CN-550000-BEA68-00010000.pdf

Florida Department of Transportation

RON DESANTIS

GOVERNOR

605 Suwannee Street

Tallahassee, FL 32399-0450

KEVIN J. THIBAULT

SECRETARY

www.fdot.gov

Scope of Services Work Plan for Providing Continuous SSO Support Services to the FDOT Public Transportation Office

Through December 31, 2021

Prepared for:

Office of Freight, Logistics, and Passenger Operations Transit Office

Exhibit A. Work Plan for Providing Continuous SSO Support Services to the FDOT Public Transportation Office

Purpose

The purpose of the work described in this task order is to assist the FDOT Public Transit Office in implementing the state safety oversight (SSO) program. Transportation Resource Associates, Inc (TRA) shall accomplish this by working with the rail transit agencies (RTAs) in Florida to achieve safe and secure public transit by engaging in oversight activities. This shall be accomplished through:

Scheduling and conducting regular and enhanced teleconferences to assess RTA compliance and overall safe and secure practices

Providing reviews of RTA safety and security plans for consistency with requirements Assistance with mandatory federal reporting and requests for information Triennial audit activities Providing technical expertise and assistance to the RTAs and FDOT The tracking and analyzing of RTA submittals regarding hazards, reportable events, internal audits, investigations, and corrective actions Supporting the development of a new document management system by participating in trainings, inputting appropriate materials and uploading appropriate documents, and providing feedback on the system

Supporting oversight and the RTA’s implementation of Safety Management Systems (SMS) in the first year of their adoption of the Public Transportation Agency Safety Plan (PTASP)

Authority

TRA will assist FDOT in managing and implementing the SSO Program for rail transit consistent with the requirements established in 49 Code of Federal Regulations (CFR) Parts 670, 672, 673, and 674; Section 341.061(1), Florida Statutes; Rule 14-15.017, Florida Administrative Code, the SSO Manual and Implementation Guidelines, and other applicable Federal and State requirements and guidance to comply with United States Code 49 Section 5329(e).

This work plan covers TRA support for oversight activities at Miami-Dade Department of Transportation and Public Works (DTPW) Metrorail and Metromover, Hillsborough Area Regional Transit (HART) TECO Line Streetcar, and Jacksonville Transportation Authority (JTA) Skyway.

Activities and Tasks

Task 1. Triennial Audit

DTPW is due for a Triennial Safety and Security Audit in early 2021. TRA will manage notification, information requests and responses, document reviews, and preparing audit materials to support an on-time audit of DTPW. TRA will incorporate the PTASP and SMS requirements into the audit structure. TRA will conduct the audit virtually, and develop draft and final reports consistent with FDOT requirements.

Table 1. Triennial Audit.

Deliverable Description Due Date Percentage of

Activity Triennial Safety and Security Audit Draft Report

Audit requirements are described in the FDOT SSO Manual Section 9

June 1, 2021

25%

Final Report June 30, 2021 5%

Task 2. Teleconferences with RTAs

TRA will work with FDOT to hold separate, recurring teleconference meetings with HART, JTA, and DTPW to review current and emerging rail transit safety and security issues. If conditions allow, onsite visits may be required in late spring.

The TRA team will comprise project leadership, appropriate technical experts, and project analysts on all calls in order to provide immediate feedback on issues being discussed and analyzed on the calls. The team of experts on each teleconference will be determined by each meeting’s needs but will always include the Project Principal or Project Manager, a Project Analyst, and a subject matter expert (SME) or SMEs, as is necessary depending on specific project needs each time. TRA’s dedicated FDOT Project Analyst will participate in all calls to monitor project activities and develop the action item email and meeting minutes memo.

Table 2. Teleconferences with the RTAs

Deliverable Description Due Date Percentage of

Teleconference or Site Visit Agendas

At a minimum the agendas shall include time allotted to discussing and providing updates about corrective action plans (CAPs), open safety and security investigations, safety and security submittals to the state, and other safety- and/or security-related

24-hours prior to teleconference, or two business days before the onsite visit through December 31, 2021

15% operations and maintenance issues, as necessary.

