SFMTA ENTERPRISE ASSET MANAGEMENT SYSTEM PROFESSIONAL SERVICESmission.sfgov.org/OCA_BID_ATTACHMENTS/FA35229.pdf · SFMTA ENTERPRISE ASSET MANAGEMENT SYSTEM PROFESSIONAL SERVICES

San Francisco Municipal Transportation Agency Request for Proposals for

RFP No. SFMTA-2014-35

(CCO No. 14-1302)

SFMTA ENTERPRISE ASSET MANAGEMENT SYSTEM PROFESSIONAL SERVICES

Date Issued: June 13, 2014

Pre-proposal Conference: June 27, 2014 at 10:00 am PDT

Proposal Due: July 29, 2014 at 2:00 pm PDT

City and County of San Francisco SFMTA EAMS Professional Services

SFMTA-2014-35 i June 13, 2014

EAMS RFP Ver. 1

San Francisco Municipal Transportation Agency (SFMTA)

Request for Proposals for SFMTA Enterprise Asset Management System Professional Services

Table of Contents

Page

Glossary of Definitions, Terms and Abbreviations

I. Introduction and Schedule ............................................................................. 1

II. Scope of Work ............................................................................................... 5

III. Submission Requirements .............................................................................. 18

IV. Evaluation and Selection Criteria .................................................................. 23

V. Pre-proposal Conference and Contract Award .............................................. 27

VI. Terms and Conditions for Receipt of Proposals ............................................ 28

VII. City Contract Requirements ........................................................................... 36

VIII. Protest Procedures .......................................................................................... 38

Appendices:

Appen-

dix

Content Page

A. Standard Forms: Listing and Internet addresses of Forms related to

Taxpayer Identification Number and Certification, Business Tax

Declaration, and Chapters 12B and 12C, and 14B of the S.F.

Administrative Code

A-1

B. Sample Agreement for Professional Services (Form P-500) B-1

C. Attestation of Compliance on Communications Prior to Contract

Award

C-1

D. Certification Regarding Debarment, Suspension, and Other

Responsibility Matters

D-1

E. Certification Regarding Lobbying E-1

F. SFMTA Resource List F-1

G. Infor SaaS Technical Environment G-1

H. Agile Implementation Methodology H-1

I. SFMTA Potential Joint Staffing Chart I-1

J. In-scope List of Business Units as Proposed Engagements J-1

K. Sample Business Process Workflow K-1


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L. Transportation Asset Classification and Counts L-1

M. Interfaces to Other Software Systems M-1

Appendices FTA:

1 SFMTA Small Business Enterprise Program for Professional and

Technical Services

1-1

2 FTA Requirements for Personal Service Contracts 2-1

3 SFMTA Protest Procedures for the Bidding and Award of Federally

Assisted Third Party Contracts

3-1

4 Certification Regarding Debarment, Suspension and Other

Responsibility Matters

4-1


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Glossary of Definitions, Terms, and Abbreviations

For the purposes of this RFP and any Contract awarded through this RFP, the terms and their

respective definitions listed below shall have the meanings stated, whether or not the defined

term is capitalized in the RFP or the Contract, unless that would render the term nonsensical in

the context in which it is used.

ADPICS (Advanced Purchasing and Inventory Control System) refers to the module of FAMIS

which handles purchasing transactions.

ATCS refers to Advanced Train Control System, used at the SFMTA for control of the LRV

fleet within the subway.

AGENCY means the SFMTA.

AGILE METHODOLOGY is one that follows the values and principles found in the “Agile

Manifesto”, developed in February of 2001 by the Agile Alliance.

Ref: http://agilemanifesto.org AND http://www.agilealliance.org//

ASSET means: plant, machinery, property, building, vehicles and other items that have a distinct

value to the organization (PAS 55). NOTE: This definition includes both tangible assets and

software code that is critical to the delivery of the function of the tangible assets.

ASSET OWNER is the person or group responsible for maintaining an asset

ASSET MANAGEMENT refers to the systematic and coordinated activities and practices

through which an organization optimally and sustainably manages its assets and asset systems,

their associated performance, risks and expenditures over their life cycles for the purpose of

achieving its organizational strategic plan (PAS 55).

AWARD means authorization by resolution of the SFMTA Board of Directors for its staff to

execute a contract with the selected Proposer, pursuant to this RFP.

BUSINESS PROCESS is defined as a sequence of interrelated tasks or actions, each associated

with a specific responsibility center, including interleaving decision points and constraints (such

as time constraints), required to accomplish a specific result.

