1-DOVETAIL_BPM006549_LIST OF PROJECTS & RELEVANCE_2025-0223.pdf

DOVETAIL CONSULTING

LIST OF PROJECTS AND RELEVANCE

Solicitation No: BPM006549 Arizona DOT, Light Rail/Streetcar Safety and Security Oversight February 25, 2025 Page 1 of 8

Organization Overview

This section of our proposal provides a description of Dovetail Consulting’s company history, experience, and expertise in providing the same services as required in the solicitation, to the same customers as the Arizona DOT.

Company History, Experience, and Expertise

Dovetail Consulting is pleased to present our response to the Arizona Department of Transportation’s solicitation to assist with the rail safety oversight of the Valley Metro multi-modal rail system and the Sun Link Streetcar system.

Our safety and security experience spans all phases of program development including development and implementation of state safety oversight programs to comply with the recently issued 49 CFR Part 674, State Safety Oversight Rule. We skillfully develop and strategically implement Agency Safety Plans, Security and Emergency Preparedness Plans, Safety and Security Certification Plans, Event Investigation Plans, Internal Audit Programs and other related safety and security plans and procedures. Because of our first-hand knowledge and experience at performing the same tasks that are required of the rail transit agencies that Arizona DOT must oversee, we are well suited to be partners in the implementation of the Arizona Program Standard and the plan forward for continued compliance with the increased legal, enforcement, audit, and investigative authority of the department as required by 674.

We have successfully demonstrated our depth of talent, resources and capabilities with our SSO clients that have included a number of complex rail projects requiring fine-tuned technical and interagency coordination skills. These projects have included the development and delivery of Technical Training Plans, Three-Year Safety Audits, Right-of-Way Worker Protection Programs, initiation of multiple streetcar and light rail systems into revenue service, and the subsequent special assessments of safety and security program effectiveness following FTA’s safety management inspection criteria. We have deployed to the scene, investigated, and determined the probable cause for a number of rail events involving fatalities and serious injuries, including fire and smoke conditions, runaway trains, derailments, and collisions. In all cases, the work of Dovetail Consulting met the scrutiny of the FTA Office of Transit Safety and Oversight and its regional partners.

Nationally, we have successfully conducted three-year audits, operational readiness reviews, and safety and security readiness reviews for major capital projects for modern and historic streetcar, light rail, heavy rail, and commuter rail transit systems. Our staff has been called upon by the state safety oversight agency to interact with the National Transportation Safety Board and FTA on its behalf. We have advised both rail transit and state safety oversight agencies on how to implement programs that respond to the ever-evolving safety and security legislative requirements including Safety Management Systems, Technical Training Plans, safety management inspections, and safety risk assessments.

For State Safety Oversight Agencies, Dovetail serves as technical expert to our valued clients who provide safety oversight of urban circulator, small starts, new starts, major capital projects as well as the oversight of mature transit systems. Our oversight program activities include development and implementation of Rail Safety and Security Oversight Program Standards, Safety and Security Readiness Reviews, Safety and Security Special Assessments; ensuring rail transit agency compliance to their Safety and Security Management Plans, Safety and Security Certification Plans, Agency Safety Plans, Security and Emergency Preparedness Plans, Internal Safety and Security Audit Program Plans, Safety Risk Management Plans, Preliminary Hazard Analyses, Threat and Vulnerability Assessments, Event Investigation Plans and other related standard operations, maintenance, and emergency plans and procedures. Dovetail Consulting’s current and previous clients, Arizona, Georgia, and Hawaii, were among the first 11 states to receive 674-certification from the FTA.

Dovetail serves as direct support for the safety and security department of rail transit agencies responsible for the development of an overall safety and security program that prevents safety events and hazards for the existing rail systems, system modifications, and system extensions.

When implementing Safety and Security Certification Plans, we coordinate the participation of all levels of the organization to ensure safety and security are integral parts of an efficient and quality project.

For the FTA, Dovetail’s role is to analyze safety and security progress on major capital projects; positively and constructively interact with the grantee to solve problems; and maintain objectivity in discussions of findings, conclusions, and recommendations with FTA and the grantee. We assess the adequacy of the grantee’s implementation of, and compliance with, the safety, security, testing, and pre-revenue operations plans during all project phases. We serve as trusted advisors to the FTA when determining the grantee’s ability and readiness to perform safety and security management activities and help inform FTA’s recommendation for project advancement and entry into revenue service.

