GSA MRAS SOW.docx

ATTACHMENT No. 0001

STATEMENT OF WORK (SOW)

STATE SAFETY OVERSIGHT PROGRAM (SSO)

1.0 BACKGROUND

The safety of the nation’s public transportation systems is FTA’s top priority. The Federal Transit Administration’s (FTA) Office of Safety Oversight and Compliance (TSO-20) within the Office of Transit Safety and Oversight (TSO) is charged with delivering programs that ensure the highest possible level of safety for the nation’s public transportation systems. The State Safety Oversight Program (SSOP), currently managed by TSO-30, focuses on the development of standards, criteria, plans, procedures, and processes for implementation by states and rail transit agencies (RTAs). The SSOP seeks to address minimum regulatory requirements and to enhance safety practices.

TSO-20 requires contractor support to perform safety oversight activities of State Safety Oversight (SSO) programs. TSO-20’s core functions include collecting safety data on rail transit agencies (RTA), conducting audits of State Safety Oversight Agencies (SSOA) that oversee RTAs, and providing outreach and technical assistance to those same RTAs and SSOAs. If the FTA identifies a significant level of risk to safety, they may use TSO-20 resources to perform additional interventions into the safety management or oversight activities at public transportation systems or SSOAs. The authorities for TSO-20’s program activities are found in the Public Transportation Safety Program, (49 U.S.C. § 5329).

2.0 SCOPE

The scope of this Statement of Work is to assist FTA’sTSO-20 with the following:

· Evaluation of the development, implementation, and compliance of state oversight and rail transit agency safety programs as per applicable regulations, requirements, and FTA guidance,

· Identification, development, and delivery of technical assistance and training to guide state and rail transit agency program development, implementation, and compliance,

· Responses to industry and government inquiries and needs related to FTA’s safety program implementation,

· Coordination with other FTA programs to ensure a systems approach to delivery of its safety program.

3.0 DESCRIPTION OF SERVICES/SPECIFICATIONS

Kickoff Meeting

The Program Manager from each contractor team shall participate in a kickoff meeting with the Contracting Officer (CO), Contracting Officer’s Representative (COR), and TSO-20. It is anticipated this meeting will occur within one week of award. This meeting will take place via conference call. The purpose of the kickoff meeting is to do the following:

· Ensure that there is a mutual understanding of the work to be performed, understanding the terms and requirements among all parties responsible for the management and performance of the requirement.

· Review priorities and expectations

· Define and/or clarify roles and responsibilities

· Discuss the review schedule

TASK 1/Contract Line-Item Number (CLIN) 0001: Annual Submissions to FTA The State Safety Oversight Rule, 49 Code of Federal Regulation (CFR) § Part 674 requires SSOAs to submit information to the FTA on an annual basis:

· 674.13(a)(7) – “The SSOA [must report] the status of safety of each [RTA] to the Governor, the FTA, and the board of directors … of the [RTA]”

· 674.27(b) – “An SSOA must submit its SSO program standard … to FTA.”

· 674.39 – “On or before March 15 of each year, an SSOA must submit … to FTA:”

· The SSO Program Standard

· Evidence of compliance with 49 CFR Part 672

· A summary of oversight activities for the preceding 12 months

· A summary of triennial audits for the preceding 12 months

· Evidence of review and approval of any changes to RTA [agency safety plans]

· Certification of compliance with 49 CFR Part 674

· 5329 Annual Spend Plan

To facilitate the collection of this information, TSO-20 has developed a web-based tool (SSOR) that SSOAs must use to make their submissions. We require contractor support to evaluate and validate these submissions. Annual reports, once validated, will be reviewed, and certified by the TSO-20 staff.

Anticipated Level of Effort: 2000 hours; 2 FTE’s.

Deliverables: Annual Report starting one year from time of award

· Monthly Progress Reports

· Ongoing – delivered to FTA no later than (NLT) the 5th day after request

· Format: Microsoft (MS) Office Word and pdf

· Deliver to: FTA COR via email

· Due: Concurrent with monthly invoice

TASK 2/CLIN 0002: State Safety Oversight Audits

49 CFR Part 674.11 states that the FTA will audit each SSOA at least once every three years. TSO requires contract support to perform these audits. There are 31 SSOAs in 30 States. All but two—Hawaii and Puerto Rico—are in the Continental United States. Audit procedures and contractor responsibilities are defined in the Audit SOP and the Auditor’s Guide (*NOTE: Will be provided after award etc.)