BUSINESS UNIT refers to an organizational subset of the SFMTA which is responsible to

perform and report on a specific business function, or set of functions, which has a specific place

on the SFMTA organization chart, and the work of which is directed by a single manager. Each

end-user of the EAMS works for and reports to exactly one Business Unit.

CITY means the City and County of San Francisco.

CCSF refers to the City and County of San Francisco.

http://www.agilealliance.org/


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CCO is the Contract Compliance Office of the SFMTA that administers compliance with federal

regulations governing the Disadvantaged Business Enterprises/Equal Employment and Non-

Discrimination Programs, in addition to the Small Business Enterprise Program, and the City’s

Human Right Commission’s Local Business Enterprise/Non-Discrimination Program. The

Contract Compliance reference number for this RFP is CCO No. 14-1302.

CLOUD refers to network-based services, which appear to be provided by real server hardware,

and are in fact served up by virtual hardware, which may be remote to the user. Vendor services

"in the cloud" refer to software, platforms and infrastructure that are sold as a service, i.e.,

remotely through the Internet.

CMD refers to the Contract Monitoring Division of the SFMTA.

CPCS refers to the SFMTA’s Capital Program Controls System: An integrated business platform

to manage budgets, resources, finances, schedules, construction contracts, and electronic

documents at a Project and program level. CPCS integrates with the City’s legacy systems, such

as FAMIS and eMerge.

DBE means Disadvantaged Business Enterprise: a for-profit small business concern that is at

least 51 percent owned by one or more individuals who are both socially and economically

disadvantaged. Businesses certified as DBEs are in compliance with the United Stated

Department of Transportation’s DBE program under 49 CFR, Part 26, administered by the

California Unified Certification Program. Ref: http://www.dot.ca.gov/hq/bep/find_certified.htm

DPW is San Francisco’s Department of Public Works.

DT is the City’s Department of Technology providing support services and IT solutions to other

City departments, including the SFMTA. DT was formerly known as DTIS.

DUAL MODE means the simultaneous operation of two separate systems to perform equivalent

tasks. In the context of the SFMTA’s EAMS implementation, dual mode refers to continued

operation of the old asset management systems and methodologies while the data and processes

are being migrated into the EAMS.

EAMS means Enterprise Asset Management System, which is the web-based EAM enterprise

asset management system owned and maintained by Infor. The SFMTA licenses use of the

EAMS system through a SaaS agreement.

eMERGE refers to the SFMTA’s new HR/Payroll/Time Entry System

ENGAGEMENT means an effort to bring one unit of Asset Owners or Other Enterprise Clients

into the new EAMS; this effort includes: business process analysis, configuration of EAMS

software forms and protocols, asset data validation and migration, any required documentation

and system reconfiguration, and end-user training.

ESB refers to the Enterprise Service Bus: a single enterprise service bus, or integration server, to

connect selected enterprise software systems within the Agency. The ESB will communicate via

http://www.dot.ca.gov/hq/bep/find_certified.htm


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web services and perform the data transformations necessary to supply each system with

correctly structured and accurate data. The ESB will be built out in conjunction with the EAMS

deployment.

FAACS refers to the Fixed Asset Accounting and Control System, which is a module of FAMIS

to manage the status of fixed assets.

FAMIS means Financial Accounting Management Information System which refers to the City

Controller’s mainframe general ledger accounting system. It is written in COBOL. The

Consultant firm of KPMG introduced and has supported FAMIS since 1994.

FAMIS ACCOUNTING refers to all purchases of goods and services, maintenance and service

agreements, professional service contracts, and construction contracts (except liens and

retentions) are processed through FAMIS Purchasing. FAMIS Purchasing information

automatically interfaces to the FAMIS Accounting System.

FIT is the Finance and Information Technology division within the SFMTA.

FTA is the Federal Transit Administration, an operating administration of the U.S. Department

of Transportation.

FTE means Full-Time Employee.

ICD means Interface Control Documentation: The ICD specifies interface requirements to be

met by the participating systems. It describes the concept of operations for the interface, defines

the message structure and protocols which govern the interchange of data, documents details of

participating data points with associated specifications, constraints and ranges, and identifies the

communication paths along which the data is expected to flow.

INFOR is the IT software company supplying the SFMTA with the EAMS technology under a

SaaS agreement. Refer to Appendix G for specifications of the Infor SaaS technical

environment.

INREACH refers to pro-active internal communications within an organization with the purpose

of raising awareness of a specific Project or undertaking within the organization.

IT refers to Information Technology.

HOST BRIDGE is a 3rd party vendor hired by the City Controller’s Office to provide web

services which interface to the Controller’s mainframe applications, including FAMIS.

