing

C.7.2.3 Assignment-Specific Deliverables – The Contractor shall submit additional deliverables that shall be identified in the Special Assignment Work Plan, to be delivered in the format and timeframe specified by the COR.

As specified in the Special Assignment Work Plan

C.7.2.4 Special Assignment Technical Memorandum

– The Contractor shall submit a report detailing the work performed, discussing issues of note, suggesting next steps for FTA as appropriate. Unless otherwise directed, the Contractor shall submit this document in MS Office Word format to the COR.

Within ten (10) business days of completing the assignment.

C.8 Functional Area 2: Recipient Compliance

C.8.1 CLIN 0003: PSR Oversight Reviews

The tasks described below are intended to provide a high-level overview of the PSR review process. Contractor shall conduct all reviews in accordance with applicable Contractor Manuals and Standard Operating Procedures. The reviews will be risk based focusing on compliance areas of greatest financial exposure, resulting in a list of deficiency findings issues, or areas where further assistance is recommended.

The Procurement System Review (PSR) scope requires the contractor to conduct a series of interviews, transaction reviews and appropriate substantive tests. The contractor recommends whether the recipient’s procurements system is in compliance with the requirements of Uniform Guidance 2 CFR Part 200 and FTA Circulars.

There are 3 types of PSR oversight reviews:

Procurement System Full Scope Review (Hybrid type at the task Order level) - The contractor will perform in-depth analysis of recipient’s procurement operations. The contractor will review specified FTA recipients’ procurement systems operations against standards issued by FTA and prepare written reports detailing findings and recommendation for corrective actions of any identified deficiencies.

Procurement System Follow-up Review (Hybrid type at the Task Order level) – Follow-up reviews are primarily performed to ensure the recommendations resulting from the Procurement System Full Scope Reviews are implemented and working properly. If this review is requested the contractor is assigned to review or investigate deficiencies covered in the Procurement System Review final report. A follow-up review will be conducted within 12 months of the issuance of the final report.

Procurement System Focus Review (Labor Hour) – This review is used to focus on a particular issue (e.g. review of a specific grant(s) and/or project(s)) use of procurement rules for a particular project or recipient. Based on the scoping meeting and the preliminary assessment of the recipient’s policies and procedures, the scope of the review procedures should be agreed upon by FTA Regional and Headquarters Offices and the contractor for reach review area deemed necessary.

C.8.1.1 Annual Regional Kickoff Meetings The Contractor shall initiate and schedule a PSR 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 and/or Program Office to which they are assigned. The Contractor shall invite the COR to participate in each meeting. The 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.8.1.1.1 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.8.1.1.2 Review the list of Recipients receiving a PSR Review;

C.8.1.1.3 Receive pertinent information about those Recipients from the Regional and/or Program Office; and

C.8.1.1.4 Receive Regional and/or Program Office perspectives and considerations for scheduling and coordinating the reviews.

C.8.1.2 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. The Contractor shall, as necessary, send additional information requests based on background research, discussions with regional and program offices, and decisions made during Scoping Meetings.

C.8.1.3 Recipient Conference Call After distribution of the pre-site visit 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 anticipate 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.8.1.4 Scheduling Recipient Site Visits

The Contractor shall contact assigned Recipients to discuss and schedule site visit dates.

The Contractor shall coordinate with regional and/or program office staff and the Recipient to determine suitable site visit dates. Contractor may need to offer multiple dates to avoid conflicts with previously scheduled external Recipient reviews or audits.

No site visit may begin until after the Desk Review and Scoping Meeting (see below) is complete for the Recipient. All site visits must be complete (through exit conference) before the end of the federal fiscal year (September 30th). The schedule of on-site reviews shall be included in the Work Plan, described below.

C.8.1.5 Work Plan

Concurrent with scheduling on-site 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.8.1.5.1 List of Recipients to be reviewed;

C.8.1.5.2 Regional PSR Review Coordinator contact information;

C.8.1.5.3 Primary Contractor contact person;

C.8.1.5.4 Schedule/dates for review activities;

C.8.1.5.5 Contractor personnel anticipated to participate on review;

C.8.1.5.6 Sub-recipient locations being visited and their coordinator contact information.

C.8.1.6 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.).

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:

• TrAMS or ECHO system data to obtain information on open grants, including budgets, balances remaining, disbursement activity and financial status and progress reports;

• Certifications and Assurances;

• 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;

• Buy America waiver requests; and

• Prior oversight reports, findings, and files

• Other documents identified in the Procurement System Review Contractor’s Manual.