Anticipated Level of Effort: approximately 500-600 hours per audit; approximately 12 audits per year; 6000-7000 hrs./year; 2.5-3 FTE.

Deliverables: State Safety Oversight Audit:

· Development of On-Site SSOA Plan and Activities

· Delivered in MS Office Word and .pdf format at direction of FTA

· Format: Email

· Deliver to: FTA COR

· Due: Within 2 weeks after notice to proceed (NTP)

· Development of Draft and Final Reports

· Delivered in MS Office Word and .pdf format at direction of FTA

· Format: Email

· Deliver to: FTA COR

· Due: First Submission within 2 weeks of final on-site activities

· Document Review and Conduct On-Site Audits

· Delivered in MS Office Word and .pdf format at direction of FTA

· Format: Email

· Deliver to: FTA COR

· Due: Ongoing – Documentation of oversight activities due within 1 week of the document review or on-site inspection and verification according to schedule

· Interim Reports

· Delivered in MS Office Word and .pdf format at direction of FTA

· Format: Email

· Deliver to: FTA COR

· Due: Ongoing – delivered to FTA NLT the 5th day after request

· Monthly Status Reports

· Delivered in MS Office Word and .pdf format at direction of FTA

· Format: Email

· Deliver to: FTA COR

· Due: 15th of each month

TASK 3/CLIN 0003: Programmatic and Technical Support

Federal public transportation law (49 USC $ 5329(e)(9)) requires the FTA to “continually evaluate the implementation of the SSOA program by a SSOA agency.” This continuous evaluation may begin with monitoring calls or meetings with each State program or Corrective Action Plan (CAP) oversight calls or meetings after an audit, which evolves into more complex inquiries and investigations. FTA may require a contractor to support this process by providing context, data analysis, or other forms of subject matter expertise.

TSO may undertake other projects that require contractor support similar to items described in the paragraph above. This may include tasks to improve the industry knowledge in various relevant areas by developing guidance, documents, presentations, and providing a forum for networking and exchanging ideas.

TSO will require subject matter expert (SME) contractor support in the following task areas:

· Assist in development or improvement of procedural manuals and guidance documents,

· Assist in development of presentations and training,

· Assist in developing new policies, procedures, and practices,

· Develop and deliver presentations and training,

· Attend and participate in training, workshops, and conferences,

· Provide context and analysis,

· Audit-related activities such as interviews and inspections.

· Monitor and evaluate hazard and CAP identification and resolution,

· Assist in record and document reviews of fillings with FTA (i.e., program standards, technical training plans, Public Transportation Safety Certification Training Program (PTSCTP) and other applicable documentation)

· 672 Compliance

This support may be directed toward the FTA, SSOAs, RTAs, or the public transit industry at large. Anticipated Level of Effort: When awarding work via an order etc., the Government may award hours for specific projects and may also award hours under this CLIN for un-planned assistance to be used on an ‘as-needed’ basis within scope of the SOW. The Government’s needs in this CLIN will vary from year to year. The Government anticipates needing no more than 7000 hours per year; 4 FTE.

The contractor will perform the following tasks on an as-needed basis:

· Conduct reviews of documents and records

· Create reports

· Support the FTA in developing guidance documents to be used internally by the FTA or externally by the transit industry

· Develop and give presentations or training content

· Participate in meetings or teleconferences with the FTA, States, and other stakeholders

· Collect and analyze data

· Provide subject matter expertise to projects

Anticipated specific projects requiring contractor support include (This list is not comprehensive):

· Periodic phone calls with SSOAs conducted by TSO Program Managers (PMs)

· Escalations in TSO oversight of SSOAs or RTAs

· On-site and on-going evaluations of SSOAs or RTAs

· Provide Part 674 assistance to the SSO community

· Review documents for Part 674 Compliance – This will encompass a deeper review of specific documents filed during the required Annual Report submission for regulatory compliance.

· The documents will include the Program Standard, Technical Training Plan, Level of Effort, Workload Assessment, and others if needed.

· The contractor will provide, at a minimum, a disposition table documenting the non-compliant aspects of each document.

· Depending on the outcome of the deep review, the contractor may also be required to develop related correspondence and tracking for the document(s) to achieve regulatory compliance.

· Other actions as needed to support this project.

· The following SSOA’s will receive this deeper scrutiny during this requirement.

TASK 4/CLIN 0004: Special Projects The monitoring process described above may lead the FTA to intervene in the oversight program or operations of an FTA recipient, pursuant to our authority found in 49 USC 5329 and 49 CFR Part 670. Possible interventions could include the following:

· Investigations or inspections at RTAs

· On-site inquiries, interviews, document reviews, inspections, or investigations at SSOAs

· Imposing prohibitions or restrictions on an RTA

· Conduct analyses and evaluation of data and information.

