Ohio Rail Fixed Guideway System Safety and Security Oversight

REQUEST FOR PROPOSALS PT-09-2 OHIO RAIL FIXED GUIDEWAY SYSTEM SAFETY AND SECURITY OVERSIGHT PROGRAM OHIO DEPARTMENT OF TRANSPORTATION OFFICE OF TRANSIT December 15, 2008 INTRODUCTION The Ohio Department of Transportation (ODOT) is soliciting the services of qualified firms to provide technical assistance, administration and oversight activities for the Ohio Rail Fixed Guideway System Safety and Security Oversight Program (the Program), in accordance with regulations issued by the Federal Transit Administration (FTA) in 49 CFR, Part 659 (the Rule). As required by the Rule, ODOT developed a System Safety and Security Program Standard (SSPS), which describes the Program and defines the respective roles and responsibilities of ODOT, transit agencies and the FTA in its implementation. A copy of the SSPS is available on the website at http://www.dot.state.oh.us/Divisions/Local/Transit/Pages/default.aspx. Currently, the Greater Cleveland Regional Transit Authority (GCRTA) is the only public transit system in Ohio covered by the Program. The Rule also requires GCRTA to submit a System Safety Program Plan (SSPP) and System Security Plan (SSP) to ODOT that complies with the requirements of the SSPS. ODOT does not expect another rail transit system to initiate service in the state during the period covered by the contract awarded as a result of this solicitation. SCOPE OF SERVICES The successful proposer must demonstrate a thorough understanding of the Rule and the respective roles and responsibilities of both ODOT and GCRTA. Under the direction of staff from ODOT, and acting on behalf of ODOT, the successful proposer would be responsible for the following activities: Annual and Periodic Submissions to FTA Annual Submission to FTA The successful proposer must assist ODOT by preparing before March 15 of each year: 1. A publicly available annual report summarizing its oversight activities for the preceding twelve months, including a description of the causal factors of investigated accidents, status of corrective actions, updates and modifications to GCRTA program documentation, and the level of effort used by the oversight agency to carry out its oversight activities. 2. A report documenting and tracking findings from three (3) year safety and security review activities and whether a three (3) year safety and security review has been completed since the last annual report was submitted. 3. Program standard and supporting procedures that have changed during the preceding year. 4. Certification that any changes or modifications to the GCRTA’s SSPP or SSP have been reviewed and approved by the oversight agency. Periodic Submissions to FTA The successful proposer must assist ODOT in preparing periodic program information including status reports of accidents, hazardous conditions, and CAPs if requested by FTA. ODOT’s System Safety and Security Program Standard (SSPS) Updates As revisions to FTA regulations are issued, ODOT’s SSPS must be modified to remain in compliance with the Rule. It will be the responsibility of the successful proposer to ensure ODOT’s SSPS is updated as necessary. GCRTA Annual Report Pursuant to the Rule, GCRTA is required to submit an Annual Report to ODOT no later than January 31 each year. The successful proposer’s activities may include, but not be limited to the following:  Review and approval or disapproval of checklists or procedures that GCRTA will use during reviews or audits. If disapproved, the successful proposer must identify deficiencies in the checklists or procedures and notify GCRTA of the need for corrective actions; Review the internal safety and security reviews and issue a written response either approving or disapproving the Annual Report within thirty (30) calendar days of receiving the report. If disapproved, the successful proposer must also: Identify deficiencies in the report and notify GCRTA of the need for corrective actions and the development of a CAP; Review GCRTA’s CAP and issue a written response of acceptance or rejection, and; Continue review and correspondence activities with GCRTA and ODOT until the noted deficiencies have been resolved.     