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-site visit 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 Recipient assessment. Contractor shall use the PSR Contractors Manual to track notes, issues, and questions related to each Recipient and begin to verify compliance with requirements.

C.8.1.7 Scoping Meetings The pre-site visit assessment phase, for each Recipient assigned, culminates in a PSR Review scoping meeting held with the FTA Regional Office 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.

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.

C.8.1.8 Prepare Agenda Package

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

C.86.1.8.1 Key contractor and Recipient contact information.

C.8.1.8.2 Entrance and Exit Conference dates, times; locations, and call-in numbers

(if needed) C.8.1.8.3 Interview topic areas, interviewer, locations, times, and required attendees.

Types of files to be reviewed, location of file review, and length of time files will be needed.

C.8.1.8.4 Facilities and other assets (if any) to be inspected, time and location of inspections, contractor conducting inspections, Recipient point of contact.

C.8.1.8.5 A list of key outstanding questions that need to be resolved or clarified on-site.

C.8.1.8.6 Other information as requested or required.

C.8.1.9 Conduct the Site-Visit The Contractor shall use the PSR Contractors Manual to conduct the site visit in accordance with standard operating procedures. Contractor shall coordinate with Regional Office to determine FTA participation in any site visit activities. The site visit includes the following major activities:

C.86.1.9.1 Conducting an entrance conference with the Recipient;

C.8.1.9.2 Performing an examination of each review area applicable to the

Recipient;

C.8.1.9.3 Selecting and inspecting facilities, vehicles, and other major assets as appropriate and as determined in coordination with the FTA regional and/or Program office;

C.8.1.9.4 Selecting and inspecting sample records, files and other source documents for examination;

C.8.1.9.5 Preparing a Summary of Preliminary Findings in consultation with FTA Regional staff.

C.8.1.9.6 Conducting an exit conference with the Recipient and review the Summary of Preliminary Findings; and

C.8.1.9.7 Other activities as requested or required.

C.8.1.10 Develop the Draft Report

Once the site-visit has concluded, the Contractor shall complete any final analysis of data collected on-site, prepare this initial draft report and cover letter and submit it to FTA Regional and/or Program Office and COR for review within 30 days of the conclusion of the exit conference. The document is to be in MS Word format for transmittal to FTA and the Recipient. The Contractor shall revise the draft report if requested by the COR and/or Regions and Program Office. 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.8.1.11 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. Within 14 days of receipt of recipient comments, the final report and cover letter shall be provided to the Regional and/or Program Office, and the Office of Procurement in MS Word format for transmittal to the Recipient. The Regional Office transmits the final report 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.8.1.12 Review Wrap-up

To wrap up a PSR 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.

CLIN 0003 Deliverables

SOW Reference Description of Deliverable Frequency of Deliverable

C.8.1.1 Kick off meeting summaries - The Contractor shall submit meeting summaries for each kickoff meeting to the COR and appropriate offices in accordance with SOP.

Due within five (5) business days of the COR issuing the task order, unless otherwise notified by the COR in writing-

SOW Reference Description of Deliverable Frequency of Deliverable

C.8.1.2 C.8.1.3 C.8.1.4

Recipient Information Request (RIR) Package and Cover Letter - The Contractor shall submit a Recipient Information Request (RIR) Package and Cover Letter for each assigned Recipient to the Regional and/or Designated Program Office in accordance with SOP.

Due within ten (10) business days of the COR issuing the task order, unless otherwise notified by the COR in writing-

C.8.1.5 Work Plan - The Contractor shall submit preliminary and updated work plans to the COR and Regional and/or Designated Program Office in accordance with SOP.

Due within five (5) business days of the COR issuing the task order, unless otherwise notified by the COR in writing- Updates are due within Five days of the change in the work

C.8.1.6 C.8.1.7

Recipient Scoping Worksheets and Recommendations - The Contractor shall submit Recipient Scoping Worksheets and Recommendations Form for each assigned recipient to the Regional and/or Designated Program Office in accordance with

SOP.

Due two (2) weeks prior to the scoping meeting.

C.8.1.8 Agenda Package - The Contractor shall submit an Agenda Package for each assigned review to the Recipient and Regional and/or Program Office in accordance with SOP.

Draft due no later than 15 business days prior to Site Visit Entrance Conference.

Final due no later than 10 business days prior to Site Visit Entrance Conference.

C.8.1.9 Summary of Preliminary Findings - The Contractor shall prepare and submit to FTA regional and/or program office for review a Summary of Preliminary.

