REQUEST FOR PROPOSALS (RFP) 5-3244
Automated Fare Collection/Mobile Ticketing System
ORANGE COUNTY TRANSPORTATION AUTHORITY 550 South Main Street P.O. Box 14184 Orange, CA 92863-1584 (714) 560-6282
Key RFP Dates
Issue Date:
March 13, 2015
Pre-Proposal Conference Date:
March 25, 2015
Question Submittal Date:
March 26, 2015
Proposal Submittal Date:
April 20, 2015
Interview Date:
May 5, 2015
TABLE OF CONTENTS
SECTION I: INSTRUCTIONS TO OFFERORS ...................................................... 1 SECTION II: PROPOSAL CONTENT .................................................................... 7 SECTION III: EVALUATION AND AWARD ......................................................... 13 EXHIBIT A: SCOPE OF WORK ........................................................................... 17 EXHIBIT B: COST AND PRICE FORMS.............................................................. 45 EXHIBIT C: PROPOSED AGREEMENT .............................................................. 48 EXHIBIT D: PARTY AND PARTICIPANT DISCLOSURE FORMS ...................... 65 EXHIBIT E: STATUS OF PAST AND PRESENT CONTRACTS ......................... 75 EXHIBIT F: SAFETY SPECIFICATIONS ............................................................. 77
NOTICE OF REQUEST FOR PROPOSALS (RFP): 5-3244: “Automated Fare Collection/Mobile Ticketing System” TO: All Offerors FROM: Orange County Transportation Authority The Orange County Transportation Authority (Authority) invites proposals from qualified consultants to provide a fare collection solution to complement and enhance with the existing fare collection system. The budget for this project is $750,000. The budget for this project is $750,000. Proposals must be received in the Authority’s office at or before 2:00 p.m. on April 20, 2015. Proposals delivered in person or by a means other than the U.S. Postal Service shall be submitted to the following: Orange County Transportation Authority Contracts Administration and Materials Management 600 South Main Street, 4th Floor Orange, California 92868 Attention: Yvette Crowder, Senior Contract Administrator Proposals delivered using the U.S. Postal Service shall be addressed as follows: Orange County Transportation Authority Contracts Administration and Materials Management P.O. Box 14184 Orange, California 92863-1584 Attention: Yvette Crowder, Senior Contract Administrator Proposals and amendments to proposals received after the date and time specified above will be returned to the Offerors unopened. Firms interested in obtaining a copy of this Request For Proposals (RFP) may do so by downloading the RFP from CAMM NET at www.octa.net/cammnet.
i
All firms interested in doing business with the Authority are required to register their business on-line at CAMM NET. The website can be found at www.octa.net. From the site menu click on CAMM NET to register. To receive all further information regarding this RFP 5-3244, firms and subcontractors must be registered on CAMM NET with at least one of the following commodity codes for this solicitation selected as part of the Offeror’s on-line registration profile: Category: Fare Collection Equipment Maintenance Services Equipment Professional Consulting
Commodity: Fare Collection Equipment Fare Collection Equipment Service Fare Collection Consulting
A pre-proposal conference will be held on March 25, 2015 at 10:00 a.m. at the Authority’s Administrative Office, 600 South Main Street, Orange, California, in Conference Room 103/104. All prospective Offerors are encouraged to attend the pre-proposal conference. The Authority has established May 5, 2015, as the date to conduct interviews. All prospective Offerors will be asked to keep this date available. Offerors are encouraged to subcontract with small businesses to the maximum extent possible. All Offerors will be required to comply with all applicable equal opportunity laws and regulations. The award of this contract is subject to receipt of federal, state and/or local funds adequate to carry out the provisions of the proposed agreement including the identified Scope of Work.
ii
RFP 5-3244
SECTION I: INSTRUCTIONS TO OFFERORS
Page 1
RFP 5-3244 SECTION I. INSTRUCTIONS TO OFFERORS A.
PRE-PROPOSAL CONFERENCE
A pre-proposal conference will be held on March 25, 2015, at 10:00 a.m., the Authority’s Administrative Office, 600 South Main Street, Orange, California, in Conference Room 103/104. All prospective Offerors are encouraged to attend the pre-proposal conference. B.
EXAMINATION OF PROPOSAL DOCUMENTS
By submitting a proposal, Offeror represents that it has thoroughly examined and become familiar with the work required under this RFP and that it is capable of performing quality work to achieve the Authority’s objectives. C.
ADDENDA
Any Authority changes to the requirements will be made by written addendum to this RFP. Any written addenda issued pertaining to this RFP shall be incorporated into the terms and conditions of any resulting Agreement. The Authority will not be bound to any modifications to or deviations from the requirements set forth in this RFP as the result of oral instructions. Offerors shall acknowledge receipt of addenda in their proposals. Failure to acknowledge receipt of Addenda may cause the proposal to be deemed non-responsive to this RFP and be rejected. D.
AUTHORITY CONTACT
All questions and/or contacts with Authority staff regarding this RFP are to be directed to the following Contract Administrator: Yvette Crowder, Senior Contract Administrator Contracts Administration and Materials Management Department 550 South Main Street P.O. Box 14184 Orange, CA 92863-1584 Phone: 714.560.5616, Fax: 714.560.5792 Email:
[email protected] E. 1.
CLARIFICATIONS Examination of Documents Should an Offeror require clarifications of this RFP, the Offeror shall notify the Authority in writing in accordance with Section E.2. below. Should it be found that the point in question is not clearly and fully set forth, the Authority will issue a written addendum clarifying the matter which will be Page 2
RFP 5-3244 sent to all firms registered on CAMM NET under the commodity codes specified in this RFP. 2.
3.
Submitting Requests a.
All questions, including questions that could not be specifically answered at the pre-proposal conference must be put in writing and must be received by the Authority no later than 3:00 p.m., on March 26, 2015.
b.
Requests for clarifications, questions and comments must be clearly labeled, "Written Questions". The Authority is not responsible for failure to respond to a request that has not been labeled as such.
c.
Any of the following methods of delivering written questions are acceptable as long as the questions are received no later than the date and time specified above: (1)
U.S. Mail: Orange County Transportation Authority, 550 South Main Street, P.O. Box 14184, Orange, California 92863-1584.
(2)
Personal Delivery: Contracts Administration and Materials Management Department, 600 South Main Street, 4th Floor, Orange, California 92868.
(3)
Facsimile: (714) 560-5792. Offeror must have written or verbal confirmation by the Contract Administrator if requests are sent via facsimile.
(4)
Email:
[email protected]
Authority Responses Responses from the Authority will be posted on CAMM NET, no later than April 2, 2015. Offerors may download responses from CAMM NET at www.octa.net/cammnet, or request responses be sent via U.S. Mail by emailing or faxing the request to Yvette Crowder, Senior Contract Administrator. To receive email notification of Authority responses when they are posted on CAMM NET, firms and subcontractors must be registered on CAMM NET with at least one of the following commodity codes for this solicitation selected as part of the Offeror’s on-line registration profile: Category: Fare Collection Equipment Maintenance Services Page 3
Commodity: Fare Collection Equipment Fare Collection Equipment
RFP 5-3244 Equipment Professional Consulting
Service Fare Collection Consulting
Inquiries received after 3:00 p.m. on March 26, 2015, will not be responded to. F. 1.
SUBMISSION OF PROPOSALS Date and Time Proposals must be received in the Authority’s office at or before 2:00 p.m. on April 20, 2015. Proposals received after the above-specified date and time will be returned to Offerors unopened.
2.
Address Proposals delivered in person or by a means other than the U.S. Postal Service shall be submitted to the following: Orange County Transportation Authority Contracts Administration and Materials Management (CAMM) 600 South Main Street, 4th Floor Orange, California 92868 Attention: Yvette Crowder, Senior Contract Administrator Or proposals delivered using the U.S. Postal Services shall be addressed as follows: Orange County Transportation Authority Contracts Administration and Materials Management (CAMM) P.O. Box 14184 Orange, California 92863-1584 Attention: Yvette Crowder, Senior Contract Administrator Firms must obtain a visitor badge from the receptionist in the lobby of the 600 Building prior to delivering any information to CAMM.
3.
Identification of Proposals Offeror shall submit an original and 5 copies of its proposal in a sealed package, addressed as shown above in F.2. The outer envelope must show the Offeror’s name and address and clearly marked with RFP number. In addition to the above, Proposers shall also include one (1) electronic copy of their entire RFP submittal package in “PDF” format, on a CD or DVD. Page 4
RFP 5-3244 4.
G.
Acceptance of Proposals a.
The Authority reserves the right to accept or reject any and all proposals, or any item or part thereof, or to waive any informalities or irregularities in proposals.
b.
The Authority reserves the right to withdraw or cancel this RFP at any time without prior notice and the Authority makes no representations that any contract will be awarded to any Offeror responding to this RFP.
c.
The Authority reserves the right to postpone proposal openings for its own convenience.
d.
Proposals received and opened by Authority are public information and must be made available to any person upon request.
e.
Submitted proposals are not to be copyrighted.
PRE-CONTRACTUAL EXPENSES
The Authority shall not, in any event, be liable for any pre-contractual expenses incurred by Offeror in the preparation of its proposal. Offeror shall not include any such expenses as part of its proposal. Pre-contractual expenses are defined as expenses incurred by Offeror in: 1. 2. 3. 4.
H.
Preparing its proposal in response to this RFP; Submitting that proposal to the Authority; Negotiating with the Authority any matter related to this proposal; or Any other expenses incurred by Offeror prior to date of award, if any, of the Agreement. JOINT OFFERS
Where two or more firms desire to submit a single proposal in response to this RFP, they should do so on a prime-subcontractor basis rather than as a joint venture. The Authority intends to contract with a single firm and not with multiple firms doing business as a joint venture. I.
TAXES
Offerors’ proposals are subject to State and Local sales taxes. However, the Authority is exempt from the payment of Federal Excise and Transportation Taxes.
Page 5
RFP 5-3244 J.
PROTEST PROCEDURES
The Authority has on file a set of written protest procedures applicable to this solicitation that may be obtained by contacting the Contract Administrator responsible for this procurement. Any protests filed by an Offeror in connection with this RFP must be submitted in accordance with the Authority’s written procedures. K.
CONTRACT TYPE
It is anticipated that the Agreement resulting from this solicitation, if awarded, will be a firm-fixed price contract specifying firm-fixed prices for individual tasks specified in the Scope of Work, included in this RFP as Exhibit A. L.
CONFLICT OF INTEREST
All Offerors responding to this RFP must avoid organizational conflicts of interest which would restrict full and open competition in this procurement. An organizational conflict of interest means that due to other activities, relationships or contracts, an Offeror is unable, or potentially unable to render impartial assistance or advice to the Authority; an Offeror’s objectivity in performing the work identified in the Scope of Work is or might be otherwise impaired; or an Offeror has an unfair competitive advantage. Conflict of Interest issues must be fully disclosed in the Offeror’s proposal. M.
CODE OF CONDUCT
All Offerors agree to comply with the Authority’s Code of Conduct as it relates to Third-Party contracts which is hereby referenced and by this reference is incorporated herein. All Offerors agree to include these requirements in all of its subcontracts.
Page 6
RFP 5-3244
SECTION II: PROPOSAL CONTENT
Page 7
RFP 5-3244 SECTION II. PROPOSAL CONTENT A.
PROPOSAL FORMAT AND CONTENT
1.
Format Proposals should be typed with a standard 12 point font, double-spaced and submitted on 8 1/2” x 11” size paper, using a single method of fastening. Charts and schedules may be included in 11”x17” format. Proposals should not include any unnecessarily elaborate or promotional materials. Proposals should not exceed fifty (50) pages in length, excluding any appendices, cover letters, resumes, or forms.
2.
Letter of Transmittal The Letter of Transmittal shall be addressed to Yvette Crowder, Senior Contract Administrator and must, at a minimum, contain the following:
3.
a.
Identification of the Offeror that will have contractual responsibility with the Authority. Identification shall include legal name of company, corporate address, telephone and fax number, and email address. Include name, title, address, email address, and telephone number of the contact person identified during period of proposal evaluation.
b.
Identification of all proposed subcontractors including legal name of company, whether the firm is a Disadvantaged Business Enterprise (DBE), contact person’s name and address, phone number and fax number, and email address; relationship between Offeror and subcontractors, if applicable.
c.
Acknowledgement of receipt of all RFP addenda, if any.
d.
A statement to the effect that the proposal shall remain valid for a period of not less than 120 days from the date of submittal.
e.
Signature of a person authorized to bind Offeror to the terms of the proposal.
f.
Signed statement attesting that all information submitted with the proposal is true and correct.
Technical Proposal a.
Qualifications, Related Experience and References of Offeror
Page 8
RFP 5-3244 This section of the proposal should establish the ability of Offeror to satisfactorily perform the required work by reasons of: experience in performing work of a similar nature; demonstrated competence in the services to be provided; strength and stability of the firm; staffing capability; work load; record of meeting schedules on similar projects; and supportive client references. Offeror to:
b.
(1)
Provide a brief profile of the firm, including the types of services offered; the year founded; form of the organization (corporation, partnership, sole proprietorship); number, size and location of offices; and number of employees.
(2)
Provide a general description of the firm’s financial condition and identify any conditions (e.g., bankruptcy, pending litigation, planned office closures, impending merger) that may impede Offeror’s ability to complete the project.
(3)
Describe at least two projects relating to the firm’s experience in performing projects of a similar nature to that solicited in this RFP, and highlight the participation in such work by the key personnel proposed for assignment to this project.
(4)
Identify subcontractors by company name, address, contact person, telephone number, email, and project function. Describe Offeror’s experience working with each subcontractor.
(5)
Provide a minimum three (3) references for the projects cited as related experience, and furnish the name, title, address, telephone number, and email address of the person(s) at the client organization who is most knowledgeable about the work performed. Offeror may also supply references from other work not cited in this section as related experience.