LBE means Local Business Enterprise: a for-profit business whose primary place of business is a

fixed office in San Francisco, at which location the business conducts, on a regular basis for at

least six months prior to certification, all of the services for which LBE certification is sought,

other than work required to be performed at a job site.

Ref: http://sfgsa.org/index.aspx?page=5364#Section%20I


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LIFE CYCLE is the time interval that commences with the identification of the need for an asset

and terminates with the decommissioning of the asset or any associated liabilities. NOTE: the

principal stages of an asset’s life cycle can include: create/acquire, utilize, maintain and

renew/dispose. (PAS 55)

LRV means Light Rail Vehicle.

MP2 refers to a computerized asset management system owned by Infor as a legacy product.

Some SFMTA asset tracking is currently done using MP2.

MTC is the Metropolitan Transportation Commission: the transportation planning, coordinating

and financing Agency for the nine-county San Francisco Bay Area. The MTC functions as both

the regional transportation planning Agency — a state designation — and, for federal purposes,

as the region's metropolitan planning organization (MPO). Over the years, the MTC's scope has

evolved into three agencies in one, functioning as MTC, the Bay Area Toll Authority (BATA),

and the Service Authority for Freeways and Expressways (SAFE).

MUNI is the San Francisco Municipal Railway, which is the Transit division of the SFMTA

which provides public transit services within San Francisco.

OJT is On-the-Job Training: Training at the job site, by actually doing the job with someone who

knows the job; that is, learning by doing.

OTHER ENTERPRISE CLIENT refers to persons or groups involved in the lifecycle of an asset

but who are not Asset Owners.

PART refers to an interchangeable component that will fit into any asset of the same type, and is

used for the repair, replacement or servicing of failed or worn assets. Parts are tracked in an

inventory which is managed in the materials management system integral to the EAMS.

PAS 55 is a Publicly Available Specification on Asset Management (by the British Standards

Institution or BSI). PAS 55-1:2008 and PAS 55-2:2008 constitute Parts 1 and 2 respectively of

the PAS 55 standard.

PROJECT is the SFMTA’s EAMS implementation project as described in this RFP.

PROJECT MANAGER of the SFMTA’s designated manager of the EAMS Project.

PROPOSER is a firm or a joint venture of firms that submits a Proposal in response to this RFP.

PST is Pacific Standard Time.

REVENUE VEHICLE is a vehicle available to the fare-paying general public for conveyance

from a pre-determined point-of-origin to destination, which may include boarding and off-

loading stops along the route. Fare-paying passengers may directly pay fares, may be subsidized

by public policy, or may provide payment through some contractual agreement.


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RFP is a Request For Proposals.

SaaS is Software as a Service and refers to a software delivery model in which software and

associated data are centrally hosted in the Cloud. The end-user’s IT support burden is reduced by

outsourcing hardware and software maintenance and support to the SaaS provider.

SBE means Small Business Enterprise: a for-profit, small business concern, independently

owned and operated, with its principal office located in California, with a three (3) year average

gross revenue not exceeding Fourteen Million Dollars ($14,000,000). An SBE firm is certified

under the California Department of General Services’ Small Business Program administered by

the Office of Small Business and Disabled Veteran Business Enterprise Services

Ref: http://www.dgs.ca.gov/pd/Programs/OSDS.aspx

SCADA means Supervisory Control and Data Acquisition, and refers to a type of automated

process control system.

SCRUM refers to a process framework for managing work teams. Scrum consists of Scrum

Teams and their associated roles, events, artifacts, and rules.

Ref: https://www.scrum.org/Portals/0/Documents/Scrum%20Guides/Scrum_Guide.pdf

SFCTA is the San Francisco County Transportation Authority, also known as the TA. The

SFCTA administers and oversees the delivery of Proposition K (Prop K) half-cent local

transportation sales tax program and New Expenditure Plan, which was passed by San Francisco

voters in November 2003.

SHOPS means Shop History and Online Part System, and is an Agency-specific acronym to

identify the Spear system as utilized at the SFMTA since 2002. Some SFMTA asset tracking is

currently done using SHOPS.

SFMTA is the San Francisco Municipal Transportation Agency.

SGR or SOGR means State of Good Repair: An asset or system is in a state of good repair when

no backlog of capital needs exists – hence all asset life cycle investment needs (e.g., preventive

maintenance, rehab, replacement) have been addressed and no capital asset exceeds its useful

life. (FTA working definition 2008)

SPEAR 4i is a computerized maintenance management system developed by Spear

Technologies. The program is owned by Infor as a legacy product, from the acquisition of

Hansen Information Technologies.