Due to the Region and/or Program Office and COR 3 hours prior to pre-exit conference.

C.8.1.10 Draft Report - The Contractor shall submit a Draft Report to the Regional and/or Program Office in accordance with SOP.

Due thirty (30) days after exit conference.

C.8.1.11 Final Report - The Contractor shall submit a Draft Report to the Regional and/or Program Office in accordance with SOP.

Due fifteen (15) after recipient’s response.

C.8.1.12 Working Papers - The Contractor shall submit all working papers to FTA in accordance with SOP.

Due five (5) days after FTA has sent the report to recipient.

C.8.2 Task and CLIN 0004: 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.

C86.2.1 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.8.2.1.1 Corrective Action 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.8.2.1.2 Corrective Action Support Budget – 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. Any deviation from the Corrective Action' Support Work Plan or Corrective Action Support Budget must be approved, in writing, by the COR in advance of the Contractor performing any work not included in the Corrective Action Support Work Plan or billing beyond the NTE amount.

C.8.2.2 Corrective Action Support Task Deliverables

Corrective Action Support assignments may include assignment-specific deliverables. These will be described in the Corrective Action Support Work Plan along with the format for deliverables and schedule and mechanism for delivery.

C.8.2.3 Corrective Action Support Technical Memorandum

Upon review of the Recipient materials, the Contractor shall provide the COR and Regional Office and/or Program Office a technical memorandum providing an assessment, with explanations and justifications, of whether or not the Recipient's submitted materials successfully addresses the assigned corrective action. If the submitted material does not sufficiently address the identified deficiency, the Contractor shall provide recommendation on steps the recipient should consider taking to address the finding.

CLIN 0004 Deliverables For each Correction Action Support assignment, unless otherwise directed by the COR, Contractor shall provide:

SOW Reference Description of Deliverable Frequency of Deliverable

C.8.2.1 Corrective Action Support- Work Plan - The Contractor shall submit a 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 project completion. The Corrective Action Support Work Plan shall be submitted to the COR is MS Office Word format.

Due within five (5) business days after COR Issues Assignments, Unless Otherwise notified by the COR in writing

C.8.2.1

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 corrective action support budget shall be submitted to the COR is MS Office Excel format.

Due within five (5) business days of the COR issuing the assignment, unless otherwise notified by the COR in writing

C.8.2.2 Assignment-Specific Deliverables-The Contractor shall submit additional deliverables that shall be identified in the Corrective Action Support Work Plan, to be delivered in the format and timeframe specified by the COR.

As specified

C.8.2.3 Corrective Action Support Technical Memorandum. The Contractor shall submit a report detailing the work performed, discussing issues of note, suggesting next steps for FTA as appropriate. Unless otherwise directed, the Contractor shall submit this document in MS Office Word format to the COR.

Within ten (10) business days of completing the

C.8.3 Task and CLIN 0004: Targeted Technical Assistance

Upon request from the COR, Contractor shall provide targeted technical assistance directly to one or more Recipients. Such technical assistance is most often related to a recently performed oversight review however, it can be utilized as a means for providing specific technical assistance to Recipients for reasons unrelated to a review. Contractors may also be required to monitor Recipients' adherence with corrective actions after the findings have been closed, or to assist Recipients who are experiencing difficulties with program implementation issues.

The goal of this technical assistance is to help build compliance capacity with the Recipient and the scope of a technical assistance effort will vary depending on the need of a Recipient. Contractor's role is limited to advice, guidance, and training. The Contractor shall not develop, write, or implement documents, policies, or procedures for Recipients.

Typical technical assistance efforts focus on:

C.8.3.a On-site training to improve Recipient understanding of specific compliance topics.

C.8.3.b Guidance and advice for the development of new policies and procedures.

C.8.3.c Review of documents and processes for compliance with FTA rules and policies.

C.8.3.d Monitor implementation of new or updated policies, processes or systems.

C.8.3.1 Technical Assistance Work Plan and Budget

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 the COR:

C.8.3.1.1 Technical Assistance Work Plan – The Contractor shall submit a Technical Assistance 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.8.3.1.2 Technical Assistance Budget – The Contractor shall submit a Technical Assistance 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 Technical Assistance Work Plan and Technical Assistance Budget have been approved by COR and COR has issued a written approval to begin work. Once approved by the COR, the Technical Assistance Work Plan shall be considered the assignment scope of work and the Technical Assistance Budget shall be considered the not-to-exceed (NTE) amount for the assignment. Any deviation from the Technical Assistance Work Plan or Technical Assistance Budget must be approved, in writing, by the COR in advance of the Contractor performing any work not included in the Technical Assistance Work Plan or billing beyond the NTE amount.