Proposed Staffing and Project Organization This section of the proposal should establish the method, which will be used by the Offeror to manage the project as well as identify key personnel assigned. Offeror to: (1)
Detail how the Offeror intends to complete the project including the team assigned to the project; the proposed project schedule and proposed training.
Page 9
RFP 5-3244
c.
(2)
Identify key personnel proposed to perform the work in the different phases and include major areas of subcontract work. Include the person’s name, current location, proposed position for this project, current assignment, level of commitment to the assignment, availability for this assignment and how long each person has been with the firm.
(3)
Furnish brief resumes (not more than two [2] pages each) for the proposed Project Manager and other key personnel that includes education, experience, and applicable professional credentials.
(4)
Indicate adequacy of labor resources utilizing a table projecting the labor-hour allocation to the project by phases.
(5)
Include a project organization chart, which clearly delineates communication/reporting relationships among the project staff.
(6)
Detail how the results will be measured and form that the metrics reporting will take.
(7)
Include a statement that key personnel will be available to the extent proposed for the duration of the project acknowledging that no person designated as "key" to the project shall be removed or replaced without the prior written concurrence of the Authority.
Technical Solution Offeror should provide a narrative, which addresses the Scope of Work, and shows Offeror’s understanding of Authority's needs and requirements. Offeror to: (1)
Offerors should detail their understanding of the project and the required solution. This section should detail the proposed technical solution and illustrate how it will meet the functional requirements as established in the Scope of Work and Technical Specifications.
(2)
Describe the approach to completing the different phases specified in the Scope of Work and Technical Specifications. The approach to the technical solution shall be of such detail to demonstrate the Offeror’s ability to accomplish the project objectives and overall schedule.
(3)
Outline sequentially the activities that will be undertaken in Page 10
RFP 5-3244 completing the different phases and specify who will perform them.
d.
(4)
Furnish a project schedule for completing the phases in terms of elapsed weeks.
(5)
Identify methods that Offeror will use to ensure quality control as well as budget and schedule control for the project.
(6)
Identify any special issues or problems that are likely to be encountered in this project and how the Offeror proposes to address them.
(7)
Offeror is encouraged to propose enhancements or procedural or technical innovations to the Scope of Work that do not materially deviate from the objectives or required content of the project.
Exceptions/Deviations State any exceptions to or deviations from the requirements of this RFP, segregating "technical" exceptions from "contractual" exceptions. Where Offeror wishes to propose alternative approaches to meeting the Authority's technical or contractual requirements, these should be thoroughly explained. If no contractual exceptions are noted, Offeror will be deemed to have accepted the contract requirements as set forth in Exhibit C.
4.
Cost and Price Proposal As part of the cost and price proposal, the Offeror shall submit proposed pricing for services described in Exhibit A, Scope of Work. The Offeror shall complete the “Price Summary Sheet” form included with this RFP (Exhibit B), and furnish any narrative required to explain the prices quoted in the schedules. It is anticipated that the Authority will issue a firm fixed priced contract specifying firm fixed prices for services required to complete the project.
5.
Appendices Information considered by Offeror to be pertinent to this project and which has not been specifically solicited in any of the aforementioned sections may be placed in a separate appendix section. Offerors are cautioned, however, that this does not constitute an invitation to submit large amounts of extraneous materials. Appendices should be relevant and brief.
Page 11
RFP 5-3244 B. 1.
FORMS Party and Participant Disclosure Forms In conformance with the statutory requirements of the State of California Government Code Section 84308, part of the Political Reform Act and Title 2, California Code of Regulations 18438 through 18438.8, regarding campaign contributions to members of appointed Boards of Directors, Offeror is required to complete and sign the Party and Participant Disclosure Forms provided in this RFP and submit as part of the proposal. Offeror is required to submit only one copy of the completed form(s) as part of its proposal and it should be included in only the original proposal. The prime consultant and subcontractors must complete the form entitled “Party Disclosure Form”. The form entitled “Participant Disclosure Form” must be completed by lobbyists or agents representing the prime consultant. The form is included in Exhibit D. Therefore, the prime consultant, subcontractors and agents will be required to report all campaign contributions from the proposal submittal date up and until the Board of Directors makes a selection, which is currently scheduled for June 22, 2015.
2.
Status of Past and Present Contracts Form Offeror shall identify the status of past and present contracts where the firm has either provided services as a prime contractor or a subcontractor during the past five (5) years in which the contract has ended or will end in a termination, settlement, or litigation. A separate form must be completed for each contract you identify. The Status of Past and Present Contracts Form can be found in Exhibit E. Each form must be signed by the Offeror confirming that the information provided is true and accurate. Offeror is required to submit one copy of the completed form(s) as part of its proposals and it should be included in only the original proposal.
3.
Safety Specifications Offerors shall comply with Safety Specifications Level 2 as included in this RFP as Exhibit E, during the term of the awarded Agreement.
Page 12
RFP 5-3244
SECTION III: EVALUATION AND AWARD
Page 13
RFP 5-3244 SECTION III. EVALUATION AND AWARD A.
EVALUATION CRITERIA
The Authority will evaluate the offers received based on the following criteria: 1.
Qualifications of the Firm
20%
Technical experience in performing projects of a closely similar nature; experience working with public agencies; strength and stability of the firm; strength, stability, experience and technical competence of subcontractors; assessment by client references. 2.
Staffing and Project Organization
15%
Qualifications of project staff, particularly key personnel and especially the Project Manager; key personnel’s level of involvement in performing related work cited in "Qualifications of the Firm" section; reasonableness of proposed schedule and proposed training; logic of project organization; adequacy of labor commitment; concurrence in the restrictions on changes in key personnel. Detail how results will be measured and the form the metrics reporting will take. 3.
Technical Solution
35%
Depth of Offeror's understanding of Authority's requirements of the project and the required solution; how the solution will meet the functional requirements as established in the Technical Specifications; overall quality and detail of the proposed technical solution of work plan; logic, clarity and specificity of work plan; appropriateness of resource allocation among the tasks; utility of suggested technical or procedural innovations. 4.
Cost and Price
30%
Reasonableness of the total price for the required services, as well as the individual tasks; competitiveness with other offers received; adequacy of data in support of figures quoted. B.
EVALUATION PROCEDURE
An evaluation committee will be appointed to review all proposals received for this RFP. The committee is comprised of Authority staff and may include outside personnel. The committee members will evaluate the written proposals using criteria identified in Section III A. A list of top ranked proposals, firms within a competitive range, will be developed based upon the totals of each committee member’s score for each proposal. Page 14
RFP 5-3244
During the evaluation period, the Authority may interview some or all of the proposing firms. The Authority has established May 5, 2015 , as the date to conduct interviews. All prospective Offerors are asked to keep this date available. No other interview dates will be provided, therefore, if an Offeror is unable to attend the interview on this date, its proposal may be eliminated from further discussion. The interview may consist of a short presentation by the Offeror after which the evaluation committee will ask questions related to the firm’s proposal and qualifications. At the conclusion of the proposal evaluations, Offerors remaining within the competitive range may be asked to submit a Best and Final Offer (BAFO). In the BAFO request, the firms may be asked to provide additional information, confirm or clarify issues and submit a final cost/price offer. A deadline for submission will be stipulated. At the conclusion of the evaluation process, the evaluation committee will recommend to the Transit Committee, the Offeror with the highest final ranking or a short list of top ranked firms within the competitive range whose proposal(s) is most advantageous to the Authority. The Transit Committee will review the evaluation committee’s recommendation and forward its decision to the full Board of Directors for final action. C.
AWARD
The Authority will evaluate the proposals received and will submit, with approval of the Transit Committee, the proposal considered to be the most competitive to the Authority’s Board of Directors, for consideration and selection. The Authority may also negotiate contract terms with the selected Offeror prior to award, and expressly reserves the right to negotiate with several Offerors simultaneously and, thereafter, to award a contract to the Offeror offering the most favorable terms to the Authority. The Authority reserves the right to award its total requirements to one Offeror or to apportion those requirements among several Offerors as the Authority may deem to be in its best interest. In addition, negotiations may or may not be conducted with Offerors; therefore, the proposal submitted should contain Offeror's most favorable terms and conditions, since the selection and award may be made without discussion with any Offeror. The selected Offeror will be required to submit to the Authority’s Accounting department a current IRS W-9 form prior to commencing work.
Page 15
RFP 5-3244 D.
NOTIFICATION OF AWARD AND DEBRIEFING
Offerors who submit a proposal in response to this RFP shall be notified via CAMM NET of the contract award. Such notification shall be made within three (3) business days of the date the contract is awarded. Offerors who were not awarded the contract may obtain a debriefing concerning the strengths and weaknesses of their proposal. Unsuccessful Offerors, who wish to be debriefed, must request the debriefing in writing or electronic mail and the Authority must receive it within seven (7) business days of notification of the contract award.
Page 16
RFP 5-3244
EXHIBIT A: SCOPE OF WORK
Page 17
RFP 5-3244 SCOPE OF WORK
Automated Fare Collection/Mobile Ticketing Solution Introduction The Orange County Transportation Authority’s (Authority) current fare collection system has been in place for nearly 14 years. During that time, the Authority has performed several software upgrades and replaced some parts and components to maintain the fareboxes in proper working order. In addition, the Authority has a proactive preventive maintenance program and expects to continue using the GFI Odyssey fareboxes for approximately five to seven years to collect cash payments and accept magnetic cards currently used by customers. Therefore, the Authority is seeking a fare collection solution to complement and enhance with the existing fare collection system. The Authority is currently exploring fare collection alternatives for increasing operational efficiency, facilitating interagency compatibility, and offering customers seamless travel throughout Orange County and into neighboring counties. Additionally, the Authority will need to update the existing fare collection equipment when it reaches the end of its useful life. The Authority conducted a fare integration study to identify potential strategies for intracounty and intercounty fare integration. The primary goal of the study was to provide the Authority with fare collection alternatives for increasing operational efficiency, facilitating interagency compatibility, and offering customers seamless travel throughout Orange County and into neighboring counties. The current interface is acceptance of each other’s fare media at agreed locations through visual validation. A formal agreement exists between the Authority and each connecting transit agency. A list of neighboring agencies and the transit services being operated or planned for implementation in Orange County is included as ATTACHMENT A to this scope of work. The Authority completed a pilot of mobile ticketing at the 2014 OC Fair. This fare collection pilot was designed to help the Authority test the applicability of a new fare collection approach while not incurring excessive capital expenses. Additionally, the pilot allowed the Authority to gather stakeholder, rider feedback, and measure performance metrics associated with using mobile ticketing. Project Overview The Authority is seeking to modernize its fare collection system in alignment with a set of guiding principles described below. Additional major goals for a new fare system were discovered in discussion with key stakeholders, and are captured in the following section.
18
RFP 5-3244 The guiding principles for a new fare collection system have been identified as: ● ● ● ●
Adopt Stand-beside readers to enhance the current fare system Accept open payments Have the ability to integrate with regional partners Integrate with the Authority’s existing Intelligent Transit Management System (ITMS) ● Easily leverage emerging and future technologies The Authority intends to conduct two procurements; one procurement for the development of the app and associated services and a second procurement for hardware (stand-beside readers). Eventually, the complete system will allow for acceptance of mobile ticketing, including installation of barcode readers on buses, as well as integration with the Authority fare system and open-loop (credit card) payments. The system should be able to accommodate fare products, as chosen by the Authority and shown in ATTACHMENT B. The Authority will conduct a fare policy study and Offeror shall incorporate any recommended changes to the fare structure and fare products into the mobile ticketing application. Project Goals and Objectives The procurement and implementation of a new fare system is designed to advance a number of goals. The Authority’s fare collection modernization goals include: ● Stimulate growth in ridership ● Simplify fare policy ● Decrease dwell time ● Increase ease of use for customers to promote customer self-service o A goal for the new fare collection system is to improve the rider experience by reducing complexity and giving the rider easier ways to pay that are familiar. The easy acceptance of mobile fares and consequent improvement in boarding speeds is expected to improve the rider experience. ● Foster regional transit fare integration o It is important for the Authority to implement a solution that meets current needs, and provides a transition path to meet the future needs of the region. The Authority wishes to avoid technologies that are closed, out of date and not scalable. ● Decrease customer calls to the Authority’s customer information center to decrease customer service costs ● Reduce current magnetic fare media and reduce maintenance costs ● Reduce cash and lower cash handling costs 19
RFP 5-3244
●
●
● ●
o While reducing cash handling costs is a goal for the new fare system, it is not primary. Cash handling costs are not onerous today at the Authority. It is important to recognize that cash handling costs are not linear, that is, that reducing cash accepted by 75% will not reduce cash handling costs by 75% because the Authority will still need to account for cash collection activities. Decrease Equipment Maintenance Costs – a reduction in cash collection and existing magnetic fare media should lead to a reduction in equipment maintenance costs Integrate with other on-board equipment for single sign on for coach operators. Currently, sign on is through magnetic stripe cards presented through the farebox. Consider integration with regional partners’ future ticketing solutions Unify the riding experience by integrating mobile ticketing with other applications for trip planning, real time arrivals, etc.
Review of 2014 Pilot The mobile ticketing pilot was conducted in conjunction with the 2014 OC Fair. The OC Fair took place in July and August of 2014. The Authority runs a shuttle service from regional transit centers and park and ride lots to the OC Fair on Friday, Saturday and Sunday for five consecutive weekends. The service consists of eight shuttle routes and the service uses a fleet of approximately 30 buses to operate the service. The pilot was conducted by allowing riders to buy their bus tickets in advance using their mobile devices. The riders then displayed the ticket for visual inspection or for automated reading by handheld readers as they boarded the vehicle. Pilot Results The pilot project was measured by hard numbers (riders, revenue and costs) and was also evaluated through rider surveys and debrief sessions with both the Consultant and internal resources. Overall boardings for the OC Fair Express increased from 58,706 in 2013 to 76,952 in 2014. Given that the OC Fair was the same length as the previous year and approximately the same level of scheduled service was offered, this represents an increase of more than 18,000 riders, or over 31%. It was estimated that nearly 20,000 boardings were accomplished with mobile ticketing, accounting for over 26% of total boardings. While there is no direct correlation between ridership and the mobile application, the similarity between the increase in total riders and the number using the application is hard to ignore. Other key statistics include the following: ● 65% of App downloads occurred on iOS and 35% on Android operating systems
20
RFP 5-3244 ● 88% of tickets were purchased by “Regular” riders and 12% by Senior/Disabled riders ● Purchases with a Mobile device versus Internet were evenly distributed ● From purchase performed on the Internet, 57% utilized a Windows platform and 35% utilized a Mac platform and 8% were other mobile devices. ● The total revenue gathered through the mobile application was about $37,000.