Investigation of Accidents and Unacceptable Hazardous Conditions The successful proposer will assist ODOT in the investigation of accidents and unacceptable hazardous conditions that occur or exist at GCRTA. Activities may include, but not be limited to the following: Accidents Serve as the initial contact for accident notification by GCRTA; Receive and review accident reports, gather data and information necessary to characterize any reported accident and provide the initial briefing to ODOT, according to the accident reporting procedures established in the SSPS;  Monitor and review accident investigation activities conducted by GCRTA; When directed by ODOT, conduct actual on-site accident investigation activities (i.e., perform physical inspections, review relevant data and records, interview individuals involved in the accident, etc.) and prepare both interim accident investigation status   reports and a final accident investigation report;  In the event of a National Transportation Safety Board (NTSB) investigation, serve as the primary contact on NTSB and GCRTA activities including meetings, interviews, requests for data, etc.; and  Provide additional assistance, as directed by ODOT, to fulfill the accident investigation requirements outlined in the SSPS. Unacceptable Hazardous Conditions   Serve as the initial contact for notification of unacceptable hazardous conditions by GCRTA; Receive and review reports of unacceptable hazardous conditions, gather data and information necessary to characterize any reported condition and provide the initial briefing to ODOT according to the procedures established in the SSPS for reporting unacceptable hazardous conditions; Monitor and review unacceptable hazardous condition investigation activities conducted by GCRTA; When directed by ODOT, conduct actual on-site unacceptable hazardous condition investigation activities (i.e., perform physical inspections, review relevant data and records, interview individuals responsible for reporting unacceptable hazardous conditions, etc.), prepare both interim investigation status reports and a final accident investigation report; and Provide additional assistance, as directed by ODOT, to fulfill the investigation requirements for unacceptable hazardous conditions, as outlined in the SSPS.    Corrective Action Plans (CAPs) The Rule requires transit agencies covered by the Program to prepare and submit Corrective Action Plans (CAPs) to minimize, control, correct, or eliminate any safety deficiencies or unacceptable hazardous conditions, which contribute to or cause an accident. During its review of reported accidents and unacceptable hazardous conditions, the successful proposer would be responsible, on behalf of ODOT, for approving and monitoring the implementation of recommended corrective actions submitted by GCRTA. In the event that the NTSB conducts an investigation, GCRTA and ODOT shall review the NTSB findings and recommendations to determine whether or not a CAP should be developed by GCRTA. ODOT’s procedures for accident investigations, unacceptable hazardous condition investigations and corrective actions are described in Chapters 6 through 9 of the SSPS. Additionally, in fulfilling the requirements for investigating accidents and unacceptable hazardous conditions and monitoring corrective actions, the successful proposer will be required to meet jointly with ODOT and GCRTA quarterly in GCRTA’s offices to review open investigations, corrective action activities and other open or unresolved issues. GCRTA’s System Safety Program Plan and System Security Plan Updates GCRTA has prepared and submitted to ODOT a SSPP and SSP that complies with the ODOT SSPS. Minimum requirements of the SSPP are described in Chapter 9 of the SSPS. Minimum requirements of the SSP are described in Chapter 11 of the SSPS. GCRTA is required on an annual basis or sooner (if necessary) to review the SSPP and SSP and perform any necessary updates or modifications to ensure the SSPP and SSP are current at all times. GCRTA must also annually certify that it is in compliance with its SSPP and SSP. ODOT shall require changes to the SSPP and SSP based on revisions to the SSPS, FTA 49 CFR Part 659, audit results, on-site reviews, investigations, or changing trends in accident/incident data. GCRTA may periodically have to update or modify its SSPP and SSP as a result of changes within its organization, reassignment of organizational responsibilities, changes in operating conditions or physical facilities, audit report results, on-site inspections, changing trends in accident or security data, or other reasons that may come to the attention of either GCRTA or ODOT. When changes to the SSPP or SSP are necessary, the successful proposer will review and recommend approval or disapproval to ODOT. If approved, the successful proposer will monitor the implementation schedule until all modifications are fully implemented. If disapproved, the successful proposer, ODOT and GCRTA will negotiate alternative courses of action, as appropriate, until the SSPP and SSP comply with the SSPS. GCRTA On-Site Triennial Audit The Rule requires ODOT to conduct an on-site safety compliance audit of GCRTA once every three years. The last on-site safety audit of GCRTA was conducted in May 2006. The next audit is due and will be scheduled during the fall of 2009. The Contractor, acting on behalf of ODOT, will perform the on-site audit. The audit will focus primarily on