C.8.3.2 Technical Assistance Task Deliverables

Technical Assistance assignments may include assignment-specific deliverables. These will be described in the Technical Assistance Work Plan along with the format for deliverable and schedule and mechanism for delivery.

C.8.3.3 Technical Assistance Technical Memorandum

After each assignment, unless otherwise notified by the COR, Contractor shall submit a technical memorandum detailing at a minimum, but not limited to: the compliance issues that led to the technical assistance, work performed, outcomes of the technical assistance, issues of note and/or concern, recommended next steps for FTA as appropriate. Unless otherwise directed, Contractor shall submit this document in MS Word format to the COR within 10 business days of completing the assignment.

CLIN 0005 Deliverables

For each Technical Assistance assignment, unless otherwise directed by the COR, Contractor shall provide:

SOW Reference Description of Deliverable Frequency of Deliverable

C.8.3.1 Technical Assistance Work Plan-The Contractor shall submit a Technical Assistance 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 project completion. The Technical Assistance Work Plan shall be submitted to the COR is MS Office Word format.

Due within five (5) business days after COR issues assignments, unless otherwise notified by the COR in Writing

C.8.3.1 Technical Assistance Budget - The Contractor shall submit a Technical Assistance Budget detailing the estimated labor and direct expenses that the Contractor will incur to complete the assignment. The Technical Assistance Budget shall be submitted to the COR is MS Office Excel format.

Due within five (5) business days of the COR issuing the assignment, unless otherwise notified by the COR in writing.

C.8.3.2 Assignment-Specific Deliverables-The Contractor shall submit additional deliverables that shall be identified in the Technical Assistance Work Plan, to be delivered in the format and timeframe specified by the COR

As specified

C.8.2.3 Technical Assistance Technical Memorandum- The Contractor shall submit a report detailing at a minimum, but not limited to: the compliance issues that led to the technical assistance, work performed, outcomes of the technical assistance, issues of note and/or concern, next steps for FTA as appropriate. Unless otherwise directed, the Contractor shall submit this document in MS Office Word format to the COR.

Within ten (10) business days of completing the

C.9 Functional Area 3: Recipient Training

C.9.1 Task and CLIN 0006: Oversight Workshops

Contractor shall be responsible for developing and instructing Recipient oversight workshops. These workshops are for Recipient staff and other transit professionals who have responsibility within their organizations for ensuring compliance with federal rules, regulations, and FTA policy. The workshops are designed to help attendees broaden their understanding of the Federal rules and regulations that shape and define their programs.

Workshop participants can range from senior executives to line staff. FTA typically conducts between 10 workshops annually with approximately 50-75 attendees per workshop.

Tasks within this CLIN include:

C.9.1.1 Workshop Facilitation

The Contractor shall facilitate Recipient oversight workshops which may include but not be limited to presenting workshop material, facilitating discussions, or organizing and leading Recipient panel sessions. Reviewers, Subject Matter Experts, and/or FTA staff will be available to answer technical questions from Recipients. The workshops will require two full days at the workshop location. Some Workshops may be conducted via webinar or simulcast online. The Contractor must have experience facilitating online meetings. Contractor shall record all questions from Recipients that arose during general discussions and provide those questions and any answers provided during the workshop to the COR and Regional and/or Program Office within five (5) business days of the end of the workshop. Once questions and answers have been reviewed and approved by FTA and Contractor has received approval from COR, Contractor shall distribute the questions and answers to workshop attendees and other contractors conducting oversight workshops.

C.9.1.2. Regional Workshop Facilitation

After the two day PSR Workshop is held the contractor will facilitate a one day regional workshop at the Region Office, tailored to the region’s specific issues and needs. The workshop and topics may be determined by review of findings and repeat findings over the last few review cycles, corrective actions not timely closed, new FTA guidance or it program or any other oversight training need.

C.9.2 Task and CLIN 0007: Recipient Training Modules

Contractor shall, under direction from COR and in consultation and coordination with the appropriate FTA offices, develop Recipient training materials designed to improve Recipient compliance and build capacity for Recipients. These trainings will use content developed by Oversight Review Contractors, Subject Matter Experts, and/or FTA staff and will focus on, among other things, FTA's oversight processes, guidance changes, and specific compliance issues of nation-wide concern. All materials posted online for public use will require close technical coordination with FTA's Office of Information Technology, within the Office of Administration (TAD).