For Arizona DOT, we have presented the qualifications of an exceptional team of safety, security, and training specialists to ensure compliance with the state safety oversight rule. In this response we have presented an overview of our SSO program capabilities and accomplishments. We also provided details from our projects with the FTA and rail transit agencies to demonstrate our hands-on, in-depth, February 25, 2025 Page 2 of 8 practical knowledge and experience with rail transit management, operations and maintenance and the many integrated layers of oversight in the public transportation industry.

Why choose Dovetail Consulting? We offer the following reasons:

• We have a close-knit team of veteran rail transit safety, operations and maintenance specialists, including former heads of Rail Safety, Rail Car Maintenance, Rail Transportation, Rail Instruction, Facilities / Systems Maintenance, and Control Center Operations, former program managers for Federal and State Safety Oversight, and former law enforcement and emergency responders, supported by a group of rising stars new to the public transportation industry. We know each other well and we have worked together on numerous projects which has formed us into a high performing and productive team.

• We have a strong grasp and working knowledge of the requirements, interpretation and application of the Section 5329 / FAST Act (National Public Transportation Safety Program), 49 CFR Part 674 (State Safety Oversight Final Rule), 49 CFR Part 673 (Public Transportation Agency Safety Plan), 49 CFR Part 671 (Roadway Worker Protection), 49 CFR Part 672 (Public Transportation Safety Certification Training Program), 49 CFR Part 625 (Transit Asset Management), and other rules and directives directly related to state safety oversight, including Risk Based Inspections.

• We fully understand the more robust expectations of the Arizona DOT SSO program and have appropriately expanded our staff to address these needs and will continue to do so as the new federal and state requirements are made known.

• We command a wide range of consulting skills and knowledge of transit operations, safety, security, and emergency management.

As a result of our efforts, we have a proven track record for contract delivery and quality assurance.

• We are extremely familiar with Valley Metro and SunLink as we have participated in the ADOT SSO program since 2004, and most recently completed the extensive three-year on-site safety and security audits of both rail transit agencies.

• We are a highly qualified and cost-effective team of professionals.

• We have successfully managed readiness reviews of transit systems of similar size, modes, and operational environments as Valley

Metro and Sun Link Streetcar on schedule and within budget.

• We have found safety oversight programs to be intense, challenging, unpredictable, yet incredibly rewarding at the same time. We would like nothing more than to continue our working relationship with Arizona DOT and contribute to its continued success as a trusted public steward invested in the safety of the riding public.

Experience in Similar Projects

This section of our proposal provides a narrative detail of Dovetail Consulting’s experience performing similar work as outlined in the solicitation.

Dovetail Consulting is comprised of a team of highly qualified professionals with nationally recognized experience in the design, development, implementation and oversight of transit safety, security and emergency management policies, programs and procedures. As the following projects demonstrate, we have an exceptional understanding of streetcar, light rail, and heavy rail operations and successfully comply with safety and security processes and guidelines at all levels – federal oversight, state safety oversight, and hands on safety and security practitioners responsible for delivering, operating, and maintaining safe and secure projects and programs for rail transit agencies:

State Safety Oversight Programs:

• Arizona Department of Transportation

• Georgia Department of Transportation

• Illinois Department of Transportation

• Nebraska Department of Transportation

• Oklahoma Department of Transportation

• Hawaii Department of Transportation

Safety and Security Readiness Reviews:

• Valley Metro Central Mesa Light Rail Extension

• Valley Metro Northwest Light Rail Extension, Phase I and II

• Valley Metro South Central Extension / Downtown Hub

• Valley Metro Tempe Streetcar

• Oklahoma City Start-Up

• Transition of Atlanta Streetcar Ownership to MARTA

We believe our resumes as well as these projects demonstrate our exceptional experience and competencies in the following areas required by Arizona DOT:

Dovetail Consulting Evaluation Criteria Knowledge of FTA SSO regulations and requirements

Experience with safety, security, operations, and maintenance of heavy rail, light rail, and streetcar transit modes

Transit rail safety compliance and knowledge Compliance with FTA-required SSO Technical Training Program requirements Availability and responsiveness of resources and availability of staff for SSO support

February 25, 2025 Page 3 of 8

This section of our proposal presents the details of our past State Safety Oversight projects of similar size and scope, including a discussion of innovative approaches, lessons learned, and challenges faced and overcome by Dovetail Consulting.