Summary Memo to Agency and FDOT

Summaries will include a copy of the formal agenda, information on onsite activities, review and closure of any CAPs, any newly identified hazards or unsafe conditions, and any required follow-up action items.

Within two weeks of the teleconference or onsite visit

15%

Task 3. Plans and Procedures Support

Each RTA is required to submit its safety and security/emergency preparedness program plans and accident investigation procedures to FDOT for annual review and approval. Each RTA must also submit the plans for review upon completion of significant revisions if they occur outside of the annual review period. This task accounts for the review, feedback, revision review (if necessary) of these plans and referenced documents (rule books, procedures, etc.). TRA will provide any FDOT-requested reviews of these documents or additional reviews that may be necessitated by agency-driven updates outside of the normal annual review cycle. TRA will use FDOT-developed checklists for determining compliance with FDOT requirements. TRA will conduct an on-site review of the security plans, as appropriate, during pre-scheduled on-site reviews, due to the security sensitive information contained within. TRA will make recommendations to FDOT regarding approval of the plans and procedures.

In addition to the approach listed above, TRA will provide enhanced support to the agencies in the transition from a System Safety Program Plan (SSPP) to implementation of the Public Transportation Agency Safety Plan (PTASP) consistent with new Federal requirements. This may include working together to promote and monitor the results of employee engagement, and to determine how the PTASP needs to be updated to reflect lessons learned.

Table 3. Plans and Procedures Support

Deliverable Description Due Date Percent of

Completed plan review checklists consistent with FDOT guidelines and summaries of technical assistance provided to each

RTA

The SSO Implementation Guidelines July 2007 provide review checklists and guidance

March 30, Task 4. RTA Internal Safety and Security Reviews.

Each RTA must implement an internal safety and security audit (ISA) program. TRA will review and provide feedback on ISA documents from each RTA and ensure that all appropriate internal safety audit review forms and checklists are completed. TRA will conduct off-site reviews of these ISA checklists on behalf of FDOT, and TRA will participate in ISAs. TRA will ensure that the RTAs meet applicable timelines.

Table 4. Internal Safety and Security Reviews

Completed checklists for reviewing RTA internal safety audit schedule, reports, and procedures; and a description of guidance provided to each RTA in monthly summary to

FDOT

The SSO Implementation Guidelines July 2007 provide review checklists and guidance

December 31, Task 5. Reportable Event and Investigation Support.

TRA will review and respond to initial event notifications and reports, provide feedback to the RTA regarding their initial response, monitor the investigation process, review progress reports, maintain regular contact with the RTA regarding the event, provide applicable technical support to the RTA, review the draft and final investigation reports and provide applicable feedback, and review, approve, and verify closure of RTA CAP implementations. TRA will also document the status of all reports, including 30-day updates, on monthly conference call agendas for each agency.

Table 5. Reportable Event and Investigation Support

Spreadsheet that tracks RTA report due dates and submittals described in monthly updates to FDOT

The reportable event process is described in the SSO Manual.

December 31, Task 6. CAP Implementation Support.

This task involves the regular tracking of corrective action plans (CAPs) implementation at each RTA.

TRA will monitor the number of open and closed CAPs, review and document the status of each CAP, provide feedback and technical assistance to the RTAs, review and archive appropriate CAPs documentation, verify closure of each CAP, and monitor implementation following closure to ensure ongoing compliance with the terms of the CAP. CAPs, which are typically generated as a result of audit findings, in response to hazardous conditions, or as the outcome of accident/incident investigations, undergo a three-step process. When a CAP is first proposed by a rail transit agency, TRA will review the CAP consistent with the SSO Manual and determine whether or not the CAP is acceptable. Once approved, the transit agency implements the CAP, and TRA works with the agency to track the progress of the CAP. TRA will monitor the CAP progress at all points during the process, indicating whether or not the CAP implementation is on schedule, behind schedule, delayed, and so on.