assessing GCRTA’s compliance with its internal safety and security policies, with a major emphasis on the organizational and procedural aspects of GCRTA’s operations as they relate to system safety and security. The on-site audit will consist of pre-audit data and information gathering, the actual audit and the issuance of an audit report. The major activities for each of these aspects will be as follows: Pre-Audit Data and Information Gathering Provide written notification to GCRTA of the scheduled audit, identifying the objectives of the audit and the key documents to submit to ODOT for review. Typical documents that may be requested could include: o The current SSPP and SSP o Current Organizational Chart o Safety and Security Policy Statements o Operating Rulebook o Emergency Response Procedures o System safety and security statistics for the past three years Develop the audit evaluation criteria by which GCRTA will be reviewed and evaluated. Assess the materials provided by GCRTA against the established evaluation criteria and determine which areas require review that is more extensive during the actual audit. Conduct On-Site Audit The purpose of the audit will be to assess how GCRTA’s written system safety program works in practice and to determine if it complies with the SSPS. At a minimum, the audit will provide an assessment of the following: o System Safety Policies and Procedures – Review GCRTA’s safety and security policies and plans and the extent to which they are understood and implemented by all operating elements throughout the organization; o Management – Examine management’s commitment (i.e., policy, culture, organization, support to operating functions, etc.) to safety and security; o Spot Checks – Conduct “spot checks” of selected areas to determine if the system safety and security program is working in practice. Areas and/or facilities to be examined may include operations, training, maintenance, substance abuse, track, trains, signals, emergency response, communications systems, dispatching and other areas. Prepare Audit Report Once the audit has been completed, the Contractor will be required to issue a final audit report (which will also entail draft versions for ODOT and GCRTA review and comment), complete with any recommendations and findings for improving GCRTA’s safety and security programs. ODOT Requirements  Monthly Reports: The successful proposer will be required to submit a monthly report within the first week of each month summarizing their work activities from the previous month. The monthly report must provide the status of GCRTA’s plan updates, audits, investigations, and CAPs as of the report date. The successful proposer must have ongoing communications with GCRTA safety, security, training, and operations staff in order to deliver an accurate monthly report to ODOT. GCRTA Executive Safety Committee Meeting: The successful proposer will be required to regularly monitor or attend GCRTA’s Executive Safety Committee meetings and report the results of those meetings to ODOT. GCRTA Quarterly Meeting: The successful proposer will be required to coordinate and conduct quarterly meetings at GCRTA headquarters to discuss the status of GCRTA plans, investigations, and CAPs. The successful proposer must also submit an annual schedule of the quarterly meetings to ODOT for review at the beginning of the calendar year and notify ODOT promptly if the meeting dates need to be rescheduled.   Other Activities The successful proposer will provide general support for implementation of the Program, including, but not limited to responding to inquiries about the Program, preparing briefing materials, and assisting ODOT and GCRTA with issues related to implementation of the Program. CONTRACT TYPE The contract will have two specified payment structures - a Cost Plus Fixed Fee (CPFF) structure and a Time and Materials (T&M) structure. Investigations of accidents and unacceptable hazardous conditions must be provided “on demand,” so ODOT will use a T&M payment structure to pay for these activities, subject to a ceiling to be established for maximum payment. ODOT will use a CPFF payment structure for work performed to prepare and submit ODOT’s annual report to FTA, review GCRTA’s Annual Report, review and update ODOT’s SSPS and GCRTA’s SSPP and SSP, the GCRTA On-Site Triennial Review, and other services that can be scheduled in advance. NOTIFICATION TO PROCEED Within 24 hours of being notified by ODOT to proceed with an on-site investigation of an accident or unacceptable hazardous condition, the successful proposer would be required to provide ODOT with a cost estimate for the investigation. The cost estimate would include the cost for personnel, travel, materials and miscellaneous expenditures. PROPOSAL FORMAT I. Description of Proposer Proposers must identify