Lessons Learned ● There were some problems with scanning and validations. Often this was attributable to a phone’s screen protector, brightness or resolution settings. Many times the customer wasn’t ready, the application wasn’t ready, the battery was dead, or no ticket had been purchased. ● Fixed validators on-board the revenue vehicles would avoid problems with readers not recognizing bar codes. ● An iterative design process and phased rollout would allow more feedback on each element as it comes live. ● A commonly encountered issue was dead cell phone batteries after a day at the OC Fair. ● Customers were asked to complete a separate survey, rather than a survey a survey directly inside the application. ● Soon the Authority will have predicted arrivals available, and there is a desire to include this capability in the application, beyond just providing schedule information. ● The Authority appreciated the reporting capabilities within the application but would also like to download reports into Excel or CSV format for more manipulations or the capability to have direct read and query access to the database. ● Tying ridership and application usage to credit card settlement reports was very difficult. System Overview The project will be rolled out in phases, with the initial phase centered around the rollout of mobile ticketing for college passes, followed by allowing passengers to purchase express bus passes, and ultimately implementing mobile ticketing capability on the entire Authority bus fleet, consisting of about 600 fixed route vehicles. The fleet is equipped with GFI Odyssey fareboxes. A summary of the Authority’s revenue fleet make-up is included in the table below.
21
RFP 5-3244 OCTA Revenue Fleet Fixed Route Vehicles NABI New Flyer New Flyer, New New Flyer, New Artic El Dorado, New New Flyer System-wide Total
Size 40-Foot 40-Foot 40-Foot 60-Foot 32-Foot 40-Foot
Fuel Type LNG CNG CNG CNG CNG Diesel
Quantity 72 299 130 36 19 37 593
The Authority’s transit service consists of the following primary services; 1) special services such as the Orange County Express, 2) Freeway-based Express Bus Service, 3) StationLink service designed to connect with Metrolink commuter rail service, 4) Limited Stop local service called Bravo!, 5) Local and Community fixed route service, which is the Authority’s core service, and 6) ACCESS paratransit service. Maps of these services are included in ATTACHMENT C. Implementation Approach The Authority plans to implement a mobile ticketing solution in phases, building on the successes and lessons learned from of each previous phase. The implemented solution will be a fully hosted solution, following a Software as a Service (SaaS) model. The project will consist of three phases. Phase I includes making mobile payments available for College Passes to be rolled-out as Version 1.0 by the end of 2015. Ticket validation during this phase would be accomplished visually by coach operators. The Authority and the colleges will be responsible for determining student eligibility. The Authority registers about 325,000 college pass transactions annually. Phase II is Express bus service which is expected to be rolled-out as Version 2.0 in spring 2016 and the OC Fair in July 2016. Ticket validation during this phase would be accomplished primarily via visual mode. However, the Authority would like to gain experience with stand-beside readers. Therefore, Offeror will be asked to install up to seven readers on express routes to perform ticket validation. On this Express service, the Authority registers about 320,000 transactions annually. Phase III is the full fleet rollout of mobile ticketing and would be rolled-out as Version 3.0 by the end of 2016. Full fleet rollout means that the mobile ticketing application and all associated services are ready for the public and all firmware is installed in stand-beside readers on all Authority buses to perform ticket validation. Included in Phase III is the deployment of stand-beside readers, which is an entirely separate procurement. Readers in the full deployment will be similar to those described Exhibit A, Attachment D. System Specifications. System-wide, the Authority registers about 50 million transactions annually. 22
RFP 5-3244
The Offeror should propose an approach that achieves the goals stated above and describes how the implementation would be carried out from the initial phase on the Express services, through full fleet rollout. This includes a schedule for installing firmware on stand-beside readers on the buses. The Authority places a premium on data and thus the sooner the readers are on buses the better, because of the lack of data provided by visual inspection. The system specifications for this procurement are included as ATTACHMENT D in the RFP.
23
RFP 5-3244
EXHIBIT A ATTACHMENT A
List of Existing and Future Transit Services OCTA currently interfaces with the following transit systems:
Anaheim Resort Transit System (bus service -- Orange County)
City of Irvine Shuttle (bus service -- Orange County)
Foothill Transit (bus service -- Los Angeles County)
Laguna Beach Transit (bus service -- Orange County)
Long Beach Transit (bus service -- Los Angeles County)
Metro (bus and light rail service -- Los Angeles County)
Metrolink (commuter rail service -- Ventura, Los Angeles, Riverside, San Bernardino Orange, and San Diego Counties)
North County Transit District (bus, light rail, commuter rail service -- San Diego County)
Norwalk Transit (bus service -- Los Angeles County)
Omnitrans (bus service -- San Bernardino County)
Riverside Transit Agency (bus service -- Riverside County)
Future Transit Systems:
Project S and Project V- Measure M funded transit projects
24
RFP 5-3244
EXHIBIT A ATTACHMENT B
Orange County Transportation Authority Fare Media - 2015
25
RFP 5-3244
EXHIBIT A ATTACHMENT C
Orange County Transportation Authority Bus System Maps
26
RFP 5-3244
EXHIBIT A ATTACHMENT D
Orange County Transportation Authority Automated Fare Collection/Mobile Ticketing System Specifications
27
RFP 5-3244
TABLE OF CONTENTS
System Specifications Mobile Ticketing Reporting System Components On Board Readers Back Office Data Warehouse User Access Management System Services Hosting Bank Card Processing Fare Policy API for On Board Readers Eligibility Verification Usability Data and Privacy Disaster Recovery PCI Compliance Fraud Prevention Project Measurement (Metrics) Schedule Phased Approach Training Plan Maintenance Warranty Design Reviews Testing Plan
28
RFP 5-3244 SYSTEM SPECIFICATIONS The Authority's minimum functional requirements are identified below. Should an Offeror be able to meet additional requirements, Offeror is encouraged to highlight them. Also should an Offeror not be able to meet a requirement, Offeror must identify a recommended workaround or business case that would allow the project to be successful without meeting the specific requirement. Both this and the Scope of Work, above should be considered part of the work that will be contracted in their entirety. Mobile Ticketing A primary component of the new system will be a mobile ticketing application that allows users to purchase single ride tickets or period passes using their smart phones and then use the smart phone to display valid fare payment on Authority buses using bar codes. The requirements listed below are designed to help the Authority procure an easy-touse mobile ticketing solution. In alignment with the Authority’s guiding principles these requirements are expected to translate to a quick and simple experience of using a mobile device to purchase and redeem tickets. Mobile App The Offeror will make available a free download of a mobile application for the latest versions of both the iOS and Android mobile operating systems, and the two prior versions of each. ● The Offeror will be responsible for offering and maintaining the app in the appropriate app stores. ● The Offeror will be responsible for delivering an off-the-shelf app that has been used elsewhere, but that can be branded with artwork supplied and approved by Authority. ● The Offeror will be responsible for making the applications available without using Authority resources or servers and maintaining updates for the duration of the contract. ● It would be beneficial to have the application code written in such a way as to be portable to alternative mobile phone platforms such as mobile focused web sites, Windows Mobile or Blackberry. Making the application available on other mobile platforms would be highly desirable. ● The Authority would like to include the mobile ticketing app features available in the pilot app: Schedules, Routes, Route Maps, and General Information. ● Authority has a mobile website that can be embedded in the application. There is also a GTFS feed for schedule data. OCTA is developing a real time GTFS feed for vehicle location. ● The wording of the app for the purchase of group passes (as in pilot) should display use of the group ticket clearly. ● Period passes should include multi day passes like the 30 day. Ideally, the app should also include hourly passes. ● The application will allow the purchase of multiple tickets in one transaction. ● The application will provide one barcode for each transaction. 29
RFP 5-3244 ● The application should have the capability to create marketing promotions, such as, a loyalty program so that if a customer purchases a certain number of passes, they get a gift of a free ride or something for consistently using the mobile app for ticketing. ● The Offeror will be responsible for designing and implementing a validation scheme to enforce eligibility requirements for the College Pass and concessionary fares. ● The initial application will be deployed in English only, but the application will be designed with the capability to accommodate up to three languages (i.e. Spanish, Vietnamese, etc.) The general steps for a ticket purchase will be: ● Launch mobile app ● Select purchase tickets ● Select type of ticket ● Select quantity of tickets ● Verify purchase details and total cost ● Ask for contact information ● An option to create an account for future purchases and maintain a transaction history. ● Ask for payment information ● The following options to receive the ticket should be available to the user: ○ Display the ticket on the device or another mobile device or mobile web browser ○ Keep tickets in a wallet or passbook that is available whether or not the device is connected to wireless or a cellular network ○ Purchase a ticket that can be used by another person; i.e. a gift pass Ticket Statistics Barcodes will be displayed in Quick Response (QR) or another commonly accepted standard, and machine readable by on-board readers. Allow ticket activation and validation to occur when the mobile device is not internet connected. Unused tickets will automatically expire at a configurable time. As a part of the proposal, it would be desirable for Offerors to provide a link to an online demonstration showing: ● Application for purchase and account processing ● Ticket appearance on phone and validation – Validation refers to electronically verifying that the ticket is valid and logging the event. ● Reporting system on purchases and usage
30
RFP 5-3244 Reporting The Authority’s Mobile Ticketing reporting must be robust. The Offeror will provide a solution with the functionality listed below but also include within proposals any additional reporting functionality that could meet the larger needs of the Authority's fare collection program. The Authority currently uses Business Objects for reporting and information for data management. Compatibility with these tools is highly desirable. The reporting module must interface to the supplied data warehouse for the generation of canned and custom reports. The reporting tool will allow the viewing, running, and scheduling of predefined reports, as well as the creation of custom reports. The reporting module should have the following attributes: ● Web based or easily accessible from within the Authority (if not web based describe the technical requirements for a reporting workstation and when web based reporting will be available) ● Describe different user level access ● Describe security ● Offeror will provide a transactions report within one business day, containing all transactions for the prior day. ● Offeror will be responsible for developing a set of canned reports to be defined during system design. These reports will include: ○ Ridership reports ○ Sales reports ○ Financial clearing and settlement reports to ensure sales transactions clearly match transactions in the settlement report ○ Maintenance reports ○ Device and system performance reports ○ Customer service reports ○ Exception reports The Offeror will provide for the ability to report on user statistics throughout the ticketing process including but not limited to: ● Purchases ○ Per account ○ By Operating System (OS) ○ By ticket type ○ By location ○ By time/date stamp ○ Payment type ● Usage ○ Location/route ○ Date/time ○ Ticket type ○ OS/handset type ○ Account # ● Summary reports on daily activity will be available by the following day by 8:00 a.m. Pacific Time.