TRA will provide guidance and technical assistance in support of CAP implementation, as necessary. TRA will use the transit system-specific spreadsheets (to review and track CAPs at each system. This spreadsheet will be updated on a regular basis to indicate the ongoing SSO monitoring activities. TRA will review the CAPs tracking spreadsheet to ensure that each agency meets deadlines for correcting deficiencies and that the corrective actions represent an appropriate response to the deficiency or area of concern.

TRA will also review and address online reporting forms upon receipt and review of CAPs. TRA will conduct a monthly review of CAPs generated by each Florida rail transit agency, which will comprise: (1) a review of the CAP tracking matrix, (2) a review of any supporting materials associated with individual corrective actions, (3) conversations, as necessary, with agency personnel to answer questions, and (4) development of a brief summary memo (or conversation), if necessary, with FDOT program managers to provide an update regarding the current status of CAPs. When on-site activities are scheduled with the agencies, CAPs will be discussed, as needed. Additional support may be necessary in the event of any agency being seriously deficient in its CAP program. The third step in the CAPs process is closure of the CAP. When all requirements have been satisfied and the transit system feels the CAP is complete, it will inform TRA, and it will be required to submit supporting documentation to TRA. TRA will review the CAPs documentation and determine whether or not the CAP has been appropriately completed and if the documentation is sufficient to verify CAP closure. If all materials are deemed satisfactory, TRA will verify closure of the CAP and indicate the CAP to be “closed” according to SSO requirements. TRA may engage supplemental CAP-supporting activities on an as-needed basis. TRA will track CAP statistics on meeting agendas and monthly reports.

Table 6. CAP Implementation Support

Summary Report of all activities related to CAPs

The CAP process is described in Section 10 of the SSO Manual

December 31, Task 7. Safety Risk Management (SRM)

TRA will regularly monitor RTA internal hazard tracking to ensure each RTA implements an active safety risk management program. TRA will review hazard tracking logs, provide applicable feedback and technical support, conduct a formal review of hazard analysis reports, and track mitigations/corrective actions.

TRA will ensure that the appropriate FDOT forms are complete and that RTAs submit tracking logs monthly.

TRA will include a separate topic on the regularly scheduled conference calls and site visits to discuss the current hazard log and determine if additional attention is necessary in order to mitigate the hazards.

Table 7. Safety Risk Management

Completion of checklists for reviewing hazard tracking logs for each RTA submitted to FDOT monthly

The hazard process is described in the SSO Manual

December 31, Task 8. Technical Support & Data Analysis.

This task involves all FDOT- and RTA-requested technical support, as well as providing up-to-date information based on current industry analyses, best practices, legislative reviews, subject matter expertise and experience, analysis of major events, changes in equipment, facilities, or technology, and emerging trends across the public transit industry. In coordination with the FDOT project manager, TRA may send out periodic emails to the RTAs describing relevant new or emerging “hot topics.”

TRA will be available to FDOT for reviewing safety and security-related concerns and topics and provide assistance with preparing and submitting formal communications to the RTAs. TRA will continue to maintain regular contact with FDOT and the RTAs to discuss any type of safety or security issue that may arise, that need attention beyond the regular monthly teleconferences and site visits. TRA will provide relevant subject matter expertise for each agency for ongoing, as well as emergency events. For example, in the event that FTA issues a “Dear Colleague” letter requiring a response by the Department or by the transit agency, TRA will provide guidance and assistance, as necessary. TRA will also provide practical solutions to HART, DTPW, and JTA, regarding assessing the safety/security of new equipment, facilities, or technologies, as well as responding to employee safety concerns, or acting on whistle-blower reports. As such, this task allots time for the ongoing issues and subjects that may arise at any time. This also allows for TRA to provide technical support to the FGTS for any special needs they may have, including implementing new safety management systems.

Table 8. Technical Support and Data Analysis

Summaries of all technical support and analytic activities

To be provided monthly

December 31, 10%

Task 9. FDOT SSO Program Guidelines and Checklists.