SusSt is the abbreviated title for the SFMTA’s Sustainable Streets division, formerly known as

the Department of Parking and Traffic.

TA is a shortened “nickname” for the SFCTA.

TAM refers to Transit Asset Management: The Agency program to develop and sustain

strategies for integration of planning, programming, maintenance and replacement of assets into

http://www.dgs.ca.gov/pd/Programs/OSDS.aspx

https://www.scrum.org/Portals/0/Documents/Scrum%20Guides/Scrum_Guide.pdf


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one comprehensive process that optimizes the long term performance of the SFMTA’s multi-

modal transportation system, in compliance with FTA and regional guidelines. The EAMS is an

Agency Project in support of the SFMTA’s TAM initiatives.

TEAM is the integrated EAMS Project implementation group comprised of Consultant and

SFMTA staff.

TRAPEZE refers to the SFMTA’s transit-scheduling software application.

VMI is Vendor Managed Inventory: Instead of procuring parts and supplies via individual

purchase orders, customers electronically send to the supplier daily demand information on an

agreed-upon range of inventory items. The supplier generates replenishment orders for the

customer based on this demand information. The process is guided by mutually agreed upon

objectives for the customer's inventory levels, fill rates, and transaction costs. The SFMTA has a

contract with Alstom Transportation, Inc. to provide pilot VMI services for rail parts and

supplies for at least two years (through July 2015) using Alstom’s RAILSYS software platform.

WORK DAY is one day of a five-day work week, normally Monday through Friday unless

explicitly redefined for individuals working in a specific Business Unit, exclusive of SFMTA

holidays.


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I. Introduction and Schedule

A. General

The San Francisco Municipal Transportation Agency (SFMTA) is the City of San Francisco’s

mobility manager for the City’s transportation network, which encompasses management of

services for pedestrians, bicycling, traffic and parking, operation of the public transit system, and

regulation of the taxi industry. Within the SFMTA, two divisions provide: 1) public

transportation services (Muni); and 2) parking and traffic engineering (Sustainable Streets). The

SFMTA is the seventh largest public transit Agency in the United States, providing transit

services to over 200 million riders annually, with an annual operating budget of over $800

million.

It is highly recommended that a Proposer consult the resources listed in Appendix F to

familiarize itself with the SFMTA.

1. Requests for Proposal (RFP) Background

As a public service Agency, the SFMTA faces challenges in maintaining its assets in a state of

good repair. Funding is at a premium, and aging assets increase the need for maintenance. Added

to those challenges are the increased regulatory requirements, which include asset maintenance

reporting, in compliance with regional and federal requirements. The increase in the size of the

Agency and the significant increase in the number of its assets has placed a strain on existing

data systems’ ability to effectively manage SFMTA assets. The existing systems are not

integrated, which creates inconsistencies in asset data and makes it difficult to create accurate

and up-to-date reports. Identification and knowledge of assets and their condition are vital to

assessing operational capacity. Without such knowledge, safe, effective and efficient operations

are compromised.

SFMTA Assets Key Facts:

$13.3 billion = replacement value of all SFMTA assets

$10.9 billion = investment needs through 2033, including backlog

$2.5 billion = current estimate of deferred investment (backlog)

$330 million = average annual renewal funding identified in SFMTA’s 5-year Capital

Improvement Program

The Agency intends to establish a single enterprise asset management system, integrated

Agency-wide, providing full visibility of the current and historical state of all currently active

SFMTA assets, with historical asset data captured going forward.

Specifically, the SFMTA has seven principal goals for the Project:

1. Establish EAMS: To establish a single Enterprise Asset Management System, integrated

Agency-wide, providing full visibility of the current and historical state of all active

SFMTA assets.

2. Support the Renewal and Replacement Programs: To support a state of good repair by

establishing and sustaining complete and accurate data on SFMTA assets, tracking labor

and materials, including procurement and disposal, over the life-cycle of an asset, with

long-term data integrity.


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3. Enable Accurate Data Tracking: To enable accurate financial forecasting and planning

based upon a complete, historically accurate and up-to-date asset data repository.

4. Standardize Asset Management Practice: To facilitate standardization of SFMTA asset

management business practices.

5. Comply with Requirements: To comply with federal and regional asset management

requirements.

6. Improve Work Environment: To improve work practices and the work environment, enable

internal culture change, and break down work silos

7. Sustain the EAM System long-term: To implement an EAM program with a life-cycle of at

least 25 years

2. Regulatory Context

The decaying condition of national transit assets and backlog of replacement needs has led to a

national effort to utilize asset management practice to improve the condition and performance of

transportation assets. MAP-21 (2012), the federal transportation funding legislation, set a

national asset management policy and associated requirements for all transit properties.