31
RFP 5-3244 ●
Raw data about activity should always be available via Structured Query Language (SQL) on a real time basis. Any reports and all data generated by the system are the sole property of the Authority and will not be shared or distributed without the Authority’s express written permission. ○ ● Offeror will be responsible for developing up to 10 additional custom reports following system implementation and an interface to allow the Authority to build custom reports in a user-friendly manner. These reports will be restricted to a specified number and requested within a predefined period following launch of the system, but will include the following: ○ SQL based data mart ○ All data collected, processed, and transmitted by the mobile ticketing system is owned by the Authority. If any encryption device or algorithmic masking formula is applied to achieve data security at the collection source, then a utility program must be provided which can be applied to the encrypted data to de-encrypt the data into a readable and portable (e.g., ASCII, or a database file/table) format. Data will be held in a standard commercial database satisfactory to the Authority and will be accessible by standard commercial SQL tools for which the vendor supplies the Authority with the schema. Data that is encrypted at the validator level, if any, will be encrypted according to the standards established for those media and will not be de-encrypted at any point. All data should be encrypted when at rest in the application and sent over a secure channel in transit. In other words the data should be encrypted when it resides at the Offeror site. It should send over an encrypted channel when sent from the customer to the Offeror and when it is sent from the Offeror to the Authority. SYSTEM COMPONENTS On Board Readers For the Electronic Validation Pilot as part of Phase II, Offeror will provide seven (7) readers, hardware validation devices which can be mounted on the buses and used to read and validate the tickets sold in the mobile application. The readers will be low cost, self-contained units that can be easily installed and replaced for maintenance purposes. Readers will support limited integration with other onboard systems that provide complementary data, such as associating fares to the appropriate service (i.e. local vs. express service). Operation ● The reader will read/validate 2D/3D barcodes and support industry standard formats including QR and Aztec. ● The reader will operate in a standard onboard bus environment, including exposure to varying levels of sunlight and vibration. ● The response time of the reader will be less than 750ms. ● The reader will display visual and audio feedback for the customer and operator. ● The readers will be able to validate in an “off-line” mode when network connections are unavailable. This may include the use of whitelists and hotlists to 32
RFP 5-3244 store known lists of valid and invalid accounts. An account, in this context is a mobile ticketing user account. This capability would be chiefly used for passes or to flag users that have a history of fraudulent use. ● The reader will have built-in anti-fraud security measures. ● Offerors will provide detailed design documentation for their hardware and software platforms and general operation. Power ● Power will be provided via the onboard vehicle power supply (12-24VDC). ● The power will be available at or near the desired mounting point. ● The Offeror will provide detailed power requirements during the design phase, and work with the Authority to perform cable and installation fit checks. Environmental ● The readers will be designed to withstand structure-borne stresses and vibrations caused by the motion of buses and daily customer usage. ● The reader components will be designed, built, and installed for the harsh shock and vibration operating environment on the bus. ● The reader components will be protected to prevent degradation from exposure to moisture or dust raised by interior cleaning. ● Normal operation in the bus environment will not in any way impair equipment performance or operational life. Onboard Integration ● The reader will be able to communicate securely via an Ethernet interface with an on board mobile data router. Installation ● All required mounting hardware and brackets will be provided by the Offeror. ● Reader design and mounting will meet all applicable FTA Title VI and ADA requirements. ● A sample configuration and mounting will be demonstrated for each bus type for Authority review prior to final installation. ● The Authority will make a vehicle available for a first article installation of the readers. Offeror will be permitted to progress to full fleet installation after successful completion of first article installation. ● The Authority will make fleet for full fleet installation available for a reasonable time for installation of the readers. ● The Authority will have maintenance personnel available for the installation period to advise and assist, but the Offeror will be expected to perform the actual installation and maintenance of the readers. Back Office The Offeror will supply a back office that will provide the following primary functions:
33
RFP 5-3244 ● Mobile ticketing and fare calculations - the calculation of the correct fare for the tickets being purchased on the mobile application. It would be a desirable feature to calculate required fares based on the trip planner. ● Transaction processing and recording ● Customer service interface that allows access to all records for a particular customer’s interaction with the mobile ticketing system ● Data reporting and analysis ● Payment processing and financial clearing ● Security and fraud protection (see System Services section) In addition to the primary functions, the back office system will be expected to conform to generally accepted system maintenance and security standards for mission-critical, enterprise class systems. Data Warehouse All data generated will be stored in a central data warehouse. The data warehouse will collect data from all back office modules to provide a central source for agency reporting. Data captured in the warehouse will include at a minimum: ● All fare payment transaction data and settlement data ● Device events and alarms ● Maintenance incidents created within the maintenance management system ● Customer service incidents ● Accounting entries generated by associated financial clearing systems ● Analytics data to support fraud detection and prevention The data warehouse will be fully compliant with Authority policies and relevant California law, for example, Business and Professions Code Sections 22575-22579, and Electronic Toll Collection and Electronic Transit Fare Collection Systems, Sections 31490. As part of implementation, the Offeror will deliver a full data dictionary and schema for the data warehouse. The Authority will have read-level access to the data warehouse through a secure connection. This interface will provide the ability to query the database directly, export data in a variety of formats, and establish a connection to a third-party reporting tool for use in custom reporting. User Access Management The system will support User Access Management to provide password controlled access to the entire system. The User Access Management system will provide control user access privileges to each module or component of the entire system. SYSTEM SERVICES Hosting As the Authority moves to modernize its fare collection systems, utilization of e-business best practices will be followed. The proposed solution should be a fully hosted solution 34
RFP 5-3244 where the Offeror is responsible for hosting and maintaining the software. Please provide details of your hosted services including: ● Site hosting capabilities including disaster recovery options and capabilities ● Software maintenance (including patch and bug fixes as well as upgrades) processes o Issue resolution process for handling problems o Business continuity and disaster recovery procedures o Schedule maintenance windows or downtime ● Data backup ● Technical support for back office users and coach operators ● Account management and transaction processing Bank Card Processing The Offeror’s services will include all bank card processing. ● The system must accept at a minimum Visa/MC/AMEX/Discover. ● Other payment channels the Authority would like to accept include: ● PayPal ● Google Wallet ● Apple Pay ● Debit cards The Offeror should explain how the proposed application will accept them. ● The Offeror should describe the processing including all gateways and processors used and document all fees. ● All transactions must be cleared through the Authority’s merchant accounts provider, Elavon. ● All payment hardware and software must be Payment Card Industry Data Security Standard (PCI-DSS) certified and capable of passing a PCI-DSS audit. ● No elements of the system will increase the Authority’s PCI-DSS liability. The Authority recognizes that the use of their existing merchant account for all transactions will involve some assumption of PCI-DSS liability by the Authority, consistent with their merchant agreement with Elavon. The Authority does not wish to store or transmit any Personally Identifiable Information (PII) or credit card data on Authority networks or systems and the Offeror will take full responsibility for PCI-DSS compliance as described in the PCI-DSS section of the specification. Fare Policy The Authority will be releasing early in spring 2015 an RFP to conduct a Fare Model Study. The results of this study may lead to changes to the current fare media as well as adding new fare products to encourage ridership and enhance customer loyalty. The mobile solution proposed by Offeror should be flexible enough to incorporate changes like those that will be recommended by this study. API for On Board Readers The Authority will procure readers separately for Phase III, Full-fleet rollout. The Offeror will be responsible for publishing an Application Programming Interface (API) for their
35
RFP 5-3244 system that will enable the hardware vendor to communicate with both the phones and the Offeror’s back end to ensure validation. The intent of the API is to provide an open system for addition of readers. The APIs will be fully licensed for use by the Authority in conjunction with the Mobile Ticketing system. The use of an Open Source license for the API is preferred. The API will support the fare policy framework and business rules described in this document and implemented during the project. A Draft API will be submitted for the Authority to review within eight weeks of Notice to Proceed. The Offeror will provide an overall outline of the approach to the Interface Specifications, including at minimum an outline of the specification, data elements to be included, transaction processing “flow”, and other information needed to assure Authority that there is a full understanding of the intent and workability of the Offeror’s approach and there will be no delay in providing a workable API according to the schedule. The API will be sufficient to allow another contractor providing readers to properly process mobile tickets so that information can be exchanged with the backend. The Authority will review the Interface Specifications with the intent to return comments to the Contractor within four weeks after submittal. The Offeror will provide the final version of the Interface Specifications to the Authority within four weeks after receiving comments. It is the Authority’s intention to publish the Draft API as part of the forthcoming RFP for On Board Readers. The Offeror will use the approved API for communication with the Readers supplied for the Electronic Validation Pilot (on Express routes) during Phase II. The Offeror will demonstrate, as part of the pilot testing, that the communications between the readers and back end utilize the API. Eligibility Verification The Offeror will be responsible for designing and implementing a verification scheme to enforce eligibility requirements for the College Pass and concessionary (e.g. senior and disabled fares) for the full fleet rollout. The Authority will be responsible for determining eligibility for the programs and will supply a list of eligible participants in suitable electronic form. The Offeror will be responsible for developing and maintaining a system which ensures that only eligible participants can purchase the discounted fares and passes. Usability The Authority is looking for mobile apps that are easy to use, with minimal "clicks", while also supporting ADA compliance. Applications should be developed using modern technologies and provide riders a fast and simple way to purchase and redeem tickets using their mobile device.
36
RFP 5-3244 ● The app display, instructions, and selection keys of the Mobile Application will be easy to read, understand, and use ● The initial application will be deployed in English only, but the application will be designed with the capability to accommodate up to three languages (i.e. Spanish, Vietnamese, etc.) ● All text will have a high contrast color to its background to ensure legibility and ADA compliance. ● Screen layouts will be constructed to minimize the likelihood that a user will activate the incorrect key. ● The Mobile Application will follow the current design and accessibility guidelines for each OS. Data and Privacy In keeping with its guiding principles, the Authority feels that keeping its customers’ information safe and secure is a high priority. The project and the fare ticketing program must communicate a high degree of confidence to customers that their information is safe and secure. In order to accomplish this, the system will utilize the most current security and encryption tools as part of the project. In addition, the Authority requires a plan for continued monitoring, controlling and updating to all solution components to ensure customer data is safe. ● All data transmissions must be encrypted. ○ This will include such elements as strong SSL (TLS v1, 2 or 3) for web interfaces and Internet Protocol Security (IPsec), Secure Shell (SSH) network protocol, Pretty Good Privacy (PGP) encryption for Financial Institution interfaces, and all other applicable security standards. ● The Offeror will describe data storage and protection methodologies. ● All payment data will be via PCI-DSS compliant channels and not increase the Authority’s PCI exposure. ● The system design will ensure that all data is safeguarded from unauthorized access or use and programs are protected from virus, malware, and cyberattacks. ● The Offeror will describe privacy policy and handling of Personally Identifiable Information (PII). ● All elements of the system will comply with the Authority’s privacy policy. (http://www.OCTA.net/disclaimer/) ● Offeror will include their own privacy policy within the App. ● The Offeror will provide a plan as part of the proposal for monitoring, controlling and updating security and encryption tools on an ongoing basis. Disaster Recovery The system will be incorporated into the Authority’s disaster recovery plan. The Offeror will be responsible for providing a system capable of meeting the Authority’s expected availability and recovery times.
37
RFP 5-3244 PCI Compliance The Authority is not expecting to accept contactless bank cards in the initial rollout of this system (Phases I-III). The Authority may choose to add this capability at a later date, and thus all hardware in the system should be PCI-DSS compliant. The system will be fully compliant and maintain compliance with the latest version of the PCI-DSS standard (currently v3.0) to maintain security in the handling of the customer’s bank card information, and lower the risks assumed and rates paid by the agencies under their merchant services agreements. The PCI-DSS defines 12 system security requirements with which a merchant (i.e., the agency or Supplier) must demonstrate compliance in order to accept bank cards. It also requires that any third-party equipment that is purchased be PCI-certified, which can be made easier by use of an open architecture that allows for the purchase of Commercial-off-the-Shelf (COTS) equipment that has been certified by the Original Equipment Manufacturer (OEM). The Offeror will be responsible for demonstrating that all hardware and software are PCI-DSS compliant, and for providing appropriate PCI-DSS testing and certification of the system. In general, the approach to PCI-DSS compliance will include the practice of avoiding the storage of Personally Identifiable Information (PII) and bank card data on field devices whenever possible, and only storing or transmitting this data in an encrypted form. Tokenization will also be used wherever possible, meaning that communications between the back office and the payment processor will not use the full card number after the first transaction has been authorized, and that the back office will not use full card number for the processing and storage of transactions. Tokenization will allow for refunds and the tracking of chargebacks without having to store the card number. It is the intention of the Authority to procure contactless readers for Phase III (Full Fleet) which are capable of open payments. Therefore the readers supplied by the Offeror for the electronic validation pilot during Phase II will be compliant with the latest version of the EMV Contactless Specifications for Payment Systems (currently v. 2.4). Further, nothing about the Offeror’s software or APIs provided under this procurement will conflict with the readers in Phase III being compliant with the EMV Contactless Specifications for Payment Systems. Fraud Prevention In the proposal, the Offeror will describe their fraud prevention techniques and tools to prevent fraudulent use of mobile tickets. ● At minimum, dynamic generation of barcodes and real-time validation of tickets will be used to prevent duplication or sharing of tickets. Barcodes should be generated uniquely for every ticket in a manner that reduces the risk of fraud. ● The Mobile Application will display unique animation(s) or other techniques designed to minimize the risk of screenshots or fraudulent tickets. ● Backend fraud detection capabilities, including velocity checking, will be described in case duplicate tickets are used.
38
RFP 5-3244 PROJECT MEASUREMENT (METRICS) The solution must include measurement of the success of the project. The metrics should align with project goals: ● Increase ridership ● Simplify fare policy ● Maintain or increase fare policy equity (Federal Transit Administration Title VI) ● Decrease dwell time ● Increase ease of use for customers ● Foster regional transit fare integration ● Decrease customer service costs ● Reduce cash and lower cash handling costs ● Decrease equipment maintenance costs Offerors are strongly encouraged to propose metrics against as many of these goals as possible. More metrics are better. The Authority can provide operational data (dwell time, customer service calls, cash handling and cash handling costs, equipment maintenance costs) including comparable numbers from existing operations, but the Offeror is responsible for designing the project metrics and reporting on them. In addition to automatically collected metrics, Offerors are encouraged to incorporate surveys in their applications to facilitate the gathering of information around ease of use and customer service metrics. Basic metrics such as the number of people who have downloaded the applications and the usage per download by platform are required in real time and/or web-based format. Detailed reporting within a day after the fact is a necessity.
SCHEDULE Phased Approach The mobile ticketing Project will consist of three phases. A pilot was performed by Genfare (SPX) with CooCoo SMS, Inc. during the OC Fair of 2014 and will be repeated during the OC Fair of 2015, which is separate from this procurement. The technology used in this pilot is not expected to be carried over into subsequent phases. During the first two phases, visual validation will be performed. Phase I consists of making mobile payments available for College Passes, to be completed by the end 2015. Annually, the Authority registers about 325,000 college pass transactions. College passes will be used on all buses, fleet wide. Phase II consists of rolling out mobile payments for Orange County Express buses, and is expected to be completed by the end of April 2016.
39
RFP 5-3244 As a part of Phase II the Authority expects to conduct a pilot of electronic validation using on board bar code readers. The Offeror will provide the readers for this pilot. The Authority plans to equip two Express bus routes (701 and 721). Each route requires 3 readers plus one spare for a total of 7 readers. The Authority registers about 320,000 annual transactions on this Express service. During Phase II, the 2016 OC Fair will take place. The Offeror’s mobile application will be capable of handling the OC Fair special event tickets in time for use during the 2016 Fair, using visual inspection. The Authority registers about 80,000 transactions on the OC Fair service. Phase III is full fleet rollout of mobile ticketing by the end of 2016, and will include installation and testing of on board readers, which will be procured separately and communicate using an API provided by the Offeror. System-wide the Authority registers about 50 million annual transactions. The Authority expects that there will be a single Mobile Ticketing application at all times. Further, each Phase will be accompanied by a new release of the application. The releases will follow this pattern: Phase I – College Passes II – Express
Version 1.0 2.0
III – Full Fleet
3.0
Ticket Types Supported College Passes College Passes Express Fares OC Fair All Mobile Tickets College Passes Express Fares OC Fair
Version 2.0 of the application will support all Phase I and Phase II ticket types and Version 3.0 of the application will support all Phase I and Phase II ticket types. Offerors should propose a phased approach that achieves the goals stated above and describes how the implementation would be carried out from the initial phase of College Passes, through full fleet rollout. This includes a schedule for testing the installed readers on the buses and ensuring that mobile ticket validation can be achieved through visual validation for all initial phases. The Offeror will provide a proposed project schedule for delivery of the system and also describe how the schedule will be tracked and reported to the Authority and what mitigation efforts will be used if the project falls behind schedule.