Arizona Department of Transportation (ADOT) SSO: Dovetail Consulting assists ADOT with the rail safety and security oversight of the Valley Metro light rail system in Phoenix, Arizona (valleymetro.org) and the Sun Link streetcar system in Tucson, Arizona (sunlinkstreetcar.com). Dovetail Consulting is the prime contractor, with no subconsultants, and Mignon Allen has served as Project Manager of this contract since 2004.

As overall technical support to the SSO program for ADOT, Dovetail Consulting has been responsible for the successful development and implementation of the following SSO program areas:

• Mignon Allen authored the first Rail Safety and Security Oversight Program Standard for ADOT more than 15 years ago. In the initial years of the program, Dovetail Consulting trained ADOT personnel responsible for the SSO program, including arranging and participating in site visits with ADOT staff to peer SSO programs in other states across the U.S. Since that time, she has completed updates on a regular basis, including the update to meet the requirements of 49 CFR Part 674. Given the bold rail expansion plan undertaken by Valley Metro, Dovetail Consulting assisted ADOT with revising the Program Standard to include additional requirements for the State oversight of rail safety and security certification projects and projects in the engineering and construction phases. In 2019, Dovetail Consulting updated the Program Standard to incorporate FTA’s final rules for 49 CFR Part 673, Public Transportation Agency Safety Plan, and 49 CFR Part 672, Public Transportation Safety Certification Training Program. During 2024 and 2025, Mignon again undertook the process to update the Program Standard in response to an intensive federal rulemaking process, and provided revisions to the Program Standard to address revised rules 49 CFR Parts 674, 673, and 672, as well as updates to the National Safety Plan, and prepared entirely new chapters for Risk Based Inspections and Roadway Worker Protection.

• Dovetail Consulting assisted ADOT with the establishment of the standards and review checklists and has performed numerous reviews of the Valley Metro and Sun Link System Safety Program Plans, System Security Program Plans, Security and Emergency Preparedness Plans, Accident / Incident Investigation Plans, and Emergency Management Plans as well as a host of supporting safety, security, operations, and maintenance procedures. In 2019, Dovetail Consulting revised the standards and checklist for the Public Transportation Agency Safety Plan to incorporate 49 CFR Part 673 Final Rule and guidance from the FTA released during the 2019 FTA Joint SSO and RTA Workshop.

• Dovetail Consulting performs routine reviews of Internal Safety and Security Audit schedules, reports, audit materials, findings and corrective actions. Dovetail Consulting’s role also includes providing technical assistance in assessing internal audits, such as clarification of the requirement for internal auditors to be independent.

• The Accident and Incident Investigation Plan and the Hazard Management Plan and related event investigation reports and corrective actions are also a focus of Dovetail Consulting’s technical reviews and verification activities. As part of its ongoing oversight support, Dovetail Consulting performs trend analysis of accidents, incidents, occurrences, and hazards to identify significant areas of focus. This effort has included a comprehensive review of more than one year of agency daily activity logs cross-referenced against the notification, investigation, and reporting requirements of the EIP and HMP.

• Dovetail Consulting has performed every Three-Year On-Site Safety and Security Audit of Valley Metro and Sun Link since these systems initiated revenue service. Dovetail Consulting has issued hundreds of findings over several three-year audit cycles, and assisted ADOT in bringing these rail systems into compliance with the requirements and bringing the findings to closure. In 2019, Dovetail Consulting performed a comprehensive audit of Valley Metro’s safety and security program, including an assessment of the agency’s readiness to implement SMS. Through eight (8) days of interviews, document and record reviews, and field observations, the audit team assessed Valley Metro’s compliance with each program area and its SMS readiness and documented its evaluation in the audit report. In 2023, Dovetail Consulting conducted another three year audit, and observed a significant increase in Meets Criteria audit items, which is largely attributed to the implementation of the CAPs identified in the prior audit cycle and ensuring the agency’s ongoing adherence to its Agency Safety Plan, the Program Standard, and commitment to safety.

• In the last five years, with the technical leadership of Russell Zieman, Dovetail Consulting’s Division Chief West, we have conducted Safety and Security Readiness Reviews for a series of major capital projects implemented at Valley Metro including Tempe Streetcar, Northwest Extension Phase 1 and Phase II, and the South Central Extension / Downtown Hub.

