MASSACHUSETTS BAY TRANSPORTATION AUTHORITY
COMMUTER RAIL PROCUREMENT
REQUEST FOR PROPOSALS
INSTRUCTIONS TO PROPOSERS
APPENDIX B -
OPERATIONS AND MANAGEMENT PROPOSAL INSTRUCTIONS
RFP No. 159-12
July 26, 2013
Massachusetts Bay Transportation Authority
TABLE OF CONTENTS
B1.0General Instructions
B2.0Legal Pass/Fail Evaluation Factor
B2.1Objective
B2.2Legal Information for Section 1 of the Operations and Management Proposal
B3.0Safety Evaluation Factor (Rated)
B3.1Objectives
B3.2Safety Information for Section 2 of the Operations and Management Proposal
B4.0Security, Emergency Preparedness and Emergency Response Evaluation Factor (Rated)
B4.1Objectives
B4.2Security, Emergency Preparedness and Emergency Response Information for Section 3 of the Operations and Management Proposal
B5.0Mechanical Services Plan Evaluation Factor (Rated)
B5.1Objectives
B5.2Mechanical Services Plan Information for Section 4 of the Operations and Management Proposal
B6.0Engineering Services Plan Evaluation Factor (Rated)
B6.1Objectives
B6.2Engineering Services Plan Information for Section 5 of the Operations and Management Proposal
B7.0Transportation Services Plan Evaluation Factor (Rated)
B7.1Objectives
B7.2Transportation Services Plan Information for Section 6 of the Operations and Management Proposal
B8.0Customer Service Plan Evaluation Factor (Rated)
B8.1Objectives
B8.2Customer Service Plan Information for Section 7 of the Operations and Management Proposal
B9.0Management Evaluation Factor (Rated)
B9.1Objectives
B9.2Management Information for Section 8 of the Operations and Management Proposal
B10.0Information Technology Evaluation Factor (Rated)
B10.1Objectives
B10.2Information Technology for Section 9 of the Operations and Management Proposal
B11.0Disadvantaged Business Enterprise Plan and Program Evaluation Factor (Rated)
B11.1Objectives
B11.2Disadvantaged Business Enterprise Plan and Program Information for Section 10 of the Operations and Management Proposal
B12.0Equal Employment Opportunity and Other Civil Rights Programs Requirements Evaluation Factor (Rated)
B12.1Objectives
B12.2Equal Employment Opportunity and other Civil Rights Programs Requirements Information for Section 11 of the Operations and Management Proposal
B13.0Mobilization Plan Evaluation Factor (Rated)
B13.1Objectives
B13.2Mobilization Plan Information for Section 12 of the Operations and Management Proposal
B14.0Format and Organization of the Operations and Management Proposal
MBTA B-1RFP
Commuter Rail ProcurementITP
REV JULY 26, 2013Appendix B –Ops & Mgmt Proposal Instructions
RFP No. 159-12
Massachusetts Bay Transportation Authority
B1.0General Instructions
This Appendix B (Operations and Management Proposal Instructions) to the Instructions to Proposers (ITP) describes the specific instructions for preparing the Operations and Management Proposals.
The Proposer shall submit the information required by this Appendix B (Operations and Management Proposal Instructions) in the required organization and format, and using the forms, specified herein. Failure to provide the requested information on the forms and in the format specified, or to provide all of the information requested, may result in the Massachusetts Bay Transportation Authority (MBTA) declaring the Operations and Management Proposal non-responsive.
Upon Award, and subject to Section 4.3.2 (Form of the Proposed Contract) of the ITP, the Operations and Management Proposal of the selected Proposer will be incorporated into the Contract.
The Operations and Management Proposal must be submitted in twelve sections, tabbed appropriately (seeTable B, Outline for Submission of the Operations and Management Proposal) and containing the following information:
A)Legal;
B)Safety;
C)Security, Emergency Preparedness and Emergency Response;
D)Mechanical Services Plan;
E)Engineering Services Plan;
F)Transportation Services Plan;
G)Customer Service Plan;
H)Management Plan;
I)Information Technology Services Plan;
J)Disadvantaged Business Enterprise Plan and Program;
K)Equal Employment Opportunity and Other Civil RightsPrograms; and
L)Mobilization Plan.
All forms named herein are found in Appendix D (Forms) unless otherwise noted.
Text must be in English in a standard font, a minimum of 12 points in height, single-spaced. Pages mustbe 8½ inch by 11 inch white paper, with simple lettered/numbered dividers for each section/subsection. Single-sided pages must be used except for pre-printed information, such as corporate brochures.