40
RFP 5-3244 The schedule and pricing should include phased rollouts: Phase Phase I Phase II Phase III
Description College Pass Express Bus OC Fair Full Fleet Rollout
# Vehicles Approx. 38 buses Approx. 30 buses Approx.590 buses
Validation Visual Visual Visual Readers
Timing December 2015 April 2016 July 2016 Late 2016
The schedule should assume a contract award of June 22, 2015 and include at a minimum the following elements for each proposed phase: ● Needs analysis ● Design ● Design submittal ● Design approval ● Acceptance testing ● System acceptance Training ● Metrics reporting Training Plan Offeror will provide a Training Plan. The Training Plan should be a breakdown of proposed training tools including, videos, manuals, classes etc. The Authority is a diverse organization with a number of different types of internal users of the data generated by system. Offeror will address the different training needs for the following organizations within the Authority, by proposed phases. ● Customer Service ● Marketing ● Coach Operators ● Finance ● Ambassadors at OC Fair (if necessary) ● Maintenance ● IT The Offeror will provide manuals, training, and training tools for the proper operation, maintenance, and repair of onboard equipment. Materials to be provided will include onboard equipment maintenance manuals, procedures manuals, and workbooks. Delivery of the manuals, training, and training tools will be accomplished per the schedule to be approved by both parties. The Offeror shall also include roles and responsibilities and recommended tools and techniques for the Authority in the Training Plan. Maintenance The Offeror will maintain the back-end software for the mobile ticketing solution and ensure that bugs are addressed in a timely manner. Additionally the Offeror will release an updated version of the application on all platforms on at least a quarterly basis to address Authority feature, functionality and graphic requests. As a part of design
41
RFP 5-3244 review, Offeror will submit an Update Plan and Service Level Agreement outlining the frequency of new releases and the speed of response for various categories of bugs. The Offeror will be primarily responsible for maintaining the backend systems, the app functionality, and the limited number of onboard readers on Express services. Authority’s responsibility for maintenance of onboard equipment on Express services will be limited to diagnostics and basic level maintenance. The Offeror will provide a maintenance plan sufficiently detailed to permit the Authority to perform diagnostics, basic maintenance and servicing of the mobile ticketing fare collection system, and will be scaled as necessary to reflect varied requirements over the anticipated service life of the system. The Offeror will provide Authority staff an overview and detailed briefing on the onboard equipment for the electronic validation pilot on Express services. Authority technicians will receive training on understanding error codes and messages; diagnostics, calibrations, basic repairs and replacement of equipment. The maintenance technicians will also be trained to administer and/or witness acceptance tests for the onboard equipment installed on Express services.
Warranty The Offeror will warrant to the Authority that all of the equipment, computer systems and software and firmware, including such that may be warranted by third-party suppliers, provided for the mobile ticketing fare collection system will be free from defects in material and workmanship under normal operating use and service. Remedial work to correct deficiencies will include the repair or replacement, at the Offeror’s option, of equipment, components, devices and/or materials including all applicable software and/or firmware as warranted by third-party suppliers. The Offeror will be responsible for all warranty repair costs, including without limitation the shipping charges to and from Offeror’s repair facilities, and the costs associated with re-installation, unless it is mutually agreed that installation can be performed by Authority personnel. The Offeror will provide a two (2) year warranty that begins upon successful completion of System Acceptance Testing for Phase III. Any system component repaired or replaced under terms of warranty will be warranted for at least six (6) months, or the remaining duration of the two-year warranty for the failed system component, whichever is longer. The Offeror will provide annual options to Authority for extension of the warranty for up to five (5) years after expiration of the initial Warranty. Each warranty extension option will be exercised at least 90 days prior to the expiration of the then current warranty term. Pricing for each warranty extension term will be subject to standard increases based on current Electronic CPI increases to submitted estimated pricing. Authority will operate and maintain the mobile ticketing fare collection system in accordance with Offeror’s specific instructions as set forth in the Offeror’s documentation and training in order to maintain this warranty.
42
RFP 5-3244 This warranty will not apply to defects resulting from: improper or inadequate maintenance by Authority; operation outside the unit(s) environmental specifications; improper site preparation and maintenance; improper testing of the unit(s) by Authority; unauthorized modification or misuse of the unit(s); unauthorized repair or examination by Authority; mishandling, neglect, misuse, or abuse of the unit(s) by Authority; and/or failure to provide required preventive maintenance. The Offeror’s warranty extends to Authority only. The Offeror will submit a draft of the warranty plan at the Final Design Review and a revised final version will be provided a minimum of 90 days prior to the start of any warranty period. Design Reviews Design reviews will be conducted to evaluate the progress and technical adequacy of the design and conformance to the performance requirements of the project. Prior to each review, the Offeror will submit a design review package that includes the design and other items required for the review. Unless the Offeror proposes an alternate approach which is acceptable to the Authority, design review will be divided into three distinct levels: ● Conceptual Design Review ● Preliminary Design Review ● Final Design Review The three levels of the design review may be conducted separately for the separate phases of the project (College Pass, Express Service, OC Fair, and fixed-route systemwide). Conceptual Design Review The primary objectives of the Conceptual Design Review will be to acquaint the Authority with the Offeror's intended design and procurement activities, resolve external interfaces, and provide the basis for proceeding to Preliminary Design Review. At a minimum, the Conceptual Design Review will accomplish the following: ● Confirm the Offeror's management team and the scope of supply of subsuppliers ● Provide narrative descriptions of the major subsystems proposed by the Offeror ● Identify information needs and decisions required from the Authority ● Confirm that the Offeror is familiar with the intended operations and maintenance environment ● Provide block diagrams showing functionality and interfaces between system components and elements, such as Authority’s systems, that are not to be provided by the Offeror but affect the System provided by the Offeror ● Review the software conceptual design, including block diagrams and features
43
RFP 5-3244 Preliminary Design Review The Preliminary Design Review is designed to review the adequacy of the selected design approach for equipment needed and evaluate requirement conformance. The Preliminary Design Review will represent approximately 65 percent completion of the total engineering effort for the system. At a minimum, the Preliminary Design Review will include: ● Detailed technical descriptions of the system’s major components, allowing a thorough understanding of the implementation of the proposed system components ● Drawing of passenger interface arrangements ● Software system level flow charts ● Software data backup and recovery procedures Final Design Review The Final Design Review will be conducted when detailed design is complete. The Final Design Review will determine whether the detailed design will conform to the design requirements. Data submitted for the Final Design Review will be updated to a level of detail consistent with the completed design and submitted for the Final Design Review. At a minimum, the Final Design Review will include: ● Latest revisions of the drawings and documentation submitted for the Preliminary Design Review ● Software documentation at the second level, including all software development documentation available or used in the Offeror’s design process, consisting of structured data flow diagrams, event tables and/or dialogue diagrams (as available) to the lowest level of decomposition with software module descriptions (or elemental process descriptions) in structured narrative format. The second level of software documentation is one level above source code. ● Review of Offeror’s final interoperability and integration with onboard systems, including verification and test plans. Testing Plan The Offeror will be expected to develop a Testing Plan for the entire project, including first article and full fleet installation. The Testing Plan should address each level of testing and be incorporated into the design reviews. The Testing Plan should include device and network integration testing as part of component development following an Agile software development lifecycle. The successful completion of the applicable design reviews will be a prerequisite to proceeding with testing. The Offeror will submit a Testing Plan for Authority’s review and acceptance at Final Design Review, to be used in connection with all inspections and tests. The Testing Plan will include a detailed schedule indicating the sequence of each test and where and when each test will take place. The objective of the Testing Plan is to ensure that the system furnished by the Offeror will meet all the requirements specified in this document. Design reviews, testing and acceptance will be conducted throughout the project to satisfy the production and delivery schedule. 44
RFP 5-3244
EXHIBIT B: COST AND PRICE FORMS
45
RFP 5-3244 Exhibit B PRICE SUMMARY SHEET Enter below the proposed price for each of the items described in the Scope of Work, Exhibit A. Prices shall include direct costs, indirect costs, and profits. The Authority’s intention is to award a firm fixed price contract.
Item
Description
Total
1
Project Plan and Schedule
2
System Design
3
System Installation
4
System Acceptance Testing
5
Training Plan and Training
6
Software and Back Office Systems
7
Hardware Validators (7units for Express Service)
8
License and Maintenance Fees per Year
9
Extended Warranty per Year
9
Transaction Fees (as a Percent)
$ $ $ $ $ $ $ $ $ %
Firm Fixed Grand Total: Notes: Transactions fees exclusive of bank card fees OCTA Annual Ridership Transactions (approximate): College Pass = 325,000 Express Service = 300,000 OC Fair = 80,000 System-wide = 50,000,000
46
$
RFP 5-3244 Exhibit B 1.
I acknowledge receipt of RFP 5-3244 and Addenda No. (s) ____________
2.
This offer shall remain firm for ___________, days from the date of the proposals, minimum 120 days.
COMPANY NAME: ADDRESS:
TELEPHONE:
/ Facsimile:
EMAIL ADDRESS: SIGNATURE OF PERSON AUTHORIZED TO BIND OFFER: NAME AND TITLE OF PERSON AUTHORIZED TO BIND OFFEROR:
DATE:
47
RFP 5-3244
EXHIBIT C: PROPOSED AGREEMENT
48
C-5-3244 Exhibit C
1
PROPOSED AGREEMENT NO. C-5-3244
2
BETWEEN
3
ORANGE COUNTY TRANSPORTATION AUTHORITY
4
AND
5 6
THIS AGREEMENT is effective this _____ day of ________________________, 2015,
7
by and between the Orange County Transportation Authority, 550 South Main Street, P.O. Box
8
14184, Orange, California 92863-1584, a public corporation of the state of California
9
(hereinafter referred to as "AUTHORITY"), and , , , (hereinafter referred to as "CONSULTANT").
10
WITNESSETH:
11
WHEREAS, AUTHORITY requires assistance from CONSULTANT to provide a
12
system that allows for acceptance of mobile ticketing, including installation of barcode
13
readers on buses, as well as integration with the AUTHORITY’s fare system and open-loop
14
(credit card) payments, in three phases.
15
WHEREAS, AUTHORITY and CONSULTANT agree that if AUTHORITY fully accepts
16
CONSULTANT’s completion of phases one through three, at AUTHORITY’s discretion an
17
option to proceed with a fourth phase may be exercised; and WHEREAS, said work cannot be performed by the regular employees of AUTHORITY;
18 19 20
21
and WHEREAS, CONSULTANT has represented that it has the requisite personnel and experience, and is capable of performing such services; and
22
WHEREAS, CONSULTANT wishes to perform these services;
23
NOW, THEREFORE, it is mutually understood and agreed by AUTHORITY and
24
CONSULTANT as follows:
25
ARTICLE 1.
26
A. This Agreement, including all exhibits and documents incorporated herein and
COMPLETE AGREEMENT
49
C-5-3244 Exhibit C
1
made applicable by reference, constitutes the complete and exclusive statement of the terms
2
and conditions of this Agreement between AUTHORITY and CONSULTANT and it
3
supersedes all prior representations, understandings and communications. The invalidity in
4
whole or in part of any term or condition of this Agreement shall not affect the validity of other
5
terms or conditions.
6
B. AUTHORITY's failure to insist in any one or more instances upon CONSULTANT's
7
performance of any terms or conditions of this Agreement shall not be construed as a waiver
8
or relinquishment of AUTHORITY's right to such performance or to future performance of
9
such terms or conditions and CONSULTANT's obligation in respect thereto shall continue in
10
full force and effect. Changes to any portion of this Agreement shall not be binding upon
11
AUTHORITY except when specifically confirmed in writing by an authorized representative of
12
AUTHORITY by way of a written amendment to this Agreement and issued in accordance
13
with the provisions of this Agreement.
14
ARTICLE 2.
15
The Chief Executive Officer of AUTHORITY, or designee, shall have the authority to act
16
AUTHORITY DESIGNEE
for and exercise any of the rights of AUTHORITY as set forth in this Agreement.
17
ARTICLE 3.
SCOPE OF WORK
18
A. CONSULTANT shall perform the work necessary to complete in a manner
19
satisfactory to AUTHORITY the services set forth in Exhibit A, entitled "Scope of Work,"
20
attached to and, by this reference, incorporated in and made a part of this Agreement. All
21
services shall be provided at the times and places designated by AUTHORITY.
22
B. CONSULTANT shall provide the personnel listed below to perform the
23
above-specified services, which persons are hereby designated as key personnel under this
24
Agreement.
25
/
26
/ 50
C-5-3244 Exhibit C
1
Names
Functions
2 3
C. No person named in paragraph B of this Article, or his/her successor approved by
4
AUTHORITY, shall be removed or replaced by CONSULTANT, nor shall his/her agreed-upon
5
function or level of commitment hereunder be changed, without the prior written consent of
6
AUTHORITY.
7
CONSULTANT, the resume and qualifications of the proposed replacement shall be
8
submitted to AUTHORITY for approval as soon as possible, but in no event later than seven
9
(7) calendar days prior to the departure of the incumbent key person, unless CONSULTANT
10
is not provided with such notice by the departing employee. AUTHORITY shall respond to
11
CONSULTANT within seven (7) calendar days following receipt of these qualifications
12
concerning acceptance of the candidate for replacement.
Should the services of any key person become no longer available to
13
ARTICLE 4.
TERM OF AGREEMENT
14
A. This Agreement shall commence upon execution by both parties, and shall
15
continue in full force and effect through _________________, unless earlier terminated or
16
extended as provided in this Agreement.