• Individual Corrective Action Plans (CAPs) as well as CAP Tracking Logs are routinely reviewed by Dovetail Consulting to ensure actions taken by the rail transit systems address the deficiencies and prevent recurrence.

• Dovetail Consulting has participated in several audits of the SSO program conducted by the FTA Office of Transit Safety and Oversight as well as Readiness Reviews and quarterly site visits performed by FTA Region IX for federally funded rail projects. As a result of these reviews, Dovetail Consulting has successfully assisted ADOT with resolving all open findings for ADOT, Valley Metro, and Sun Link.

• At the request of FTA, Dovetail Consulting has assisted ADOT with preparing responses to NTSB recommendations, FTA Safety Advisories, and executive summary reports of accidents, incidents, hazards, corrective action plans, and other program information.

• Dovetail Consulting has ensured that its personnel have met the training requirements established by 49 CFR Part 672 for state safety oversight personnel and contract support with direct responsibility for safety oversight of rail fixed guideway public transportation

February 25, 2025 Page 4 of 8 systems. Dovetail Consulting personnel remain engaged with current industry best practices through participation in FTA webinars, TSI courses, and rail conferences.

Georgia Department of Transportation (GDOT) SSO: Dovetail Consulting assisted GDOT with the rail safety and security oversight of the Metropolitan Atlanta Rapid Transit Authority heavy rail system in Atlanta, Georgia (itsmarta.com), and its streetcar mode, the Atlanta Streetcar System (itsmarta.com/streetcar). Dovetail Consulting was the prime contractor, with no subconsultants, and Mignon Allen served as Project Manager of the contract from 2009 to 2022.

We have provided technical direction, coordination and management of all key team leaders, support personnel, and program activities for every SSO program task which is consistent with the scope of services discussed within the Arizona DOT RFP. Specifically, we have routinely planned, conducted, and documented field observations and site visits to MARTA and Atlanta Streetcar; held quarterly progress meetings with the SSO Project Manager; and prepared and maintained extensive correspondence and SSO program documentation, including technical responses to Open Records Requests.

Dovetail Consulting has assisted GDOT with preparing its annual submission to the FTA, including the validation of all SSO data from the years 2007-2012 and reconciliation of SSO data against the NTD reports.

Dovetail Consulting has also been the author of the last five revisions of the Program Standard and related checklists, forms, and procedures, all of which have met the approval of the FTA and become best practices within the public transportation industry. Most recently, in 2019, Dovetail Consulting updated the Program Standard to incorporate FTA’s final rules for 49 CFR Part 673, Public Transportation Agency Safety Plan, and 49 CFR Part 672, Public Transportation Safety Certification Training Program.

Dovetail Consulting has reviewed MARTA and Atlanta Streetcar’s System Safety Program Plans and Security and Emergency Preparedness Plans which resulted in the identification of detailed comments to meet the requirements of GDOT, improved quality of the transit agency’s program content, and increased allocation of resources to effectively implement these plans. In 2019, Dovetail Consulting revised the standards and checklist for the Public Transportation Agency Safety Plan (PTASP) to incorporate 49 CFR Part 673 Final Rule and guidance from the FTA released during the 2019 FTA Joint SSO and RTA Workshop. Dovetail Consulting has performed a series of reviews of PTASP in anticipation of the July 20, 2020, compliance date. Additionally, Dovetail Consulting regularly provides detailed case studies and technical memorandums to provide clarification in response to the changing regulatory environment.

Dovetail Consulting has reviewed the MARTA and Atlanta Streetcar Internal Audit Annual Reports, findings, corrective actions, procedures, audit checklists, and three-year audit schedule. Our reviews have resulted in the identification of internal audit deficiencies that have been remedied through improved procedures and increased, specialized training and qualifications for auditors.

We have personally reviewed and prepared the accident and hazard review checklists for every GDOT-reportable accident and unacceptable hazard / security threat occurring on the MARTA and Atlanta Streetcar system during our tenure as SSO contract support. We have also led on-site follow up investigations, including interviews, inspections, and field observations, to verify investigation activities and compliance with the adopted procedures. As part of its oversight support, Dovetail Consulting performed trend analysis of accidents, incidents, occurrences, and hazards to identify significant areas of focus. This effort included a comprehensive review of nearly two years of agency superintendent logs cross-referenced against the notification, investigation, and reporting requirements of the EIP and HMP.