themselves and any partner firms or subcontractors in accordance with the following format: Name: Address: Telephone: Contact Person: Primary Line of Business: Areas of Expertise: Email Address: II. Understanding of the Scope of Work Proposers must describe the activities necessary for conducting a rail fixed guideway safety and security program in general. The description should also enable ODOT to determine the proposer’s knowledge of the difference between the rail fixed guideway service to be reviewed under this program and service, which is exempt from this rule (i.e., service regulated by the FRA). Proposers should submit a brief narrative supporting recommendations for conducting the work specified in the RFP, and a detailed step-by-step methodology for accomplishing the activities to be performed. III. Management and Organization Support Submit the names and resumes of individuals who will be assigned to the proposed contract. List each individual’s qualifications, availability for the term of the contract, familiarity with and understanding of FTA and ODOT t programs, policies and procedures, and previous experience on similar projects. In addition, the proposal must clearly identify each individual assigned to this project, including those working for any subcontractors. IV. Cost Information A separate sealed Cost Proposal is to be submitted with the proposal. The Cost Proposal should be divided into two sections--one for the Time and Materials (T & M) portion of the contract for the investigations of accidents and unacceptable hazardous conditions and one for the Cost Plus Fixed Fee portion for the balance of the work that is defined in advance as specified in the section on Contract Type above. Information should include cost information for any partners or subcontractors to this proposal. Because of the nature of the project, the proposer’s actual costs and the total amount of the contract are dependent upon an unknown number of accidents or determinations of unacceptable hazardous conditions for the “On-Demand” services. The Cost Proposal for the Time and Materials portion should provide a fully-loaded hourly rate, including fringes and overhead for each participant. An overall contract ceiling will be established by ODOT that will provide a cost cap for this portion of the contract. For the Cost Plus Fixed Fee portion, both the components of cost and a proposed total cost should be provided for the project. To provide a basis for comparison, proposers must submit the following cost information:      Labor Costs - Provide a roster of positions that will be available and assigned to work under the contract. List the fully loaded hourly rate for each position. Overhead - Express as a fixed percent of direct labor costs. General Administration - Express as a fixed percent of direct labor costs. Profit - Express as a percent or rate and the base to which the percent or rate applies; do not list a dollar amount. Travel - While not requested as a part of the information submitted, all travel costs are limited by the rates allowed under the applicable ODOT travel directives in place at the time travel is undertaken. Current maximum daily lodging and meal reimbursement rates, when overnight travel is required, are listed on ODOT’s website at: http://intranet.dot.state.oh.us/finance/Accounting/Fiscal%20EC%20Support/Trav el/TravelBrochureEX.pdf V. Forms, Certifications and Assurances All proposers must complete, sign and submit the following enclosed exhibits with their proposal:    Exhibit A - Affirmative Action Affidavit Exhibit B - Non-Collusion Affidavit Exhibit C - Ineligible Contractor’s Certificate PROPOSER INSTRUCTIONS I. Proposal Due Date One (1) original and two (2) copies of the proposal must be received at ODOT by 4:00 p.m. on Friday, January 16, 2009 to: Ms. Marianne E. Freed Administrator Office of Transit Ohio Department of Transportation 1980 West Broad Street 2nd Floor Columbus, Ohio 43223 Any proposals received after the deadline will not be considered and will be returned unopened. To facilitate the clarification of requirements, respondents are requested to submit questions by email no later than January 9, 2009, to dave.seech@dot.state.oh.us. Questions and answers received by January 9, 2009, will be posted on ODOT’s Office of Transit website at: http://www.dot.state.oh.us/Divisions/Local/Transit/Pages/default.aspx II. Commitment to Perform Proposal Services The proposal must be signed by a duly authorized official of the proposer’s firm, or if a joint venture, by an official from each participating firm. III. Contract Award Any proposed contract negotiated between ODOT and the successful proposer as a result of this RFP is subject to approval of the State Controlling Board. Without Controlling Board approval, the contract will be invalid and unenforceable. TERMS AND CONDITIONS I. Project Completion The duration of this contract will be two years starting July 1, 2009 and ending June 30, 2011. II. Project Funding The contract will be funded through various grants from FTA and the State of Ohio. III. Reserved Rights During the solicitation process, ODOT reserves the following rights: To reject any or all proposals, to postpone contractor selection and to resolicit or cancel this procurement if deemed to be in the best interest of the State of Ohio.  