Statement of Work_Procurement System Review_FY 2027_04.02.2026 final.doc

U.S. Department of Transportation Federal Transit Administration (FTA) Procurement System Reviews (PSR)

Statement of Work (SOW)

1. Background The Federal Transit Administration (FTA) is one of ten (10) operating 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.

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:

2.1

Encouraging and facilitating improved recipient procurement operations.

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

2.3

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

2.4

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

2.5

Identifying Recipients with recurring or systemic issues.

2.6

Highlighting policy issues and informing policy development.

2.7

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

2.8 Informing curriculum development of FTA-sponsored technical training courses.

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

3. Description of Services and Specifications 3.1 Standard Operating Procedures (SOP)

The Contractor shall perform PSR work in accordance with all appropriate FTA Review Manuals and SOPs. Current relevant SOPs include the Triennial Review/State Management Review SOP (Appendix B), and Findings Management SOP (Appendix C).

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 PSR 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 BPA 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.

3.2 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:

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

3.2.2 Correspondence related to work assigned under this contract.

3.2.3 Technical memoranda.

3.2.4 Draft and final reports.

3.2.5 Documentation and materials relevant to the development of eLearning modules 3.2.6 Other documentation as requested and assigned.

3.3 Program and Regional Office Coordination

For all oversight activities, in addition 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:

3.3.1 The Office of Program Management (TPM) 3.2.2 The Office of Program Oversight (TPO) 3.3.2 The Office of Research, Innovation and Demonstration (TRI)

3.3.3 The Office of Safety and Oversight (TSO)

3.3.4 The Office of the Chief Counsel (TCC)

3.3.5 The Office of Administration (TAD) 3.3.6 The Office of Regional Services (TRS) 3.3.7 Subject Matter Experts in various offices (SMEs)

Some HQ Office such as TCC maintain staff in FTA's regional offices.

3.4 Accessibility and Language Requirements

Contractor shall ensure that:

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

3.4.2 All web-based materials comply with Section 508 of the Rehabilitation

Act of 1973, as amended (29 U.S.C. § 794 (d)).

3.4.3 Sign language interpreters are provided upon request.

3.4.4 All meeting locations shall meet ADA physical accessibility requirements.

4. Functional Areas and Tasks

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

4.1 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.

4.2 Recipient Compliance

Within this functional area, the contractor shall be responsible for performing procurement system reviews, providing compliance-related technical assistance for recipients, and offering corrective action support for FTA regional and program offices as requested by the COR.

4.3 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 recipient workshops; hosting webinars; and other assignments as requested by the COR. All training materials and modules shall be Section 508 compliant.

5. Functional Area 1: Functional Areas and Tasks

5.1 Task and Contract Line-Item Number (CLIN) 0001: Program Management Tasks within this CLIN shall include:

5.1.1 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 (time frame is subject to change). No work may begin on the contract until after this meeting occurs.

5.1.2 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.

5.1.3 Contractor Meetings

Contractor shall participate in 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:

5.1.3.1 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 method 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.

5.1.3.2 Check-in Meetings

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

5.1.4 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.

5.1.5 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.

5.1.6 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.

5.1.7 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

5.1.1

5.1.3

5.1.7

5.1.4 5.1.5 5.1.6

5.2 Task and CLIN 0002: Special Assignments

5.2.1

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:

5.2.1.1 Participate in FTA-delivered training related to conducting the PSR Review, FTA grant programs and using FTA IT systems including but not limited to

Trak and TrAMS.

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

5.2.1.3

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

5.2.1.4

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

5.2.1.5

Provide assistance to FTA staff with various OTrak activities, such as:

5.2.1.5.1 Extract and analyze data.

5.2.1.5.2 Participate in establishing requirements for and testing new system functionality.

5.2.1.6 Provide assistance for detailed and crosscutting analysis of oversight data.

5.2.1.7 Provide assistance for developing and modifying oversight strategies for grant programs.

5.2.1.8 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.

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

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

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

5.2.1.11.1 The annual PSR Contractors Manual.

5.2.1.11.2 Recipient Information Request package.

5.2.1.11.3 Workshop plans, content, slides, talking points, and agendas.

5.2.1.11.4 Training modules and video storyboards.

5.2.1.11.5 Case studies.

5.2.1.12 Review work orders from discretionary grants and Emergency Relief funding.

5.2.1.13 Provide pre-award technical assistance.

5.2.2 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:

5.2.2.1 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.

5.2.2.2 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.

5.2.3 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.

5.2.4 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

6. Functional Area 2: Recipient Compliance

6.1 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 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 three (3) types of PSR oversight reviews:

Procurement System Full Scope Review (IDIQ Hybrid Contract) - 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 (IDIQ Hybrid Contract) – 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.

6.1.1 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:

6.1.1.1 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;

6.1.1.2

Review the list of Recipients receiving a PSR Review;

6.1.1.3

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

6.1.1.4

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

6.1.2 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.