The FDOT SSO Program guidelines require revision to incorporate requirements for the PTASP as established in 49 CFR Part 673. TRA will work with FDOT to draft these documents.

TRA will ensure that forms incorporate lessons learned and any state or federal reporting requirements. TRA will ensure that forms are able to be integrated into the replacement database for the document management system. TRA will work with FDOT to determine if any new forms need to be developed.

Table 9. Revised SSO Manual and Implementation Guidelines

Revised Implementation Guidelines

Final Draft June 30, 2021 5%

Travel

TRA Travel expenses authorized by the terms of this scope and approved by Department’s Project Manager shall be in accordance with Section 112.061 Florida Statutes. TRA travel arrangements and allowable expenses must be consistent with the requirements for all State of Florida employees. TRA shall complete and submit a Department Contractor Travel Form (“300-000-06”), along with travel receipts/documentation for each person approved for travel during the reporting period. The travel form must also be signed by the TRA traveler’s supervisor or an appropriate official. If the traveler is TRA’s president no additional signatures are necessary.

Instructions for completing the contractor travel form along with guidance on travel allowances are outlined on the form. The Department’s Project Manager will provide the Vendor a copy of the Department Contractor Travel Form (“300-000-06”). It is intended that TRA be reimbursed for all approved and allowable cost incurred during travel to execute this scope. If there are any questions concerning travel please discuss them with the Department Project Manager. TRA will confirm with the FDOT Program Manager who is participating on each site visit in advance of the site visit.

Budget Proposal & Method of Compensation

Method of Compensation and Progress Payments are outlined in Exhibit "B"

The budget for this task work order is attached as Exhibit “C”.

EXHIBIT “B”

METHOD OF COMPENSATION BEA 68 TWO 943-1

Financial Project Number: 4358111-12-01

1.0 Purpose:

This Exhibit defines the limits and method of compensation to be made to Transportation Resource Associates, Inc. (TRA) for services set forth in Exhibit "A" and the method by which payments shall be made.

2.0 Compensation:

For the satisfactory performance of services detailed in Exhibit "A", TRA shall be paid up to a maximum amount of $700,414.62.

3.0 Progress Payments:

TRA shall be paid a maximum amount of $700,414.62. Hourly billing rates shall not exceed the contract hourly billing rates (Exhibit C).

Payments for travel expenses authorized by the terms of Exhibit A shall be in accordance with Section 112.061, Florida Statutes. TRA shall complete and submit a signed Department Contractor Travel Form (300-000-06) with travel receipts. TRA shall submit invoices and monthly reports in a format acceptable to the Department (see section 4.0). Changes to Tasks or Deliverables will require a Task Work Order amendment executed by both parties.

December 31, 2020- December 31, 2021 Maximum Amount: $700,414.62

Invoices shall be submitted to: Ashley Porter, Safety & Security Manager

605 Suwannee St., MS 26, Tallahassee, FL 32399

4.0 Invoice Forms:

The invoice must be on letterhead and at a minimum, include the following information:

1) Date of invoice;

2) FDOT Contract Manager's name and billing address;

3) Contract/project name;

4) FDOT contract/TWO number;

5) Service period of invoice and task(s)/deliverable(s) description;

6) The name of the Principal(s);

7) Total payment amount requested and amount paid to date;

8) Authorized signature of Provider;

9) Date of signature;

10) Provider’s address and complete payment information including the name, phone number; and email address of a person to contact for questions regarding the invoice.

5.0 Financial Consequences:

Payment shall be made only after receipt and approval of goods and services unless advance payments are authorized by the Chief Financial Officer of the State of Florida under Chapters 215 and 216, Florida Statutes. If the Department determines that the performance of TRA is unsatisfactory, the Department shall notify TRA of the deficiency to be corrected, which correction shall be made within a timeframe to be specified by the Department. TRA shall, within five days after notice from the Department, provide the Department with a corrective action plan describing how TRA will address all issues of contract non-performance, unacceptable performance, failure to meet the minimum performance levels, deliverable deficiencies, or contract non-compliance. If the corrective action plan is unacceptable to the Department, TRA shall be assessed a non-performance retainage equivalent to 10% of the total invoice amount. The retainage shall be applied to the invoice for the then-current billing period. The retainage shall be withheld until TRA resolves the deficiency. If the deficiency is subsequently resolved, TRA may bill the Department for the retained amount during the next billing period. If TRA is unable to resolve the deficiency, the funds retained may be forfeited at the end of the Agreement’s term.