To request additional information from any and all proposers.  To subject the execution of any contract or task order to the availability of funds and negotiation of agreeable terms with the successful proposer.  To enter into a contract with any proposer based upon the proposer’s initial offer. To waive liability for reimbursement of any costs incurred by proposers   IV. responding to this RFP. Rejection of Proposals ODOT will reject any proposal for the following reasons:     Proposer fails to sign the required forms, certifications and assurances, and enclose the originally-signed forms, certifications and assurances in the original proposal filed with ODOT. Signatures should be in blue ink. Proposer includes exceptions to the services described under Scope of Services. Proposal is received after 4:00 p.m. on Friday, January 16, 2009. Proposer provides less than sixty (60) days for acceptance. REQUIRED CONTRACT CLAUSES Any contract awarded as a result of this solicitation will incorporate the clauses of the standard ODOT contract as well as specific clauses required by FTA. Required FTA clauses and certifications (Exhibit A through Exhibit C) are included. If selected, the proposer must execute the contract prior to submission of the proposed contract to the State Controlling Board. EVALUATION AND SELECTION PROCESS I. Evaluation Criteria All proposals submitted in response to this RFP will be evaluated according to the following criteria: A. General quality and adequacy of response (35 points) 1. 2. 3. B. Completeness Understanding of the work to be performed Responsiveness to the RFP scope of work Experience of proposer and proposer’s personnel (30 points) 1. 2. Prior experience with safety and security programs, with emphasis on public transportation related projects Qualifications of personnel (education, experience and training) C. Structure of proposer’s organization (15 points) 1. 2. Availability and responsiveness of proposer’s resources and personnel DBE participation and proposer’s efforts to maximize opportunities for DBE participation D. Cost (20 points) 1. 2. Reasonableness of unit cost elements provided for direct labor, overhead, general administration and profit Evidence of efficient use of proposer’s resources II. Selection Process The successful proposer will be selected by ODOT staff. ODOT staff will review and score all proposals. Proposers may be contacted to make an oral presentation. The presentations will allow ODOT staff to ask questions with regard to the respective proposals and provide an opportunity for proposers to discuss issues relative to their proposals. Following the presentations, ODOT staff will recommend a proposer for the rail safety contract and will subsequently contact the recommended proposer to initiate negotiations for a contract. III. Solicitation Schedule The schedule below lists target dates for completion of various phases of this solicitation: Date December 15, 2008 January 16, 2009 February 6, 2009 February 27, 2009 March 27, 2009 Activity RFP advertised Proposals due at ODOT Proposer interviews, if necessary Contractor selection Solicitation documentation and proposed contract submitted to State Controlling Board for approval State Controlling Board Meets April 20, 2009 May 15, 2009 July 1, 2009 Notification of Controlling Board Approval Contract Begins EXHIBIT A AFFIRMATIVE ACTION AFFIDAVIT (to be completed by firms with less than 50 employees) (STATE OF (COUNTY OF I, of the ) ) of _____________________ , of full age, in the County of , State of being duly sworn according to law on my oath depose and state that: 1. I am project. 2. officers and employees of every type. of the firm of , a bidder making a proposal inclusive upon the above named does not have 50 employees or more inclusive of all 3. I am familiar with the affirmative action requirements of O.R.C. 125.11.1 and rules and regulations issued by the Ohio Department of Administrative Services pursuant thereto. has complied with all affirmative action requirements of the State of Ohio, including those required by the O.R.C. 125.11.1 and the rules and regulations issued by the Ohio Department of Administrative Services thereto. I am aware that if does not comply with O.R.C. 125.11.1 and rules and regulations issued pursuant thereto, that no monies will be paid by ODOT until an affirmative action plan is approved. I understand that the contract may be terminated and may be debarred from all public contracts for a period up to five (5) years for violation of said provisions. In the event my workforce increases to 50 employees, I must contact the Ohio Affirmative Action office and complete an Employee Information Report. 