Drawings or sketches must be submitted on 11 inch by 17 inch or 8 ½ inch by 11 inch white paper.
The Proposer shall number each page in each section consecutively (i.e., 1-1, 1-2; 2-1, 2-2). TheProposer shall include page numbers centered at the bottom of each page.
The Proposer shall present information clearly and concisely. Documentation that is illegible may be rejectedand may lead to disqualification.
The information must be easily reproducible by normal black and white photocopying machines. Color photographs, renderings and brochures must be adequately bound and suitably protected for handling and circulation during review.
The Operations and Management Proposal is limited to a total of 500 pages, exclusive of tabs and divider pages, the cover letter, the information submitted in response to Section B2.0 (Legal Pass/Fail Evaluation Factor),forms related to Disadvantaged Business Enterprises required pursuant to Section B11.0 (Disadvantaged Business Enterprise Plan and Program Evaluation Factor (Rated)) of this Appendix B (Operations and Management Proposal Instructions) to the Instructions to Proposers, and the Mobilization Price Form, and further subject to the Supplemental Appendices as further detailed in Section 6.2 (Formatting Requirements) of the Instructions to Proposers.
B2.0Legal Pass/Fail Evaluation Factor
B2.1Objective
The objective of the Legal Pass/Fail Evaluation Factor is to identify legally constituted Proposers able to submit Proposals, enter into the Contract and perform the scope of services and that have obtained all required licenses or committed to do so prior to award of the Contract.
B2.2Legal Information for Section 1 of the Operations and Management Proposal
The Proposer shall submit the following legal information:
A)The Form of Proposal(see Appendix D (Forms))that constitutes a firm offer to the MBTA valid for 180 calendar days after the Proposal Due Date. The Form of Proposal must be executed by the Proposer or by its legally authorized representative, and by each Joint Venture (JV) or Limited Liability Company (LLC) member or general partner (as applicable) by their respective legally authorized representatives, if that JV, LLC or partnership has been specifically created for the purposes of proposing on this Contract;
B)Form NS, Named Subcontractors and Suppliers, (see Appendix D (Forms)) including the percentage of the proposed Contract Price that represents anticipated Subcontractor and Supplier participation (not specific dollar value of participation);
C)Evidence that the Proposer is chartered in the Commonwealth of Massachusetts or holds a Foreign Corporation Certificate, regardless of whether such certificate was submitted with the Proposer’s Statement of Qualifications (SOQ);
D)A notarized Power of Attorney naming the individual who signed the Proposal on the Proposer's behalf as its attorney-in-fact, with authority to execute and deliver the Proposal, any Clarifications and the Contract on the Proposer's behalf and to act for and bind the Proposer in all matters relating to the Proposal. If the individual who signed the Proposal on the Proposer's behalf is an officer of the Proposer, a Power of Attorney is not required.
If the Proposer is a JV, LLC or partnership that has been specifically created for the purposes of proposing on this Contract, it shall also submit the following:
1)Evidence that each member of the JV, LLC or partnership will be jointly and severally liable for any and all of the duties and obligations, including performance, of the Proposer assumed under the Proposal and under any Contract arising therefrom, should its Proposal be accepted by the MBTA; and
2)A notarized Power of Attorney executed by each JV member, LLC member or general partner, naming the individual who signed the Proposal and joint and several liability document on its behalf as its attorney-in-fact, with authority to execute the Proposal, joint and several liability document and Contract on its behalf and to act for and bind it in all matters relating to the Proposal;
E)A disclosure of any potential organizational conflicts of interest, as further explained at Section 5.3 (Ineligible Firms and Organizational Conflicts of Interest) of the ITP, including disclosure of all relevant facts concerning any past, present or currently planned interests which may present an organizational conflict of interest. The disclosure must state how the Proposer's interests, or those of its chief executives, directors, key personnel or any proposed subcontractors may result in, or could be viewed as, an organizational conflict of interest. If the MBTA determines that an actual or potential conflict of interest exists that cannot be avoided, neutralized or mitigated, that Proposer will not be eligible for award of the Contract;
F)The Certification of Restrictions on Lobbying (see Appendix D (Forms)), certifying that no federal appropriated funds have been or will be paid for lobbying activities and that no other funds have been paid or will be paid to influence governmental decisions regarding the Contract;