Our Project Manager served as the lead auditor for the MARTA On-Site Safety Audit (2013) and the MARTA On-Site Security Audit (2012 and 2017). In this capacity, she conducted all the pre-planning, prepared the schedule, performed the on-site activities – including leading all interviews and identifying all documentation to be reviewed by the audit team – and authored the draft and final reports, which included the corrective actions to achieve compliance with the Program Standard. In 2019, Dovetail Consulting performed an audit of MARTA’s safety program. Through fifteen (15) days of interviews, review of more than 200 documents and records, and field observations, the audit team assessed MARTA’s compliance with each program area and its SMS readiness. The audit team prepared an exit briefing, preliminary observations, and held a series of meetings to expedite MARTA’s responses to the audit findings.

When the FTA conducted its audits of the GDOT SSO program in 2012, 2015, 2019, there were no findings for the three-year on-site audit process. During the FTA audit of the GDOT SSO program, Dovetail Consulting served as technical support throughout the pre-audit preparation, interviews, and response to findings. For the 2019 audit, all findings were closed by the time of the final report.

Dovetail Consulting consistently developed corrective action plans to mitigate findings and hazards as a result of accidents, hazards, audits, and other oversight activities on behalf of GDOT. We found opportunities to improve the methods to capture, track, and review CAPs.

Because of this, we developed one master CAP Log spreadsheet to consolidate all CAPs from each transit agency and ease the transfer of information from the agency to the FTA online SSO annual reporting tool. Dovetail Consulting has ensured that its personnel are trained and familiar with the State Safety Oversight Reporting tool. We have held numerous work sessions with MARTA and Atlanta Streetcar to

February 25, 2025 Page 5 of 8 provide technical guidance, insight, and other assistance to facilitate the closure of CAPs and achieve compliance with the Program Standard and agency’s plans. Most recently, Dovetail Consulting led a comprehensive effort to categorize, prioritize, and facilitate closure of all CAPs from each program area, through a series of meetings at the staff and executive level, expedited reviews, and additional technical guidance.

Our Project Manager is an experienced practitioner in the development and implementation of Safety and Security Certification Plans (SSCPs) through her extensive work on locally and federally funded streetcar, light rail, and heavy rail major capital projects. She has direct knowledge of the requirements, proven methods, and expected outcomes for capital projects subject to safety and security certification. She is uniquely suited to manage the review of PMPs, SSMPs, SSCPs, SSCVRs, and monitor the rail transit agency’s implementation of each phase of the certification process. Of particular note was Dovetail Consulting’s role in the startup of the Atlanta Streetcar system. Our firm provided intensive technical guidance and reviews of the following plans and subordinate procedures: System Safety Program Plan, Security and Emergency Preparedness Plan, Internal Safety and Security Audit Program Plan, Hazard Management Plan, Accident / Incident Investigation Plan, and Corrective Action Plan Program necessary to meet the Initial Submission requirements of the Georgia Program Standard and bring the system into revenue service. Dovetail Consulting was also instrumental in the technical coordination and partnership with FTA Office of Transit Safety Oversight and the FTA Region to implement their Safety and Security Readiness Reviews and OP 54 Readiness Reviews of the Atlanta Streetcar system.

Dovetail Consulting authored the GDOT Technical Training Plan (TTP) which was approved by the FTA. When coordinating with the FTA’s contractor who conducted the review of the Department’s TTP, he advised that the GDOT TTP was being used as the best practice template for the SSO community. Dovetail Consulting has ensured that its personnel have met the training requirements established by 49 CFR Part 672 for state safety oversight personnel and contract support with direct responsibility for safety oversight of rail fixed guideway public transportation systems. Dovetail Consulting personnel remain engaged with current industry best practices through participation in FTA webinars, TSI courses, and rail conferences.

On behalf of GDOT, we have researched and provided detailed review comments to the proposed rulemaking process for all rules under MAP-21, including Section 5326, Transit Asset Management. In anticipation of GDOT’s increased authority under 5326, Dovetail Consulting expanded the firm’s maintenance capabilities to include specialists for facilities, signals, and rail vehicle maintenance. These specialists provide knowledge and advice on how to achieve and maintain a state of good repair and how best to integrate the asset management program with the SSO’s responsibilities. Our Project Manager authored GDOT’s FTA-approved Certification Work Plan (CWP), as well as other CWPs for our other SSO projects, and through our frequent coordination with the FTA and monitoring of their roll out of the MAP-21 requirements and new rules, we stand ready and well equipped to conduct research and analysis, prepare the series of required assessment reports, and offer technical and strategic advice necessary to maintain the 674 certification of our SSO clients.