· Support for planning initiatives

· Create briefings, presentations, and reports.

The number, size, scope, and frequency of such interventions can’t be predicted. If such an activity is required, one or more task orders would be awarded pursuant to the FAR Subpart 16.5. For a large-scale or long-term intervention beyond the anticipated LOE for this CLIN, FTA would pursue alternate means to complete it.

Contractor requirements could include, without being limited to, the following:

· Evaluate the implementation of safety procedures in a public transit system’s operation,

· Monitor and evaluate hazard and CAP identification and resolution,

· Investigate accidents and incidents,

· Develop and document procedures for performing safety oversight,

· Create briefings, presentations, and reports, Anticipated Level of Effort (LOE): The Government does not intend to award more than 6000 hours (3 FTE) per year on this CLIN, but there is no guarantee that we will require any work at all under this CLIN for the entire POP of resulting awards. The Government does not expect the contractor to maintain personnel on staff waiting to perform this work. If the Government were to require support for such an event, we would expect the contractor to acquire the necessary expertise using existing personnel, short-term hires, subcontractors, or other means. The contractor must include in their proposal a plan for making these personnel adjustments. All personnel adjustments must be in accordance with the qualifications and experience specified in the respective approved labor categories.

Deliverables: Special Projects

· Completed Monthly Progress Report

· Format: MS Office Word and pdf

· Deliver to: FTA COR via email

· Due: as determined by COR

CLIN 0005: Travel

For this CLIN, the not-to-exceed amount on the base award is $100,000 per performance year. On funded requirements (i.e. orders etc.), the travel should not exceed in total per performance year $100,000 for the contractor’s total approved travel costs billed and paid to the contractor. Payment will be based on actual travel receipts presented in the Contractor’s monthly invoice and only when those travel receipts are consistent with the scope and timing concerning the performance of this requirement.

The Contractor shall be responsible for monitoring their budgeted versus actual and planned travel expenses and alerting the FTA COR immediately if planned and actual expenses might exceed the budget. The CO shall also include this information in the Contractor’s weekly progress reports.

All travel requirements (including plans, agenda, itinerary, or dates) must be pre-approved by the Government (subject to local policy procedures) and is on a strictly cost reimbursable basis and must be conducted in conformance with the Joint Travel Regulations (JTR). Travel expenses including air, auto, meals, and lodging within a 50-mile radius of the workshop location will be considered local travel and hence not reimbursed directly by the Government. *Note: If your firm is located within the local traveling distance for the event which is normally within a 50-mile radius, your firm will not be invoiced or reimbursed for travel expenses concerning this requirement.

The Contractor shall: (1) utilize per diem rates and (2) make every effort to secure lodging at the Federal Government rate. A travel authorization form will be provided by the Government as needed etc. The Contractor shall secure written permission from the COR prior to incurring lodging costs at a rate more than the Federal Government rate. Failure to do so may result in such lodging costs not being reimbursed. For air travel and car rental, economy is the only approved class of travel. The Government will not pay for business class or first-class travel.

CLIN 0006: Other Direct Costs (ODCs) Occasionally, the contractor may incur other direct costs not associated with travel. This may include printing or shipping materials or paying a conference entrance fee if considered authorized, allowable, and reasonable. These costs will be reimbursed directly according to the FAR and must be within scope of the requirement. All ODCs must be pre-approved by the COR and documented as such prior to incurring costs and seeking payment for them.

4.0 GOVERNMENT FURNISHED PROPERTY/INFORMATION

The government will provide DOT laptops to contractors to be used for official business related to this statement of work as needed. When use of the laptops is no longer needed, contractor must return issued property in accordance with the appropriate property management protocol.

5.0 PERIOD OF PERFORMANCE

The requirement’s period of performance will be one 12-month base period and three 12-month option periods.

6.0 PLACE OF PERFORMANCE

The contractor must provide all resources necessary for the support of this requirement. The primary work site for this effort is at the Government location.

7.0 CONTRACTOR PERSONNEL

Key Personnel must meet the following requirements:

Program Manager – Description: Responsible for managing and overseeing work performance of multiple projects and serves as principal liaison to the Government on business and technical matters for program and project implementation. Directs, prepares, and oversees program development proposals; develops, plans, organizes, coordinates, and allocates staffing resources to contracted task plans and sub-task plans; and selects, directs, supervises, trains, monitors and evaluates program personnel.