G)The Certification Regarding Debarment, Suspension and Other Ineligibility and Voluntary Exclusion from Transactions Financed in Part by the U.S. Government (see Appendix D (Forms)), certifying that neither the Proposer nor any of its principals is excluded or disqualified from participating in this transaction;
H)The Buy America Certification (see Appendix D (Forms)), certifying compliance with the Federal Transit Administration's Buy America requirements;
I)The Affidavit of Non-Collusion (see Appendix D (Forms)), certifying that the Proposal was made without collusion;
J)The Certification of Compliance with Regulation 102 CMR 12.00 (see Appendix D (Forms)), certifying that the Proposer is in compliance with Section 7 of Chapter 521 of the Acts of 1990, as amended by Chapter 329 of the Acts of 1991, and the regulations issued pursuant thereto;
K)The Certification regarding Companies Doing Business With or in Northern Ireland (see Appendix D (Forms)), certifying to certain information regarding business practices in Northern Ireland, pursuant to Pursuant to M.G.L. c.7, §§22C-F;
L)The Confidential Information Agreement (see Appendix D (Forms)), agreeing to the maintenance and non-disclosure of certain confidential information during this procurement;
M)The Conflict of Interest Certification (see Appendix D (Forms)), certifying to compliance with Massachusetts Conflict of Interest Laws, G.L. c. 268A;
N)The MBTA Retiree Certification (see Appendix D (Forms)), certifying to notification of the MBTA if an MBTA retiree has been included as a member of the Proposer's team;
O)The Prohibit Use of Undocumented Workers Certification (see Appendix D (Forms)), certifying that the Proposer is not knowingly using undocumented workers in connection with the performance of all Executive Branch contracts; that pursuant to federal requirements, the Proposer will verify the immigration status of all workers assigned to such contracts without engaging in unlawful discrimination; and that the Proposer will not knowingly or recklessly alter, falsify or accept altered or falsified documents from any such worker(s);
P)The Right-of-Way Safety Requirements Certification (see Appendix D (Forms)), certifying that the Proposer will be in full compliance with the MBTA Right-of-Way Safety Awareness Training Requirements as stated in the Operating Agreement;
Q)The Right-to-Know Law Certification (see Appendix D (Forms)), certifying to compliance with the Massachusetts RighttoKnow Law, Chapter 470 of the Acts of 1983;and
R)The Security Requirements Certification (see Appendix D (Forms)), certifying to compliance with the MBTA’s Security Requirements as stated in the Operating Agreement.
B3.0Safety Evaluation Factor (Rated)
B3.1Objectives
The following are the objectives for the Safety evaluation factor:
A)To ensure that Proposers have a sufficient plan to successfully integrate safety into all management, training and work plans;
B)To ensure that Proposers have a plan to handle safety incidents and to develop accident reduction plans in partnership with the MBTA, regulatory authorities and municipalities; and
C)To ensure that Proposers have a plan and processes designed to ensure full compliance with all applicable laws, rules and regulations throughout their performance.
B3.2Safety Information for Section 2 of the Operations and Management Proposal
The Proposer shall submit the following information related to safety:
A)The Proposer shall prepare a draft Safety Plan applicable to its performance of the Contract. The draft Safety Plan shall include, but not be limited to, training, performance of regular safety inspections, correction of safety problems that are identified, establishment of a formal written emergency response plan, preparation of an annual safety review report and compliance with FRA reporting requirements. The Proposer shall also indicate how it proposes to comply with applicable provisions of the MBTA's System Safety Plan and FRA rules and regulations, as well as the safety-related provisions of the Contract including, but not limited to, all safety details contained in the Operating Agreement at Schedule 3.5 (Safety and Security). The Proposer shall include a description of any joint management/labor safety programs it intends to implement in conjunction with performing the Contract; and
B)The Proposer shall: (i) identify those portions of the information that it provided in response to Section B3.2(A) of this Appendix B that it considers to be innovative, best practice, beneficial to MBTA Customers and/or cost efficient, and (ii) submit information supporting or otherwise validating its position that said portions are innovative, best practice, beneficial to MBTA Customers and/or cost efficient.
B4.0Security, Emergency Preparedness and Emergency ResponseEvaluation Factor (Rated)
B4.1Objectives
The following are the objectives for the Security, Emergency Preparedness and Emergency Responseevaluation factor:
A)To ensure that Proposers have clearly defined roles for security and emergency preparedness and emergency response and have plans demonstrating accountability for the security of the system; and
B)To ensure that Proposers have a plan and processes designed to ensure full compliance with all applicable laws, rules and regulations throughout their performance.