17
ARTICLE 5.
PAYMENT
18
A. For CONSULTANT’s full and complete performance of its obligations under this
19
Agreement and subject to the maximum cumulative payment obligation provisions set forth in
20
Article 6, AUTHORITY shall pay CONSULTANT on a firm fixed price basis in accordance
21
with the following provisions.
22
B. The following schedule shall establish the firm fixed payment to CONSULTANT by
23
AUTHORITY for each task set forth in the Scope of Work. The schedule shall not include
24
any CONSULTANT expenses not approved by AUTHORITY, including, but not limited to
25
reimbursement for local meals.
26
C. The project is comprised of three phases in accordance to Exhibit A, Scope of 51
C-5-3244 Exhibit C
1
Work that includes; Phase One, College Pass; Phase Two, Express Bus; and Phase Three,
2
System-Wide Rollout.
3
Description
4
Project Plan and Schedule
$0.00
5
System Design
$0.00
6
System Acceptance Testing
$0.00
7
Training Plan and Training
$0.00
8
Software and Back Office Systems
$0.00
9
Hardware Validators (7 units for Express Service
$0.00
10
License and Maintenance Fees per Year
$0.00
11
Extended Warranty per Year
$0.00
12
PHASES I, II AND III TOTAL FIRM FIXED PRICE:
$0.00
13
Transaction Fees _________%
14
Firm Fixed Price
D. CONSULTANT shall invoice AUTHORITY on a monthly basis for payments
15
corresponding to the work actually completed by CONSULTANT.
16
completed shall be documented in a monthly progress report prepared by CONSULTANT,
17
which shall accompany each invoice submitted by CONSULTANT. CONSULTANT shall also
18
furnish such other information as may be requested by AUTHORITY to substantiate the
19
validity of an invoice. At its sole discretion, AUTHORITY may decline to make full payment
20
for any task listed in paragraph B of this Article until such time as CONSULTANT has
21
documented to AUTHORITY’s satisfaction, that CONSULTANT has fully completed all work
22
required under the task. AUTHORITY’s payment in full for any task completed shall not
23
constitute AUTHORITY’s final acceptance of CONSULTANT’s work under such task; final
24
acceptance shall occur only when AUTHORITY’s release of the retention described in
25
paragraph E.
26
Percentage of work
E. As partial security against CONSULTANT’s failure to satisfactorily fulfill all of its 52
C-5-3244 Exhibit C
1
obligations under this Agreement, AUTHORITY shall retain ten percent (10%) of the amount
2
of each invoice submitted for payment by CONSULTANT excluding sales tax. All retained
3
funds shall be released by AUTHORITY and shall be paid to CONSULTANT within sixty (60)
4
calendar days of payment of final invoice, unless AUTHORITY elects to audit
5
CONSULTANT’s records in accordance with Article 16 of this Agreement. If AUTHORITY
6
elects to audit, retained funds shall be paid to CONSULTANT within thirty (30) calendar days
7
of completion of such audit in an amount reflecting any adjustment required by such audit.
8
During the term of the Agreement, at its sole discretion, AUTHORITY reserves the right to
9
release all or a portion of the retained amount based on CONSULTANT’S satisfactory
10
completion of certain milestones. CONSULTANT shall invoice AUTHORITY for the release of
11
the retention in accordance with ARTICLE 5.
12
F. Invoices shall be submitted by CONSULTANT on a monthly basis and shall be
13
submitted in duplicate to AUTHORITY’s Accounts Payable office. CONSULTANT may also
14
submit invoices electronically to AUTHORITY’s Accounts Payable Department at
15
[email protected]. Each invoice shall be accompanied by the monthly progress report
16
specified in paragraph D of this Article. AUTHORITY shall remit payment within thirty (30)
17
calendar days of the receipt and approval of each invoice. Each invoice shall include the
18
following information:
19
1.
Agreement No. C-5-3244
20
2.
Specify the phase and task for which payment is being requested;
21
3.
The time period covered by the invoice;
22
4.
Total monthly invoice (including project-to-date cumulative invoice amount);
23
and retention;
24
5.
Monthly Progress Report;
25
6.
Certification signed by the CONSULTANT or his/her designated alternate that
26
a) The invoice is a true, complete and correct statement of reimbursable costs and progress; b) 53
C-5-3244 Exhibit C
1
The backup information included with the invoice is true, complete and correct in all material
2
respects; c) All payments due and owing to subcontractors and suppliers have been made; d)
3
Timely payments will be made to subcontractors and suppliers from the proceeds of the
4
payments covered by the certification and; e) The invoice does not include any amount which
5
CONSULTANT intends to withhold or retain from a subcontractor or supplier unless so
6
identified on the invoice.
7 8 9
7.
Any other information as agreed or requested by AUTHORITY to substantiate
the validity of an invoice. ARTICLE 6.
MAXIMUM OBLIGATION
10
Notwithstanding any provisions of this Agreement to the contrary, AUTHORITY and
11
CONSULTANT mutually agree that AUTHORITY's maximum cumulative payment obligation
12
(including obligation for CONSULTANT’s profit) shall be _________________ Dollars ($0.00)
13
which shall include all amounts payable to CONSULTANT for its subcontracts, leases,
14
materials and costs arising from, or due to termination of, this Agreement.
15
ARTICLE 7.
NOTICES
16
All notices hereunder and communications regarding the interpretation of the terms of
17
this Agreement, or changes thereto, shall be effected by delivery of said notices in person or by
18
depositing said notices in the U.S. mail, registered or certified mail, returned receipt requested,
19
postage prepaid and addressed as follows:
20
To CONSULTANT:
To AUTHORITY:
21
Orange County Transportation Authority
22
550 South Main Street
23
P.O. Box 14184
24
Orange, CA 92863-1584
25
ATTENTION:
ATTENTION: Yvette Crowder 714/560-5616
26
54
C-5-3244 Exhibit C
1
ARTICLE 8.
INDEPENDENT CONTRACTOR
2
CONSULTANT's relationship to AUTHORITY in the performance of this Agreement is
3
that of an independent contractor. CONSULTANT's personnel performing services under this
4
Agreement shall at all times be under CONSULTANT's exclusive direction and control and shall
5
be employees of CONSULTANT and not employees of AUTHORITY. CONSULTANT shall pay
6
all wages, salaries and other amounts due its employees in connection with this Agreement and
7
shall be responsible for all reports and obligations respecting them, such as social security,
8
income tax withholding, unemployment compensation, workers' compensation and similar
9
matters.
10
ARTICLE 9.
11
A. CONSULTANT shall procure and maintain insurance coverage during the entire
12
term of this Agreement. Coverage shall be full coverage and not subject to self-insurance
13
provisions. CONSULTANT shall provide the following insurance coverage: 1.
14
INSURANCE
Commercial General Liability, to include Products/Completed Operations,
15
Independent Contractors’, Contractual Liability, and Personal Injury Liability, and Property
16
Damage with a minimum limit of $1,000,000.00 per occurrence and $2,000,000.00 general
17
aggregate. 2.
18 19
Automobile Liability Insurance to include owned, hired and non-owned
autos with a combined single limit of $1,000,000.00 each accident; 3.
20
Workers’ Compensation with limits as required by the State of California
21
including a waiver of subrogation in favor of AUTHORITY, its officers, directors, employees or
22
agents;
23
4.
Employers’ Liability with minimum limits of $1,000,000.00; and
24
5.
Professional Liability with minimum limits of $1,000,000.00 per claim.
25
B. Proof of such coverage, in the form of an insurance company issued policy
26
endorsement and a broker-issued insurance certificate, must be received by AUTHORITY 55
C-5-3244 Exhibit C
1
prior to commencement of any work. Proof of insurance coverage must be received by
2
AUTHORITY within ten (10) calendar days from the effective date of this Agreement with the
3
AUTHORITY, its officers, directors, employees and agents designated as additional insured
4
on the general and automobile liability. Such insurance shall be primary and non-contributive
5
to any insurance or self-insurance maintained by the AUTHORITY.
6 7
C. CONSULTANT shall include on the face of the Certificate of Insurance the Agreement Number C-5-3244; and, the Contract Administrator’s Name, 714/560-5616.
8
D. CONSULTANT shall also include in each subcontract the stipulation that
9
subcontractors shall maintain insurance coverage in the amounts required from
10 11 12
CONSULTANT as provided in this Agreement. E. CONSULTANT shall be required to immediately notify AUTHORITY of any modifications or cancellation of any required insurance policies.
13
ARTICLE 10.
ORDER OF PRECEDENCE
14
Conflicting provisions hereof, if any, shall prevail in the following descending order of
15
precedence: (1) the provisions of this Agreement, including all exhibits; (2) the provisions of
16
RFP 5-3244; (3) CONSULTANT’s proposal dated _____________; (4) all other documents, if
17
any, cited herein or incorporated by reference.
18
ARTICLE 11.
CHANGES
19
By written notice or order, AUTHORITY may, from time to time, order work suspension
20
and/or make changes in the general scope of this Agreement, including, but not limited to, the
21
services furnished to AUTHORITY by CONSULTANT as described in the Scope of Work. If
22
any such work suspension or change causes an increase or decrease in the price of this
23
Agreement, or in the time required for its performance, CONSULTANT shall promptly notify
24
AUTHORITY thereof and assert its claim for adjustment within ten (10) calendar days after the
25
change or work suspension is ordered, and an equitable adjustment shall be negotiated.
26
However, nothing in this clause shall excuse CONSULTANT from proceeding immediately with 56
C-5-3244 Exhibit C
1
the agreement as changed.
2
ARTICLE 12.
3
A. Except as otherwise provided in this Agreement, any dispute concerning a
4
question of fact arising under this Agreement which is not disposed of by supplemental
5
agreement shall be decided by AUTHORITY's Director, Contracts Administration and
6
Materials Management (CAMM), who shall reduce the decision to writing and mail or
7
otherwise furnish a copy thereof to CONSULTANT. The decision of the Director, CAMM,
8
shall be final and conclusive.
DISPUTES
9
B. Pending final decision of a dispute hereunder, CONSULTANT shall proceed
10
diligently with the performance of this Agreement and in accordance with the decision of
11
AUTHORITY's Director, CAMM. This Disputes clause does not preclude consideration of
12
questions of law in connection with decisions provided for above. Nothing in this Agreement,
13
however, shall be construed as making final the decision of any AUTHORITY official or
14
representative on a question of law, which questions shall be settled in accordance with the
15
laws of the state of California.
16
ARTICLE 13.
TERMINATION
17
A. AUTHORITY may terminate this Agreement for its convenience at any time, in
18
whole or part, by giving CONSULTANT written notice thereof.
Upon said notice,
19
AUTHORITY shall pay CONSULTANT its allowable costs incurred to date of termination and
20
those allowable costs determined by AUTHORITY to be reasonably necessary to effect such
21
termination. Thereafter, CONSULTANT shall have no further claims against AUTHORITY
22
under this Agreement.
23
B. In the event either Party defaults in the performance of any of their obligations
24
under this Agreement or breaches any of the provisions of this Agreement, the non-
25
defaulting Party shall have the option to terminate this Agreement upon thirty (30) days’ prior
26
written notice to the other Party. Upon receipt of such notice, CONSULTANT shall 57
C-5-3244 Exhibit C
1
immediately cease work, unless the notice from AUTHORITY provides otherwise. Upon
2
receipt of the notice from AUTHORITY, CONSULTANT shall submit an invoice for work
3
and/or services performed prior to the date of termination.
4
CONSULTANT for work and/or services satisfactorily provided to the date of termination in
5
compliance with this Agreement. Thereafter, CONSULTANT shall have no further claims
6
against AUTHORITY under this AGREEMENT. AUTHORITY shall not be liable for any claim
7
of lost profits or damages for such termination.
AUTHORITY shall pay
8
ARTICLE 14.
INDEMNIFICATION
9
CONSULTANT shall indemnify, defend and hold harmless AUTHORITY, its officers,
10
directors, employees and agents from and against any and all claims (including attorneys' fees
11
and reasonable expenses for litigation or settlement) for any loss or damages, bodily injuries,
12
including death, damage to or loss of use of property caused by the negligent acts, omissions or
13
willful misconduct by CONSULTANT, its officers, directors, employees, agents, subcontractors
14
or suppliers in connection with or arising out of the performance of this Agreement.
15
ARTICLE 15.
ASSIGNMENTS AND SUBCONTRACTS
16
A. Neither this Agreement nor any interest herein nor claim hereunder may be
17
assigned by CONSULTANT either voluntarily or by operation of law, nor may all or any part
18
of this Agreement be subcontracted by CONSULTANT, without the prior written consent of
19
AUTHORITY. Consent by AUTHORITY shall not be deemed to relieve CONSULTANT of its
20
obligations to comply fully with all terms and conditions of this Agreement.
21
B. AUTHORITY hereby consents to CONSULTANT's subcontracting portions of the
22
Scope of Work to the parties identified below for the functions described in CONSULTANT's
23
proposal. CONSULTANT shall include in the subcontract agreement the stipulation that
24
CONSULTANT, not AUTHORITY, is solely responsible for payment to the subcontractor for
25
the amounts owing and that the subcontractor shall have no claim, and shall take no action,
26
against AUTHORITY, its officers, directors, employees or sureties for nonpayment by 58
C-5-3244 Exhibit C
1
CONSULTANT.
2
Subcontractor Name/Addresses
3 4
ARTICLE 16.
AUDIT AND INSPECTION OF RECORDS
5
CONSULTANT shall provide AUTHORITY, or other agents of AUTHORITY, such access to
6
CONSULTANT's accounting books, records, payroll documents and facilities, as AUTHORITY
7
deems necessary. CONSULTANT shall maintain such books, records, data and documents in
8
accordance with generally accepted accounting principles and shall clearly identify and make
9
such items readily accessible to such parties during CONSULTANT's performance hereunder
10
and for a period of four (4) years from the date of final payment by AUTHORITY.