4. 5. 6. Signature of Authorized Official __________________________________ Title EXHIBIT B NON-COLLUSION AFFIDAVIT (STATE OF (COUNTY OF I, of the ) ) of _______________________ , of full age, in the County of , State of being duly sworn according to law on my oath depose and state that: I am of the firm of , a bidder making a proposal inclusive upon the above named project, and that I executed the said proposal with full authority to do so: that said bidder has not, directly or indirectly, entered into any agreement, participated in any collusion, or otherwise taken any action in restraint of free, competitive bidding in connection with the above named project; and that all statements contained in said proposal and in this affidavit are true and correct, and made with full knowledge that ODOT relies upon the truth of the statements contained in said proposal and in the statements contained in this affidavit in awarding the contract for the said project. I further warrant that no person or selling agency has been employed or retained to solicit or secure such contract upon an agreement or understanding for a commission, percentage, brokerage or contingent fee, except bona fide employees or bona fide established commercial or selling agencies maintained by (Name of Contractor) . Signature of Authorized Official ____________________________________ Title EXHIBIT C CERTIFICATION REGARDING DEBARMENT, SUSPENSION, PROPOSED DEBARMENT, AND OTHER RESPONSIBILITY MATTERS (a)(1) The Proposer certifies, to the best of its knowledge and belief that-(I) The Proposer and/or any of its Principals-(A) Are not presently debarred, suspended, proposed for debarment, or declared ineligible for the award of contracts by any federal or state agency; Have not, within a three-year period preceding this offer, been convicted of or had a judgment rendered against them for: commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state, or local) contract or subcontract; violation of federal or state anti-trust statutes relating to the submission of offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, or receiving stolen property; and Are not presently indicted for, or otherwise criminally or civilly charged by a governmental entity with commission of any of the offenses enumerated in subdivision (a)(1)(I)(B) of this provision. (B) (C) (ii) The Proposer has not, within a three-year period preceding this proposal, had one or more contracts terminated for default by any federal or state agency. (2) “Principals”, for the purpose of this certification, means officers; directors; owners; partners; and persons having primary management or supervisory responsibilities within a business entity (e.g., general manager; plant manager; head of a subsidiary, division, or business segment; and similar positions). THIS CERTIFICATION CONCERNS A MATTER WITHIN THE JURISDICTION OF AN AGENCY OF THE UNITED STATES AND THE MAKING OF A FALSE, FICTITIOUS, OR FRAUDULENT CERTIFICATION MAY RENDER THE MAKER SUBJECT TO PROSECUTION UNDER SECTION 1001, TITLE 18 UNITED STATES CODE. (b) The Proposer shall provide immediate written notice to the Contracting Officer if, at any time prior to contract award, the Proposer learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. EXHIBIT C (Continued) (c) A certification that any of the items in paragraph (a) of this provision exists will not necessarily result in withholding of an award under this solicitation. However, the certification will be considered in connection with a determination of the Proposer’s responsibility. Failure of the Proposer to furnish a certification or provide such additional information as requested by the Contracting Officer may render the Proposer nonresponsible. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render, in good faith, the certification required by paragraph (a) of this provision. The knowledge and information of a Proposer is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. The certification in paragraph (a) of this provision is a material representation of fact upon which reliance is placed when making an award. If it is later determined that the Proposer knowingly rendered erroneous certification, in addition to other remedies available to the State, the Contracting Officer may terminate the contract resulting from this solicitation for default. (d) (e) Signature of Authorized Official __________________________________ Title ________________________________ Name of Company