Job Qualifications:

a. Education – Minimum Bachelor’s in any field. Preferred relevant fields include transportation, government, engineering, business, law. Additional education is advantageous.

b. Relevant experience – at least 20 years. Additional experience is advantageous.

c. Management and leadership experience – at least 10 years. Additional experience is advantageous. Experience in safety risk management in a rail environment and familiarity with SSO program requirements, including 49 USC 5329 and 49 CFR Part 674 are advantageous.

Senior Investigator – Description: Generally regarded as an expert in their industry or field. Can lead audit, investigation, inspection, and review teams. Provides technical, managerial, and administrative direction for problem-definition, analysis, requirements-development, and implementation for complex to extremely complex systems in the subject matter area. Makes recommendations and advises on organization-wide improvements or optimization. The Senior Investigator is knowledgeable of the various stakeholders within the transit safety management community, and their complex interrelationships.

Job Qualifications:

a. Education – Minimum Bachelor’s in any field. Preferred relevant fields include transportation, government, engineering, business. Post-graduate degree is advantageous.

b. Training and certifications – Completion of Transportation Safety Institute (TSI) Transit Safety and Security Audit Course within the past 5 years is preferred. Other audit or investigative training and certifications are advantageous based on the relevance and quality of the content.

c. Relevant experience – at least 20 years. Additional experience is advantageous.

d. Management or leadership experience – at least 10 years. Additional experience is advantageous. Minimum of 5 years’ experience in the field of safety and risk management in a rail environment. Must have experience with SSO program requirements including 49 USC 5329 and 49 CFR Part 674.

Investigator – Description: Serves on audit, investigation, inspection, and review teams. May lead teams in some cases. Utilizes extensive, relevant, industry knowledge to support management of project tasks and deliverables. Provides technical oversight as needed.

Job Qualifications:

a. Education – Minimum Bachelor’s in any field. Preferred relevant fields include transportation, government, engineering, business. Master’s degree is advantageous.

b. Training and certifications – Completion of Transportation Safety Institute (TSI) Transit Safety and Security Audit Course within the past 5 years is preferred. Other audit or investigative training and certifications are advantageous based on the relevance and quality of the content.

c. Relevant experience – at least 10 years. Additional experience is advantageous.

Management and leadership experience are advantageous. Minimum of 3 years’ experience in the field of safety and risk management in a rail environment. Must have experience with SSO program requirements including 49 USC 5329 and 49 CFR Part 674.

The contractor must provide signed letters of commitment for all individuals who will serve as KEY personnel on a resultant award from this solicitation. The contractor shall not divert or otherwise replace any key personnel without the written consent of the Contracting Officer (CO) within 90 days after award.

Non-Key Personnel must meet the following requirements:

Analyst – Description: Conducts interviews and research, provides data and document analysis, creates documents, reports, and presentations.

Job Qualifications:

a. Education – Associate’s degree minimum. Bachelor’s preferred.

b. Relevant experience – at least 5 years. Additional experience is advantageous. Must have experience in safety risk management in a rail environment and familiarity with SSO program requirements, including 49 USC 5329 and 49 CFR Part 674.

Additional Requirements for all key and non-key personnel. Personnel conducting audits and inspections must possess the necessary certifications and qualifications for that activity.

All personnel who will work on this requirement must meet the requirements of FTA’s Safety and Certification Training Rule, (49 § CFR Part 672).

8.0 CONTRACTING OFFICE ADMINISTRATION

The Contracting Officer and Contract Specialist for this requirement will be as follows:

Mrs. Stephanie Cooke-Nwadibia, Senior Contracting Officer U.S. Department of Transportation Federal Transit Administration Office of Acquisition Management (TAD-40) 1200 New Jersey Avenue, SE Room Number: E41-313 Washington, DC 20590 Phone number: 202-366-7072 Email address: stephanie.cooke-nwadibia@dot.gov

Ms. Shanell Watson, Contract Specialist U.S. Department of Transportation Federal Transit Administration Office of Acquisition Management (TAD-40) 1200 New Jersey Avenue, SE (Offsite) Washington, DC 20590 Email address: shanell.watson@dot.gov

9.0 CONTRACTOR’S REPRESENTATIVE

The contractor's representative shall be responsible for all administration issues and shall act as the central point of contact with the Government for all such issues. The representative shall have full authority to act for the contractor in all order matters. The representative shall be able to fluently read, write, and speak the English language.

----------------------------------------------END OF SOW------------------------------------------------