6.0 Details of Costs and fees:

Details of costs and fees for the performance of the Vendor’s services are attached as Exhibit "A", attached hereto and made a part hereof.

7.0 Tangible personal property:

This contract does not involve the purchase of Tangible Personal Property, as defined in Chapter 273, Florida Statutes.

Exhibit C

SSO Project

Manager

SSO Program

Analyst Safety/

Security

SSO Program

Analyst Safety/

Security

SSO Program

Analyst Safety/

Security SSO Investigator

SSO Program

Analyst

Mechanical/

Vehicles Malin Simmonds SSO Inspector

Activities and Tasks

TRA Principal -

Wallgren

TRA Sr. Consultant

(Hauber/Kogan/Hill

) Hill

TRA Project

Manager - Ferraro

TRA Senior

Consultant

(Weisgerber) Matthews Amores Malin Simmonds

TRA Project

Analysts

Total Hours per Task

Unit Total Unit Cost

Task

Units per

Annum

Total Task

Hours per

Annum

Total 10 Month

Contract Cost

Total Task Hours by Area

Total Task Cost by

Area

Hourly Labor Cost (Approved Rates At/Under Cost Ceiling) 295.73$ 295.73$ 278.84$ 138.74$ 247.11$ 190.62$ 214.23$ 111.48$ 92.11$ 87.94$

Triennial Audit - MD DTPW (Virtual, in 2021) 72 18 132 82 72 122 112 112 722 112,379.18$ 1 722 112,379.18$

Triennial Audit - HART 0 -$ 0 0 -$

Triennial Audit - JTA 0 -$ 0 0 -$

722 112,379.18$

7 Monthly Teleconferences/Year with HART (estimate shown for each call) 2 0 0 3 1 0 5 11 1,694.49$ 10 110 16,944.90$

7 MonthlyTeleconferences/Year with JTA (estimate shown for each call) 2 0 0 3 1 0 5 11 1,694.49$ 10 110 16,944.90$

5 Bimonthly Teleconferences with MD DTPW (estimate shown for each call) 2 0 0 3 2 0 5 12 1,941.60$ 9 108 17,474.40$

328 51,364.20$

Scheduled On-Site Activities at MD DTPW (3 day, 6 person) 24 0 24 24 24 24 24 144 29,735.52$ 0 0 -$

Scheduled On-Site Activities at MD DTPW (3 day, 5 person) 24 0 0 24 12 12 24 24 120 20,466.12$ 3 360 61,398.36$

Scheduled On-Site Activities at MD DTPW (3 day, 4 person) 24 0 0 24 24 24 96 17,112.72$ 0 0 -$

Scheduled On-Site Activities at MD DTPW (3 day, 3 person) 0 0 0 24 24 24 8 80 14,538.80$ 0 0 -$

Unannounced Site visit to MD MDTPW (2 day, 4 person) 16 0 0 0 16 16 48 11,735.36$ 0 0 -$

Scheduled On-Site Review of ISA Performance (2 day, 1 person) 24 24 2,110.56$ 0 0 -$

As-Requested/Determined Technical Assistance 16 16 16 48 10,092.48$ 0 0 -$

Subtotals 360 61,398.36$

Scheduled On-Site Activities with HART (2 day ,4 people) 16 16 16 16 64 12,688.96$ 1 64 12,688.96$

Scheduled On-Site Activities with HART (2 day, 3 people - no CW) 16 16 16 0 48 7,053.44$ 1 48 7,053.44$