Dovetail Consulting has performed and overseen every safety and security task required during the engineering, construction, testing, start-up and commissioning phase for many major rail capital projects across the United States, including heavy rail, light rail and streetcar modes.

Over the course of the SSO program, our Project Manager has provided leadership and technical expertise to many special investigations, audits, and assessments at the direction of the Department and FTA, including: the conduct of an independent review on behalf of GDOT of a potential hazard reported by a rail transit agency employee directly to the FTA Office of Safety and Security (MARTA ATU Complaints of rail safety hazards in 2009, 2010, 2013), FTA-mandated Right-of-Way Worker Protection Assessment of MARTA and Atlanta Streetcar (2014), GDOT Certification Work Plan (2014), GDOT Technical Training Plan (2014), Accident Investigation Procedural Assessment of Atlanta Streetcar (2015), FTA-mandated Tunnel Ventilation System Assessment of MARTA (2016) and the Special Assessment of the Safety and Security Program of the Atlanta Streetcar (2016). In 2019, Dovetail Consulting completed the effort to comprehensively transition the Atlanta Streetcar system into MARTA. This involved facilitation of a series of meetings between GDOT, MARTA, and Atlanta Streetcar, review of nearly 200 documents, and acceptance of Certificates of Conformance for System Safety; Organizational Structure, Hiring and Staffing; Operations, Maintenance, and Training; Financial Plan, Fare Policy, and Business Support; Transit Asset Management; and Security and Emergency Preparedness.

Illinois Department of Transportation: Since 2022, Dovetail Consulting has assisted IDOT with the oversight of the Chicago Transit Authority, bringing our extensive experience and understanding of federal safety rules and requirements to the State of Illinois. Dovetail Consulting assisted in a series of strategic initiatives for the SSO including a comprehensive update to the Program Standards Manual, a review of CTA safety and security plans for compliance to IDOT's requirements, performance of a comprehensive three-year safety and security audit of the CTA Agency Safety Plan, and provided technical oversight to the design, construction, testing, and operational readiness activities of multiple rail transit major capital projects.

IDOT conducted its Safety and Security Audit of the CTA as required by the Program Standards Manual, Section 6, IL-SSOA Safety and Security Audits. On behalf of IDOT, Dovetail Consulting served as the lead auditors. The audit was the final part of an overall triennial audit cycle to determine the extent to which CTA is meeting the requirements of the Program Standards Manual, the CTA Public Transportation Agency Safety Plan (PTASP), and the following federal safety law and rules: 49 U.S. Code § 5329, Public Transportation Safety Program; 49 CFR Part 674, State Safety Oversight; 49 CFR Part 673, Public Transportation Agency Safety Plan; 49 CFR Part 672, February 25, 2025 Page 6 of 8

Public Transportation Safety Certification Training Program; 49 CFR Part 670, National Public Transportation Safety Program; and 49 CFR Part 630, National Transit Database.

From August 21 to September 1, the audit team conducted over 50 interviews and several site visits with CTA executive leadership, managers, and frontline personnel. In addition to the interview sessions, the audit team conducted follow up site visits to CTA facilities to verify operations, maintenance, and training records. from September 27 – 29, 2023.

On behalf of IDOT, Dovetail Consulting conducted a top to bottom review which involved the analysis of nearly 5,000 pages of supporting documentation, preparation of more than 100 pages of auditor materials, and for the first time, provided an Audit Participant’s Guide to provide technical assistance and transparency to CTA personnel on the audit requirements and advice on how best to prepare.

In September 2022, FTA assessed IDOT's implementation of 49 CFR Part 674, the State Safety Oversight rule, and conformance to its Program Standards Manual. This was FTA’s first audit of the SSO program since being certified in 2018. On May 25, 2023, IDOT received the final audit report which included six open findings. On July 10, IDOT provided factual responses to the draft report and proposed six corrective actions to address FTA’s findings. On August 1, 2023, FTA closed two of the findings and approved three out of the four corrective actions. The fourth finding, related to staffing, was not approved. Instead, FTA issued Special Directive 23-1 to IDOT on October 26, 2023, related to staffing. At the time of this proposal, Dovetail Consulting has successfully assisted IDOT with providing responses to all corrective actions, which are currently under review by FTA. At the end of 2024, FTA approved all corrective actions and transitioned its oversight to reduced monitoring of the implementation of IDOT’s SSO program activities.