11
AUTHORITY’s right to audit books and records directly related to this Agreement shall also
12
extend to all first-tier subcontractors identified in Article 15 of this Agreement. CONSULTANT
13
shall permit any of the foregoing parties to reproduce documents by any means whatsoever or
14
to copy excerpts and transcriptions as reasonably necessary.
15
ARTICLE 17.
CONFLICT OF INTEREST
16
CONSULTANT agrees to avoid organizational conflicts of interest. An organizational
17
conflict of interest means that due to other activities, relationships or contracts, the
18
CONSULTANT is unable, or potentially unable to render impartial assistance or advice to the
19
AUTHORITY; CONSULTANT’s objectivity in performing the work identified in the Scope of
20
Work is or might be otherwise impaired; or the CONSULTANT has an unfair competitive
21
advantage.
22
Conflict of Interest issues as soon as they are known to the CONSULTANT. All disclosures
23
must be submitted in writing to AUTHORITY pursuant to the Notice provision herein. This
24
disclosure requirement is for the entire term of this Agreement.
CONSULTANT is obligated to fully disclose to the AUTHORITY in writing
25
ARTICLE 18.
CODE OF CONDUCT
26
CONSULTANT agrees to comply with the AUTHORITY’s Code of Conduct as it 59
C-5-3244 Exhibit C
1
relates to Third-Party contracts which is hereby referenced and by this reference is
2
incorporated herein. CONSULTANT agrees to include these requirements in all of its
3
subcontracts.
4
ARTICLE 19.
FEDERAL, STATE AND LOCAL LAWS
5
CONSULTANT warrants that in the performance of this Agreement, it shall comply with
6
all applicable federal, state and local laws, statutes and ordinances and all lawful orders, rules
7
and regulations promulgated thereunder.
8
ARTICLE 20.
EQUAL EMPLOYMENT OPPORTUNITY
9
In connection with its performance under this Agreement, CONSULTANT shall not
10
discriminate against any employee or applicant for employment because of race, religion, color,
11
sex, age or national origin.
12
applicants are employed, and that employees are treated during their employment, without
13
regard to their race, religion, color, sex, age or national origin. Such actions shall include, but
14
not be limited to, the following: employment, upgrading, demotion or transfer; recruitment or
15
recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and
16
selection for training, including apprenticeship.
CONSULTANT shall take affirmative action to ensure that
17
ARTICLE 21.
PROHIBITED INTERESTS
18
CONSULTANT covenants that, for the term of this Agreement, no director, member,
19
officer or employee of AUTHORITY during his/her tenure in office or for one (1) year thereafter
20
shall have any interest, direct or indirect, in this Agreement or the proceeds thereof.
21
ARTICLE 22.
22
A. The originals of all letters, documents, reports and other products and data
23
produced under this Agreement shall be delivered to, and become the property of
24
AUTHORITY. Copies may be made for CONSULTANT's records but shall not be furnished
25
to others without written authorization from AUTHORITY.
26
deemed works made for hire and all rights in copyright therein shall be retained by
OWNERSHIP OF REPORTS AND DOCUMENTS
60
Such deliverables shall be
C-5-3244 Exhibit C
1
AUTHORITY.
2
B. All ideas, memoranda, specifications, plans, manufacturing, procedures, drawings,
3
descriptions, and all other written information submitted to CONSULTANT in connection with
4
the performance of this Agreement shall not, without prior written approval of AUTHORITY,
5
be used for any purposes other than the performance under this Agreement, nor be
6
disclosed to an entity not connected with the performance of the project. CONSULTANT
7
shall comply with AUTHORITY’s policies regarding such material.
8
CONSULTANT, which is otherwise known to CONSULTANT or is or becomes generally
9
known to the related industry shall be deemed confidential. CONSULTANT shall not use
10
AUTHORITY’s name, photographs of the project, or any other publicity pertaining to the
11
project in any professional publication, magazine, trade paper, newspaper, seminar or other
12
medium without the express written consent of AUTHORITY.
Nothing furnished to
13
C. No copies, sketches, computer graphics or graphs, including graphic artwork, are
14
to be released by CONSULTANT to any other person or agency except after prior written
15
approval by AUTHORITY, except as necessary for the performance of services under this
16
Agreement.
17
newspapers, magazines, etc., are to be handled only by AUTHORITY unless otherwise
18
agreed to by CONSULTANT and AUTHORITY.
All press releases, including graphic display information to be published in
19
ARTICLE 23.
PATENT AND COPYRIGHT INFRINGEMENT
20
A. In lieu of any other warranty by AUTHORITY or CONSULTANT against patent or
21
copyright infringement, statutory or otherwise, it is agreed that CONSULTANT shall defend at
22
its expense any claim or suit against AUTHORITY on account of any allegation that any item
23
furnished under this Agreement or the normal use or sale thereof arising out of the
24
performance of this Agreement, infringes upon any presently existing U. S. letters patent or
25
copyright and CONSULTANT shall pay all costs and damages finally awarded in any such
26
suit or claim, provided that CONSULTANT is promptly notified in writing of the suit or claim 61
C-5-3244 Exhibit C
1
and given authority, information and assistance at CONSULTANT's expense for the defense
2
of same. However, CONSULTANT will not indemnify AUTHORITY if the suit or claim results
3
from: (1) AUTHORITY's alteration of a deliverable, such that said deliverable in its altered
4
form infringes upon any presently existing U.S. letters patent or copyright; or (2) the use of a
5
deliverable in combination with other material not provided by CONSULTANT when such use
6
in combination infringes upon an existing U.S. letters patent or copyright.
7
B. CONSULTANT shall have sole control of the defense of any such claim or suit and
8
all negotiations for settlement thereof. CONSULTANT shall not be obligated to indemnify
9
AUTHORITY under any settlement made without CONSULTANT's consent or in the event
10
AUTHORITY fails to cooperate fully in the defense of any suit or claim, provided, however,
11
that said defense shall be at CONSULTANT's expense. If the use or sale of said item is
12
enjoined as a result of such suit or claim, CONSULTANT, at no expense to AUTHORITY,
13
shall obtain for AUTHORITY the right to use and sell said item, or shall substitute an
14
equivalent item acceptable to AUTHORITY and extend this patent and copyright indemnity
15
thereto.
16
ARTICLE 24.
17
A. All of CONSULTANT’s finished technical data, including but not limited to
18
illustrations, photographs, tapes, software, software design documents, including without
19
limitation source code, binary code, all media, technical documentation and user
20
documentation, photoprints and other graphic information required to be furnished under this
21
Agreement, shall be AUTHORITY’s property upon payment and shall be furnished with
22
unlimited rights and, as such, shall be free from proprietary restriction except as elsewhere
23
authorized in this Agreement. CONSULTANT further agrees that it shall have no interest or
24
claim to such finished, AUTHORITY-owned, technical data; furthermore, said data is subject
25
to the provisions of the Freedom of Information Act, 5 USC 552.
26
FINISHED AND PRELIMINARY DATA
B. It is expressly understood that any title to preliminary technical data is not passed 62
C-5-3244 Exhibit C
1
to AUTHORITY but is retained by CONSULTANT.
Preliminary data includes roughs,
2
visualizations, software design documents, layouts and comprehensives prepared by
3
CONSULTANT solely for the purpose of demonstrating an idea or message for
4
AUTHORITY’s acceptance before approval is given for preparation of finished artwork.
5
Preliminary data title and right thereto shall be made available to AUTHORITY if
6
CONSULTANT causes AUTHORITY to exercise Article 11, and a price shall be negotiated
7
for all preliminary data.
8
ARTICLE 25.
FORCE MAJEURE
9
Either party shall be excused from performing its obligations under this Agreement
10
during the time and to the extent that it is prevented from performing by an unforeseeable cause
11
beyond its control, including but not limited to: any incidence of fire, flood; acts of God;
12
commandeering of material, products, plants or facilities by the federal, state or local
13
government; national fuel shortage; or a material act or omission by the other party; when
14
satisfactory evidence of such cause is presented to the other party, and provided further that
15
such nonperformance is unforeseeable, beyond the control and is not due to the fault or
16
negligence of the party not performing.
17
ARTICLE 26.
18
CONSULTANT shall comply with all the requirements set forth in Exhibit _, Level 2
19
Safety Specifications.
20
/
21
/
22
/
23
/
24
/
25
/
26
/
HEALTH AND SAFETY REQUIREMENT
63
C-5-3244 Exhibit C
1
This Agreement shall be made effective upon execution by both parties.
2
IN WITNESS WHEREOF, the parties hereto have caused this Agreement No. C-5-3244
3
to be executed on the date first above written. ORANGE COUNTY TRANSPORTATION
4
CONSULTANT
AUTHORITY
By ____________________________
8
By _____________________________ Darrell Johnson Chief Executive Officer
9
APPROVED AS TO FORM:
5 6 7
10
12
By _____________________________ James M. Donich General Counsel
13
APPROVED:
11
14 15 16
By _____________________________ Beth McCormick General Manager, Transit
17 18 19 20
21 22 23 24 25 26
64
RFP 5-3244
EXHIBIT D: PARTY AND PARTICIPANT DISCLOSURE FORMS
65
RFP 5-3244 PARTY DISCLOSURE FORM Information Sheet ORANGE COUNTY TRANSPORTATION AUTHORITY AND AFFILIATED AGENCIES The attached Party Disclosure Form must be completed by applicants for, or persons who are the subject of, any proceeding involving a license, permit, or other entitlement for use pending before the Board of Directors of the OCTA or any of its affiliated agencies. (Please see next page for definitions of these terms.) IMPORTANT NOTICE Basic Provisions of Government Code Section 84308 A.
If you are an applicant for, or the subject of, any proceeding involving a license, permit, or other entitlement for use, you are prohibited from making a campaign contribution of more than $250 to any board member or his or her alternate. This prohibition begins on the date your application is filed or the proceeding is otherwise initiated, and the prohibition ends three months after a final decision is rendered by the Board of Directors. In addition, no board member or alternate may solicit or accept a campaign contribution of more than $250 from you during this period.
B.
These prohibitions also apply to your agents, and, if you are a closely held corporation, to your majority shareholder as well. These prohibitions also apply to your subcontractor(s), joint venturer(s), and partner(s) in this proceeding. Also included are parent companies and subsidiary companies directed and controlled by you, and political action committees directed and controlled by you.
C.
You must file the attached disclosure form and disclose whether you or your agent(s) have in the aggregate contributed more than $250 to any board member or his or her alternate during the 12-month period preceding the filing of the application or the initiation of the proceeding.
D.
If you or your agent have in the aggregate contributed more than $250 to any individual board member or his/or her alternate during the 12 months preceding the decision on the application or proceeding, that board member or alternate must disqualify himself or herself from the decision. However, disqualification is not required if the board member or alternate returns the campaign contribution within 30 days from the time the director knows, or should have known, about both the contribution and the fact that you are a party in the proceeding. The Party Disclosure Form should be completed and filed with your proposal, or with the first written document you file or submit after the proceeding commences. 66
RFP 5-3244 1.
A proceeding involving "a license, permit, or other entitlement for use" includes all business, professional, trade and land use licenses and permits, and all other entitlements for use, including all entitlements for land use, all contracts (other than competitively bid, labor or personal employment contracts), and all franchises.
2.
Your "agent" is someone who represents you in connection with a proceeding involving a license, permit or other entitlement for use. If an individual acting as an agent is also acting in his or her capacity as an employee or member of a law, architectural, engineering, consulting firm, or similar business entity, both the business entity and the individual are “agents.”
3.
To determine whether a campaign contribution of more than $250 has been made by you, campaign contributions made by you within the preceding 12 months must be aggregated with those made by your agent within the preceding 12 months or the period of the agency, whichever is shorter. Contributions made by your majority shareholder (if a closely held corporation), your subcontractor(s), your joint venturer(s), and your partner(s) in this proceeding must also be included as part of the aggregation. Campaign contributions made to different directors or their alternates are not aggregated.
4.
A list of the members and alternates of the Board of Directors is attached.
This notice summarizes the major requirements of Government Code Section 84308 of the Political Reform Act and 2 Cal. Adm. Code Sections 18438-18438.8.
67
RFP 5-3244 ORANGE COUNTY TRANSPORTATION AUTHORITY AND ITS AFFILIATED AGENCIES To be completed only if campaign contributions have been made in the preceding 12 months. Prime Firm’s Name: Party's Name: Party's Address:
________________________________________________ ________________________________________________ Street ________________________________________________ City ________________________________________________ State Zip Phone
Application or Proceeding Title and Number: ________________________________________________ Board Member(s) or Alternate(s) to whom you and/or your agent made campaign contributions and dates of contribution(s) in the preceding 12 months: Name of Member: _________________________________________________ Name of Contributor (if other than Party): ________________________________ Date(s): _________________________________________________________ Amount(s): _______________________________________________________
Name of Member: _________________________________________________ Name of Contributor (if other than Party): ________________________________ Date(s): _________________________________________________________ Amount(s): _______________________________________________________
Name of Member: _________________________________________________ Name of Contributor (if other than Party): ________________________________ Date(s): _________________________________________________________ Amount(s): _______________________________________________________
Date:
____________________
________________________________ Signature of Party and/or Agent
68
RFP 5-3244 ORANGE COUNTY TRANSPORTATION AUTHORITY AND AFFILIATED AGENCIES Board of Directors
Jeff Lalloway, Chairman Lori Donchak, Vice Chair Lisa Bartlett, Director Andrew Do, Director Michael Hennessey, Director Steve Jones, Director Jim Katapodis, Director Gary Miller, Director Al Murray, Director Shawn Nelson, Director Miguel Pulido, Director Tim Shaw, Director Todd Spitzer, Director Michelle Steel, Director Tom Tait, Director Frank Ury, Director Greg Winterbottom, Director
69
RFP 5-3244 PARTICIPANT DISCLOSURE FORM Information Sheet ORANGE COUNTY TRANSPORTATION AUTHORITY AND AFFILIATED AGENCIES The attached Participant Disclosure Form must be completed by participants in a proceeding involving a license, permit, or other entitlement for use. (Please see next page for definitions of these terms.) IMPORTANT NOTICE Basic Provisions of Government Code Section 84308 A.