Unannounced Site visit to HART (2 people, 2 day) 16 16 32 6,951.52$ 0 0 -$

Unannounced Site visit to HART (3 people, 2 day) 16 16 16 48 7,580.64$ 0 0 -$

Scheduled On-Site Review of ISA Performance (2 day, 1 person) 24 24 2,110.56$ 0 0 -$

As-Requested/Determined Technical Assistance 16 16 16 48 9,188.64$ 0 0 -$

Subotals -$ 112 19,742.40$

Scheduled On-Site Activities with JTA (2 day, 4 people) 16 0 0 18 18 18 2 72 15,284.02$ 1 72 15,284.02$

Secheduled On-Site Activities with JTA (2 day, 3 people - no CW) 18 18 18 54 7,511.40$ 1 54 7,511.40$

Unannunced Site visit to JTA (2 people, 2 day) 16 18 4 38 7,580.76$ 0 0 -$

Unannunced Site visit to JTA (3 people, 2 day) 18 18 24 60 9,055.86$ 0 0 -$

Scheduled On-Site Review of ISA Performance (2 day, 1 person) 24 24 2,110.56$ 0 0 -$

As-Requested/Determined Technical Assistance 16 16 16 48 10,905.28$ 0 0 -$

Subotals -$ 126 22,795.42$

(d.) FDOT SSO Compliance Activites & FDOT SSO

Monthly Program Activities 20 4 4 50 16 16 21 20 40 191 29,854.44$ 12 2292 358,253.28$

(e.) Major Transit Projects Oversight Activities 2 2 2 2 2 6 16 2,495.00$ 12 192 29,940.00$

(f.) SSO Special Projects 16 32 16 12 24 21 121 19,934.82$ 1 121 19,934.82$

Subtotals ; 2605 408,128.10$

Total Labor Expenses 4253 675,807.66$ 4253 675,807.66$

Meeting Room and Training/Audit Material Printing Cost for FGTS*** 675,807.66$

Total Travel Expenses (See Detail That Follows) 24,606.96$

Total Task Work Order Cost 700,414.62$

JTA On-Site Reviews

MDT On-Site Reviews

Total Travel Cost

Total Travel & Labor

Total Labor Cost

Personnel and Annual Hours Required

Triennial Audits

Teleconferences

(a) Triennial Audits

(b) Monthly SSO Status Teleconferences with RTAs

Subtotals

(c) Review Team On-Site Activities at MD DTPW

Subtotals

(c) Review Team On-Site Activities at HART

(c) Review Team On-Site Activities at JTA

HART On-Site Reviews

FLORIDA DEPARTMENT OF TRANSPORTATION

FUNDS APPROVAL

BEA68

12/16/2020

CONTRACT INFORMATION

FUNDS APPROVAL INFORMATION

FUNDS APPROVED/REVIEWED FOR ROBIN M. NAITOVE, CPA, COMPTROLLER ON 12/16/2020

Action: Original

Reviewed or Approved: APPROVED

Organization Code: 55301000943

Expansion Option: AD

Object Code: 131328

Amount: $700,467.39

Financial Project: 43581111201

Work Activity (FCT): 601

CFDA:

Fiscal Year: 2021

Budget Entity: 55100100

Category/Category Year: 088774/21

Amendment ID: O001

Sequence: 00

User Assigned ID:

Enc Line (6s)/Status: 0001/04

Total Amount: $700,467.39

Contract: BEA68

Contract Type: BI - COMPUTER SOFTWARE DEVELOPMENT & MAINTENANCE (COMP SOFTW)

Vendor Name: TRANSPORTATION RESOURCE ASSOCIA

Vendor ID: F232622338002

Beginning Date of This Agreement: 01/01/2021

Ending Date of This Agreement: 09/30/2024

Contract Total/Budgetary Ceiling: bc = $2,874,082.89

Method of Procurement: B - REQUEST FOR PROPOSAL (287.057,F.S.)

Description: Support for the State Safety Oversight Program

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To: Kristopher.Long@dot.state.fl.us