Dovetail Consulting serves as the lead for IDOT’s oversight of CTA’s safety and security certification process. In this role, we authored a substantial revision to the Program Standards Manual to add two chapters dedicated to establishing requirements for project-specific Safety and Security Certification Plans (SSCP) and identifying oversight activities for the design, construction, testing, and start-up of capital projects.

Dovetail then implemented these chapters for several capital projects, such as Red Purple Modernization, Your New Blue, and the 7000 Series Rail Car Procurement, including preparing Safety and Security Certification Verification Report (SSCVR) review checklists and performing site visits for verification.

Nebraska Department of Transportation (NDOT) SSO: In 2023, the Nebraska Department of Transportation engaged Dovetail Consulting to develop its first ever State Safety Oversight Program, including development of its initial Program Standard and 674 certification application. In this technical capacity, Dovetail Consulting works very closely with NDOT’s Chief and Deputy Chief Counsel and SSO program management personnel. To ensure the Program Standard is appropriate to the scope, size and complexity of the rail system, Dovetail Consulting has attended coordination meetings on the design and construction of the Omaha Streetcar, the rail fixed guideway public transportation system that will be subject to oversight by NDOT.

Oklahoma Department of Transportation (ODOT) SSO: In the summer of 2018, Dovetail Consulting was engaged by the State of Oklahoma to perform a safety, security, operations and maintenance readiness review of the Oklahoma City (OKC) Streetcar project. Leading up to its grand opening in December of that same year, Dovetail Consulting successfully completed the following tasks on behalf of the SSO:

• Dovetail Consulting managed the communications, resources, schedule, budget, and quality assurance program for all assignments and deliverables, including providing key personnel / subject matter experts via site visits and conference calls to provide technical support to ODOT during various meetings with OKC Streetcar and ODOT executive management.

• Dovetail Consulting performed a thorough review of over 200 documents submitted by OKC Streetcar prior to the on-site visit. Based on the document review, Dovetail Consulting prepared a schedule of interviews, field observations, additional documents to be requested, and other audit activities to be performed on-site.

• Over a 10-day period, Dovetail Consulting conducted the on-site portion of the assessment of the OKC Streetcar project to determine the quality and effectiveness of the implementation of the safety and security certification program for this system’s entry into revenue service. The SSRR consisted of an evaluation of 10 certification requirements. Dovetail Consulting conducted a walkthrough of the alignment to observe the condition of construction phase activities, delivered a 2-hour Exit Briefing Presentation to ODOT and OKC Streetcar project stakeholders, and provided an extensive written report of preliminary observations and recommendations.

• Dovetail Consulting prepared and transmitted a nearly 200-page Draft Report to ODOT. The Draft Report documented the completion of Dovetail Consulting’s verification activities, including interviews with the project staff, consultants and contractors; additional review and analysis of over 100 documents and records, facility and field observations. Dovetail Consulting identified 41 findings in the Draft Report that required the development and implementation of corrective action plans (CAPs) by OKC Streetcar.

• OKC Streetcar provided a response to the Draft Report, including proposed CAPs. Subsequently, Dovetail Consulting completed the review of the initial set of CAP responses and supporting documentation, incorporated this information as an appendix, and made all other changes necessary to provide the Final Report to ODOT.

• Over the course of the next several months, Dovetail Consulting completed multiple reviews of OKC Streetcar CAP submittals which resulted in the enhanced safety, security, and operations and maintenance effectiveness of the rail system. Some of these improvements

February 25, 2025 Page 7 of 8 included the requirement to develop a comprehensive Design Criteria Manual; to mitigate additional safety hazards and security threats identified by our team; construct and install additional safety features and devices to improve safety in and around platforms for pedestrians, vehicles, and streetcars; to perform additional system integrated tests for the automatic lowering of the pantograph; and to revise operations and maintenance training and procedures.