6.1.3 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).

6.1.4 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 (FY) (September 30th). The schedule of on-site reviews shall be included in the Work Plan, described below.

6.1.5 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:

6.1.5.1 List of Recipients to be reviewed;

6.1.5.2 Regional PSR Review Coordinator contact information;

6.1.5.3 Primary Contractor contact person;

6.1.5.4 Schedule/dates for review activities;

6.1.5.5 Contractor personnel anticipated to participate on review;

6.1.5.6 Sub-recipient locations being visited, and their coordinator contact information.

6.1.6 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.

6.1.7 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.

6.1.8 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:

6.1.8.1

Key contractor and Recipient contact information.

6.1.8.2

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

(if needed) 6.1.8.3

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.

6.1.8.4

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

6.1.8.5

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

6.1.8.6

Other information as requested or required.

6.1.9 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:

6.1.9.1

Conducting an entrance conference with the Recipient;

6.1.9.2

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

6.1.9.3

Selecting and inspecting facilities, vehicles, and other major assets as appropriate and as determined in coordination with the FTA regional and/or

Program office;

6.1.9.4

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

6.1.9.5

Preparing a Summary of Preliminary Findings in consultation with FTA

Regional staff.

6.1.9.6

Conducting an exit conference with the Recipient and review the Summary of

Preliminary Findings; and

6.1.9.7

Other activities as requested or required.

6.1.10 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.

6.1.11 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.

6.1.12 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

Deliverable

6.1.2

6.1.3 6.1.4

6.1.6

6.1.7

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

6.2 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.

6.2.1 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:

6.2.1.1 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.

6.2.1.2 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.

6.2.2 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.

6.2.3 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 address 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:

Deliverable

6.2.1

6.3 Task and CLIN 0005: 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 within 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:

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

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

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

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

6.3.1 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:

6.3.1.1 Targeted 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.

6.3.1.2 Targeted 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.

6.3.2 Targeted 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.

6.3.3 Targeted 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:

Deliverable

7. Functional Area 3: Recipient Training

7.1 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; and are conducted in person or virtually. Workshop participants can range from senior executives to line staff. FTA typically conducts approximately 20 workshops annually.

Tasks within this CLIN include:

7.1.1 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.

7.1.2 Work Plan and Master Schedule and individual Workshop Plans Tasks may include but not be limited to the following:

7.1.2.1 Submitting to the COR a Workshop Work Plan detailing the Contractor’s work tasks to be undertaken in order to deliver all workshop assigned in a call order, deliverables to be provided to FTA and schedule for completion of all tasks.

7.1.2.2 Submitting to the COR and regularly updating a master workshop schedule for all workshops identified in a call order. The master schedule shall include but may not be limited to presenting contractors, status updates and other fields as determined necessary by the FTA.

7.1.2.3 Submitting to the COR, appropriate FTA offices, and presenters, plans for each workshop that will include, but may not be limited to:

7.1.2.3.1 Workshop theme, topics and format.

7.1.2.3.2 Session title and times.

7.1.2.3.3 Presenters and panelists (if needed).

7.1.2.3.4 Reviewers, SMEs and FTA staff needed.

7.1.3 Workshop Preparation

Tasks may include but not be limited to the following:

7.1.3.1 Assisting with monitoring the progress in planning for all logistics aspects of the workshop

7.1.3.2 Providing Routine updates to the FTA concerning overall preparations and readiness.

7.1.3.3 Coordinating questions and difficulties with FTA Headquarters.

7.1.3.4 In coordination with COR and appropriate FTA offices, securing participation of presenters, panelist, reviewers, SMEs and FTA staff.

7.1.3.5 Assisting FTA with administrative coordination of all activities. This will include assistance in outreach to presenters on matters such as securing presentation materials.

7.1.4 Workshop Evaluation

Tasks may include but not be limited to the following:

7.1.4.1 Analyzing participant evaluation forms and developing a summary evaluation report, broken down by location and program (if more than one program is presented).

7.1.5. 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. Submitting to the COR a Workshop Work Plan detailing the Contractor’s work tasks to be undertaken to deliver all workshop assigned in a call order, deliverables to be provided to FTA and schedule for completion of all tasks.

Task and CLIN 0006 Deliverables

For each Recipient Oversight Workshop assignment, the Contractor shall provide all deliverables in accordance with the relevant SOPs and task instructions including as required below.

CLIN 0006 Deliverables

7.1.2

7.1.5 Workshop Work Plan detailing the

Contractor’s work tasks to be undertaken, deliverables to be provided to FTA and schedule for completion of all tasks.

Submitted to the COR and ACOR within five (5) business days of the acceptance of the call order in MS Office Word and Google Docs format.

Due within five

(5) Business Days after acceptance of call order, unless otherwise notified by the COR.

7.1.2

7.1.5

7.2 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 nationwide concern.