If you are a participant in a proceeding involving a license, permit, or other entitlement for use, you are prohibited from making a campaign contribution of more than $250 to any board member or his or her alternate. This prohibition begins on the date you begin to actively support or oppose an application for license, permit, or other entitlement for use pending before the OCTA or any of its affiliated agencies, and continues until three months after a final decision is rendered on the application or proceeding by the Board of Directors. No board member or alternate may solicit or accept a campaign contribution of more than $250 from you and/or your agency during this period if the board member or alternate knows or has reason to know that you are a participant.
B.
The attached disclosure form must be filed if you or your agent has contributed more than $250 to any board member or alternate for the OCTA or any of its affiliated agencies during the 12-month period preceding the beginning of your active support or opposition. (The disclosure form will assist the board members in complying with the law.)
C.
If you or your agent have made a contribution of more than $250 to any board member or alternate during the 12 months preceding the decision in the proceeding, that board member or alternate must disqualify himself or herself from the decision. However, disqualification is not required if the member or alternate returns the campaign contribution within 30 days from the time the director knows, or should have known, about both the contribution and the fact that you are a participant in the proceeding.
70
RFP 5-3244
The Participant Disclosure Form should be completed and filed with the proposal submitted by a party, or should be completed and filed the first time that you lobby in person, testify in person before, or otherwise directly act to influence the vote of the board members of the OCTA or any of its affiliated agencies. 1.
An individual or entity is a "participant" in a proceeding involving an application for a license, permit or other entitlement for use if: a.
The individual or entity is not an actual party to the proceeding, but does have a significant financial interest in the Authority’s or one of its affiliated agencies' decision in the proceeding.
b.
The individual or entity, directly or through an agent, does any of the following: (2) Communicates directly, either in person or in writing, with a board member or alternate of the OCTA or any of its affiliated agencies for the purpose of influencing the member's vote on the proposal;
AND
(3)
Communicates with an employee of the OCTA or any of its affiliated agencies for the purpose of influencing a member's vote on the proposal; or
(4)
Testifies or makes an oral statement before the Board of Directors of the OCTA or any of its affiliated agencies.
2.
A proceeding involving "a license, permit, or other entitlement for use" includes all business, professional, trade and land use licenses and permits, and all other entitlements for use, including all entitlements for land use; all contracts (other than competitively bid, labor, or personal employment contracts) and all franchises.
3.
Your "agent" is someone who represents you in connection with a proceeding involving a license, permit, or other entitlement for use. If an agent acting as an employee or member of a law, architectural, engineering, or consulting firm, or a similar business entity or corporation, both the business entity or corporation and the individual are agents.
71
RFP 5-3244
4.
To determine whether a campaign contribution of more than $250 has been made by a participant or his or her agent, contributions made by the participant within the preceding 12 months shall be aggregated with those made by the agent within the preceding 12 months or the period of the agency, whichever is shorter. Campaign contributions made to different members or alternates are not aggregated.
5.
A list of the members and alternates of the Board of Directors is attached.
This notice summarizes the major requirements of Government Code Section 84308 and 2 Cal. Adm. Code Sections 18438-18438.8.
72
RFP 5-3244 ORANGE COUNTY TRANSPORTATION AUTHORITY AND ITS AFFILIATED AGENCIES To be completed only if campaign contributions have been made in the preceding 12 months. Prime’s Firm Name: Party's Name: Party's Address:
________________________________________________ ________________________________________________ Street ________________________________________________ City ________________________________________________ State Zip Phone
Application or Proceeding Title and Number: ________________________________________________ Board Member(s) or Alternate(s) to whom you and/or your agent made campaign contributions and dates of contribution(s) in the preceding 12 months: Name of Member: _________________________________________________ Name of Contributor (if other than Party): ________________________________ Date(s): _________________________________________________________ Amount(s): _______________________________________________________
Name of Member: _________________________________________________ Name of Contributor (if other than Party): ________________________________ Date(s): _________________________________________________________ Amount(s): _______________________________________________________
Name of Member: _________________________________________________ Name of Contributor (if other than Party): ________________________________ Date(s): _________________________________________________________ Amount(s): _______________________________________________________
Date:
____________________
________________________________ Signature of Party and/or Agent
73
RFP 5-3244
ORANGE COUNTY TRANSPORTATION AUTHORITY AND AFFILIATED AGENCIES Board of Directors
Jeff Lalloway, Chairman Lori Donchak, Vice Chair Lisa Bartlett, Director Andrew Do, Director Michael Hennessey, Director Steve Jones, Director Jim Katapodis, Director Gary Miller, Director Al Murray, Director Shawn Nelson, Director Miguel Pulido, Director Tim Shaw, Director Todd Spitzer, Director Michelle Steel, Director Tom Tait, Director Frank Ury, Director Greg Winterbottom, Director
74
RFP 5-3244
EXHIBIT E: STATUS OF PAST AND PRESENT CONTRACTS
75
RFP 5-3244 Exhibit E STATUS OF PAST AND PRESENT CONTRACTS FORM On the form provided below, Offeror shall list the status of past and present contracts where the firm has either provided services as a prime contractor or a subcontractor during the past five (5) years in which the contract has ended or will end in a termination, settlement or in legal action. A separate form must be completed for each contract. Offeror shall provide an accurate contact name and telephone number for each contract and indicate the term of the contract and the original contract value. If the contract was terminated, list the reason for termination. Offeror must also identify and state the status of any litigation, claims or settlement agreements related to any of the identified contracts. Each form must be signed by an officer of the Offeror confirming that the information provided is true and accurate. Project city/agency/other: Contact Name: Project Award Date:
Phone: Original Contract Value:
Term of Contract: 1) Status of contract:
2) Identify claims/litigation or settlements associated with the contract:
3) Reason for termination:
By signing this Form entitled “Status of Past and Present Contracts,” I am affirming that all of the information provided is true and accurate. ____________________________________ Name _______________________________ Title
76
_________________________ Date
RFP 5-3244
EXHIBIT F: SAFETY SPECIFICATIONS
Page 77
RFP 5-3244 Exhibit F LEVEL 2 HEALTH, SAFETY AND ENVIRONMENTAL SPECIFICATIONS GENERAL HEALTH, SAFETY & ENVIRONMENTAL REQUIREMENTS A. The Contractor, its subcontractors, suppliers, and employees have the obligation to comply with all Authority health, safety and environmental compliance department (HSEC), requirements of this safety specification, project site requirements, and bus yard safety rules as well as all federal, state, and local regulations pertaining to scope of work or agreements with the Authority. Additionally, manufacturer requirements are considered incorporated by reference as applicable to this scope of work. B. Observance of repeated unsafe acts or conditions, serious violation of safety standards, non-conformance of Authority health, safety and environmental compliance department (HSEC) requirements, or disregard for the intent of these safety specifications to protect people and property, by Contractor or its subcontractors may be reason for termination of scope or agreements with the Authority, at the sole discretion of the Authority. C. INJURY AND ILLNESS PREVENTION PLAN The Contractor shall submit to the Authority, a copy of their company Injury and Illness Prevention Plan (IIPP) in accordance with California Code of Regulations (CCR) Title 8, Section 3203. The intent and elements of the IIPP shall be implemented and enforced by the Contractor and its subcontractors, suppliers, and vendors. D. Contractor shall provide a copy of the Policy or Program of Company’s Substance Abuse Prevention Program that complies with the 1988 Drug Free Workplace Act. E. HAZARD COMMUNICATION PROGRAM 1. Contractor shall comply with CCR Title 8, Section 5194 Hazard Communication Standard. Prior to use on Authority property and/or project work areas Contractor shall provide the Authority Project Manager copies of MSDS for all applicable products used, if any. 2. All chemicals including paint, solvents, detergents and similar substances shall comply with South Coast Air Quality Management District (SCAQMD) rules 103, 1113, and 1171. F. DESIGNATED Health, Safety and Environmental (HSE) REPRESENTATIVE 1. Before beginning on-site activities, the Contractor shall designate an Onsite HSE Representative. This person shall be a Competent or Qualified Individual as defined by the Occupational, Safety, and Health Administration (OSHA), familiar with applicable CCR Title 8 Standards,
Page 78
RFP 5-3244 Exhibit F and has the authority to affect changes in work procedures that may have associated schedule and budget impacts. 2. The Contractor shall provide the Authority’s Project Manager a resume outlining the qualifications, or job experience of Contractor’s On-Site HSE Representative assigned to the project. The Contractor’s On-Site HSE Representative for all Authority projects is subject to acceptance by the Authority Project Manager and the HSEC Department Manager. All contact information of the On-Site HSE Representative (name, phone, and fax and pager/cell phone number) shall be provided to the Authority Project Manager. 3. The Contractor’s On-Site HSE Representative shall have, as a minimum, a 30 hour OSHA training certificate, and five (5) years of experience of HSE compliance on similar projects. The Authority reserves the right to allow for an exception of these minimum qualification requirements for unforeseen circumstances, at the sole discretion of the Authority Project Manager and the HSEC Department Manager. 4. A Competent or Qualified Individual means one who is capable of identifying existing and predictable hazards in the surroundings or working conditions which are unsanitary, hazardous, or dangerous to employees, and who has authorization to take prompt corrective measures to eliminate them. G. ORIENTATION 1. The Contractor shall conduct and document a project site safety orientation for all Contractor personnel, subcontractors, suppliers, vendors, and new employees assigned to the project prior to performing any work on Authority projects. The safety orientation at a minimum shall include, as applicable, Personal Protection Equipment (PPE) requirements, eye protection, ANSI class 2 reflective vests, designated smoking, eating, and parking areas, traffic speed limit and routing, cell phone policy, and barricade requirements. When required by scope, additional orientation shall include fall protection, energy isolation/lock-out/tag-out (LOTO), confined space, hot work permit, security requirements, and similar project safety requirements. 2. Copies of orientation documents shall be provided to the Authority Project Manager within 72 hours upon request. H. TRAFFIC & PARKING 1. The Contractor shall ensure that all Contractor vehicles, including those of its subcontractors, suppliers, vendors and employees are parked in designated parking areas, are identified by company name and/or logo, and comply with traffic routes, and posted traffic signs in areas other than the employee parking lots.
Page 79
RFP 5-3244 Exhibit F
I. GENERAL PROVISIONS 1. The Contractor shall provide all necessary tools, equipment, and related safety protective devices to execute the scope of work in compliance with Authority’s HSEC requirements, CCR Title 8 Standards, and recognized safe work practices. 2. The Contractor shall immediately notify the Authority’s Project Manager whenever local, state or federal regulatory agency personnel are identified as being onsite. 3. The Authority HSEC requirements, and references contained within this scope of work shall not be considered all-inclusive as to the hazards that might be encountered. Safe work practices shall be pre-planned and performed, and safe conditions shall be maintained during the course of this work scope. 4. The Contractor shall specifically acknowledge that it has primary responsibility to prevent and correct all health, safety and environmental hazards for which it and its employees, or its subcontractors (and their employees) are responsible. The Contractor shall further acknowledge their expertise in recognition and prevention of hazards in the operations for which they are responsible, that the Authority may not have such expertise, and is relying upon the Contractor for such expertise. The Authority retains the right to notify the Contractor of potential hazards and request the Contractor to evaluate and, as necessary, to eliminate those hazards. 5. The Contractor shall instruct all its employees, and all associated subcontractors under contract with the Contractor who work on Authority property in the recognition, identification, and avoidance of unsafe acts and/or conditions applicable to its work. 6. California Code of Regulations (CCR) Title 8 Standards are minimum requirements, and each Contractor is encouraged to exceed minimum requirements. When the Contractor safety requirements exceed statutory standards, the more stringent requirements shall be achieved for the safeguard of the public and workers. INCIDENT NOTIFICATION AND INVESTIGATION A. The Authority shall be promptly notified of any of the following types of incidents: 1. Damage to Authority property (or incidents involving third party property damage); 2. Reportable and/or Recordable injuries (as defined by the U. S. Occupational Safety and Health Administration);
Page 80
RFP 5-3244 Exhibit F 3. Incidents impacting the environment, i.e. spills or releases on Authority property. B. Notifications shall be made to Authority representatives, employees and/or agents. This includes incidents occurring to contractors, vendors, visitors, or members of the general public that arise from the performance of Authority contract work. An immediate verbal notice followed by a written incident investigation report shall be submitted to Authority’s Project Manager within 24 hours of the incident. C. A final written incident investigative report shall be submitted within seven (7) calendar days, and include the following information. The current status of anyone injured, photos of the incident area, detailed description of what happened, the contributing factors that lead to the incident occurrence, a copy of the company policy or procedure associated with the incident and evaluation of effectiveness, copy of the task planning documentation, and the corrective action initiated to prevent recurrence. This information shall be considered the minimum elements required for a comprehensive incident report acceptable to OCTA. PERSONAL PROTECTIVE EQUIPMENT Contractors, and all associated subcontractors, vendors and suppliers are required to provide their own personal protective equipment (PPE), including eye, head, foot, and hand protection, respirators, reflective safety vests, and all other PPE required to perform their work safely on Authority projects. LANGUAGE REQUIREMENTS The Contractor for safety reasons shall ensure employees that do not read, or understand English, shall have a bilingual supervisor or foreman when on the Authority property or projects. WARNING SIGNS AND DEVICES The Contractor shall provide signs, signals, and/or warning devices to be visible at all times when and where a hazard exists. Signs, signals, and/or warning devices shall be removed when the hazard no longer exists. REFERENCES A. B. C. D. E.
CCR Title 8 Standards (Cal/OSHA) FCR Including 1910 and 1926 Standards NFPA, NEC, ANSI, NIOSH Standards OCTA Construction Management Procedures Manual OCTA Yard Safety Rules
Page 81