Subsequent to the completion of the Safety and Security Readiness Review, ODOT engaged Dovetail Consulting as dedicated contractor support for the rail safety and security oversight of the OKC Streetcar. Dovetail Consulting was the prime contractor, with no subconsultants, with Mignon Allen serving as Project Manager of the contract from 2019 to 2023. We have provided technical direction, coordination and management of all key team leaders, support personnel, and program activities for every SSO program task which is consistent with the scope of services discussed within the Arizona DOT RFP. Specifically, Dovetail Consulting has been responsible for the successful development and implementation of:

• Dovetail Consulting updated the Program Standard to incorporate FTA’s final rules for 49 CFR Part 673, Public Transportation Agency

Safety Plan, and 49 CFR Part 672, Public Transportation Safety Certification Training Program.

• Dovetail Consulting developed the standards and checklist for the Public Transportation Agency Safety Plan (PTASP) to incorporate

49 CFR Part 673 Final Rule and guidance from the FTA released during the 2019 FTA Joint SSO and RTA Workshop. Dovetail Consulting has reviewed the PTASP and regularly provides detailed case studies and technical memorandums to provide clarification in response to the changing regulatory environment.

• Dovetail Consulting led a comprehensive effort to facilitate closure of CAPs from the readiness review, through regular meetings, document reviews, and site visits.

• Every year from 2019 to 2022, Dovetail Consulting performed the annual audit of OKC Streetcar’s safety program. Through interviews, document and record reviews, and field observations, the audit team assessed OKC Streetcar’s compliance with all program areas and its SMS readiness and documented its evaluation in the audit report.

• Dovetail Consulting has ensured that its personnel have met the training requirements established by 49 CFR Part 672 for state safety oversight personnel and contract support with direct responsibility for safety oversight of rail fixed guideway public transportation systems. Dovetail Consulting personnel remain engaged with current industry best practices through participation in FTA webinars, TSI courses, and rail conferences.

• As part of its oversight support, Dovetail Consulting performed trend analysis of accidents, incidents, occurrences, and hazards to identify significant areas of focus. As OKC Streetcar only recently entered revenue service, this effort particularly focused on probable cause as it relates to design, construction, and testing, and resulted in a number of continuing improvements.

Hawaii Department of Transportation (HDOT) SSO: Dovetail Consulting authored the first-ever Hawaii Program Standard for the State of Hawaii in October 2012. The FTA evaluated the Standard in early 2013, and found zero (0) findings and 7 best practice observations, including the following: fully addresses requirements of 49 CFR Part 659; explains how the Initial Submission process will be handled;

requires specific plans and tracking logs to be developed by the Honolulu Authority for Rapid Transit (HART) for Accident / Incident Investigation, Internal Audit, Hazard Management, and Corrective Action Plans; provides detailed tables of contents, outlines and review checklists for each of these plans and logs; identifies specific safety principles to govern HART’s fully automated operations; requires a Safety and Security Certification Plan (SSCP); and includes MAP-21 placeholders for Safety Training Program, Transit Asset Management, and HDOT’s activities during HART’s Engineering and Construction Phases.

For the next four years, Dovetail Consulting actively implemented the engineering and construction oversight requirements of the HDOT Program Standard, including a review of the Safety and Security Management Plan, Safety and Security Certification Plan, certifiable elements against the adopted Design Criteria and Technical Provisions, as well as planning, facilitating, and documenting quarterly SSO site visits, including construction safety field observations. FTA held a Readiness Review of the HDOT SSO program in 2015, and the federal auditors observed these engineering and construction activities as best practices for the SSO community.

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Summary of Previous Experience

ADOT Scope of Work

EXPERIENCE IN SIMIILAR PROJECTS

Task performed at

ADOT?

Task performed at

GDOT?

Task performed at

IDOT?

Task performed at

NDOT

Task performed at

ODOT?

Task performed at

HDOT?

674 Certification Task PM, Program Management Task 1, Program Standard Task 2, System Safety Program Plan (SSPP) / Public Transportation Agency Safety Plan (PTASP)

Task 3, Security and Emergency Preparedness Plan

Task 4, Internal Audit Plans / Procedures / Checklists

Task 5, Hazard Management Process / Safety Risk Management

Task 6, Accident Notification, Investigation, and Reporting

Task 7, Three-Year On-Site Safety and Security Audits

Task 8, Corrective Action Plans Task 9, FTA Reporting, Advisories, Directives

Task 10, Safety and Security Certification

Task 11, Safety Training Program Task 12, Transit Asset Management Task 13, Engineering and Construction Phase

Task 14, Risk Based Inspections Task 15, Supplemental Activities