B4.2Security, Emergency Preparedness and Emergency ResponseInformation for Section 3 of the Operations and Management Proposal
The Proposer shall submit the following information related to security, emergency preparedness and emergency response:
A)The Proposer shall prepare a draft Operator System Security Compliance Plan ("OSSCP"), which must be developed in accordance with the MBTA's System Security Plan and Sensitive Security Information guidelines and procedures and applicable federal and other legal requirements, regulations, and standards. The draft OSSCP and the draft Safety Plan must work collaboratively, integratingoverlapping safety and security concerns. Additionally, the draft OSSCP must also address the following items:
1)The policies, goals, and objectives for the security program endorsed by the MBTA's General Manager;
2)The Proposer's process for managing threats and vulnerabilities during operations;
3)Controls in place that address the personal security of customers and operating personnel;
4)The Proposer's process for conducting internal security reviews to evaluate compliance and measure the effectiveness of the OSSCP; and
5)The process for review and approval of the OSSCP, and any accompanying procedures, by the MBTA and other oversight agencies.
The OSSCP must address the requirements set forth in Section 3 (System Security Plan) of Schedule 3.5 (Safety and Security) to the Operating Agreement;
B)The Proposer shall develop a draft Emergency Preparedness Plan ("EPP"), which shall comply with FRA and Homeland Security Exercise Education Program requirements. The draft EPP shall set forth the Proposer's emergency preparedness policies, procedures, and programs, including full scale Emergency Drills, and must comply with the requirements set forth in Section 4 (Emergency Preparedness Plan) of Schedule 3.5 (Safety and Security) to the Operating Agreement;
C)The Proposer shall submit a draft Emergency Response Plan ("ERP"), in accordance with Section 5 (Emergency Response Plan) of Schedule 3.5 (Safety and Security) to the Operating Agreement. The draft ERP shall address major storms and other natural occurrences that could disrupt Commuter Rail Services, as well as any other incidents or events that would require services of emergency response agencies; and
D)The Proposer shall: (i) identify those portions of the information that it provided in response to Section B4.2(A) through B4.2(C) of this Appendix B that it considers to be innovative, best practice, beneficial to MBTA Customers and/or cost efficient, and (ii) submit information supporting or otherwise validating its position that said portions are innovative, best practice, beneficial to MBTA Customers and/or cost efficient.
B5.0Mechanical Services Plan Evaluation Factor (Rated)
B5.1Objectives
The following are the objectives for the Mechanical Services Plan evaluation factor:
A)To identify Proposers that have a plan that best maximizes equipment availability and reliability;
B)To ensure that Proposers have an integrated approach to customer and employee safety and hazard reduction;
C)To ensure that Proposers have a mechanical services approach that preserves and prolongs asset lifespans;
D)To ensure that Proposers have a plan for providing cost effective facility utilization, work scheduling and integration of new training and technology; and
E)To ensure that Proposers understand the economies of the integration of the new fleet as it is introduced to the Commuter Rail Services and the associated maintenance changes that will accompany changes to the fleet.
B5.2Mechanical Services Plan Information for Section 4 of the Operations and Management Proposal
The Proposer shall submit the following information related to its proposed mechanical operations:
A)The Proposer shall provide a Mechanical Services Plan that describes in detail the Proposer's approach to providing the mechanical services described in the Contract, including the mechanical services described in Schedule 3.3 (Mechanical Services) of the Commuter Rail Operating Agreement. Elements of the Mechanical Services Plan shall include, but not be limited to, proposed approaches to the following:
1)Developing and implementing complete maintenance planning, tracking and recordkeeping systems to maximize vehicle availability and reliability;
2)Inspecting, maintaining and repairing the MBTA commuter rail fleet of passenger coaches and locomotives;
3)Maintaining, operating and repairing non-revenue rail vehicles;
4)Providing daily cleaning, inspection, fueling, servicing and light repairs of revenue equipment;
5)Providing periodic component overhauls and minor upgrading work, as required;
6)Enforcing third-party warranties;
7)Maintaining a comprehensive and up-to-date inventory control system;
8)Providing information management, material management, performance analysis and reporting;
9)Integrating new technologies and work practices as introduced by the Operator or the MBTA;
10)Implementing, operating and maintaining FRA approved Diesel Multiple-Unit cars (each, a "DMU") that the MBTA may purchase (during the Term of the Agreement) and require the Operator to place into service in lieu of locomotive-coach train sets. The Proposer shall address, at a minimum: (i) the potential impact on train operations; (ii) potential changes, if any, required to collective bargaining agreements with respect to on-board train operations (focusing on minimum crew size for on-board crews for single and multiple unit DMU train sets); (iii) fueling issues; (iv) training issues; (v) maintenance for DMU cars (including any required changes at maintenance facilities); and (vi) procedures to calculate the "net financial impact" due to the introduction of DMU cars and/or retirement of locomotives and coaches;
11)Operating the re-railing crane; and