As part of the policy, the U.S. Secretary of Transportation is required to:

Define “state of good repair (SGR)”;

Establish objective standards for measuring condition of capital assets; and

Establish performance measures based on state of good repair.

At the same time, the policy establishes that all recipients of federal transit funding will be

required to:

Develop a transit asset management plan;

Develop an asset management system to develop capital asset inventories and condition

assessments;

Report on the condition of their system; and

Describe the change in condition since the last report.

In addition, MAP-21 sets forth performance and safety management requirements. Specifically,

the Federal Transit Administration (FTA) is required to establish SGR performance measures,

based on the definition of state of good repair, and FTA grant recipients are required to establish

annual SGR performance targets in relation to those measures and report performance on an

annual basis. Similarly the FTA is required to set safety performance targets and consider safety

in conjunction with transit asset management. While these requirements are still in the process of

being finalized by the FTA, the SFMTA anticipates these requirements to be set prior to the

completion of the EAM implementation Project, most likely by the end of 2014.

As an FTA grant recipient, the SFMTA will be mandated to meet these federal requirements. In

addition to fulfilling regulatory obligations, the SFMTA intends to use asset management to

improve the performance of the transportation system (including non-transit assets), facilitate

Project coordination with other San Francisco City and County asset owners, and improve


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business process and decision-making by providing reliable asset information and analysis to

staff and stakeholders.

To meet local and federal requirements and utilize asset management for these key improvement

areas, the SFMTA must collect and organize information about assets in a manner that is

meaningful, flexible and expandable. The enterprise asset management system would be the

primary tool for collecting, storing and analyzing information about assets. The categories of

data that would be needed to meet requirements and improve asset management include: asset

identification and location (including asset classification and relationship to parent and related

assets), asset characteristics (i.e. manufacturer, length, criticality, etc.) , asset value, composition

(elements that make up an asset), maintenance activities, condition, performance (i.e. usage,

failure rate etc.), risk (i.e. probability of asset failure), and lifecycle activities and optimization

(i.e. treatment frequencies, rehabilitation, asset life, replacement cost etc.).

3. Requests for Proposal (RFP) Purpose

The purpose of this RFP is to seek technical and professional services to assist the SFMTA in

implementation of:

Infor11 EAM Asset Sustainability Edition + optional modules

Software procurement and licensing have been handled separately and are outside the scope of

this RFP. Consult Appendix G for details on the Infor product specifications.

The SFMTA seeks to build an integrated Project Team jointly staffed by SFMTA and Proposer’s

staff. One possible joint staff organization is shown in Appendix I. An approach has also been

envisioned by SFMTA (outlined in Section II). The Proposer is asked to propose how they would

work within that approach, and may additionally propose an alternate approach. It is the intention

of the SFMTA that at the conclusion of the implementation Project, the SFMTA Team will be

fully capable of running the systems and will remain to maintain and assist the Agency in using

the EAMS, its data and associated business practices.

The selected Consultant will provide the SFMTA the following services :

Knowledge-based assistance in implementing an Agency-wide Enterprise Asset

Management System (EAMS) at the SFMTA;

Software configuration and implementation expertise specific to the Infor EAMS product;

Technical assistance in validation of existing asset data, and data migration to the EAMS;

Technical services to develop software interfaces to companion SFMTA-enterprise

applications;

Assistance in analysis and documentation of SFMTA’s various business processes;

Professional services in development and maintenance of the EAMS Project Plan and

Schedule (including Risk Assessment, Project Staff Deployment Plan, Project

Outreach/Agency Inreach activities, and Training Plans), as well as a long-term

sustainability plan for the EAMS and associated business practices;

SFMTA staff training (both end-users and EAMS Project Team members);

Proposer’s local staff committed to the SFMTA Project, with minimized travel on the part

of the Proposer.

The Contract will have an original term of two (2) years. In addition, the SFMTA will have the

option to extend the term for a period of one (1) year.


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4. Contract Award Package

The Proposer may assume that the SFMTA will award a contract for all the work described in

this RFP. The awarded contract will have two separate tasks, with Task 1 services to be

negotiated on an annualized work plan/as-needed task order basis. The base contract for Task 1

will be for a two-year period, with an option for a third year. Task 2 services will be negotiated

as optional fixed fee (lump sum) deliverables, to be executed within the timeframe of Task 1

services.

The SFMTA will award the Contract to the Proposer whose Proposal best:

Demonstrates the experience and ability to carry out the tasks described in the Scope of

Work (Section II of this RFP);

Demonstrates an understanding of the operational issues and regulatory environment of the

SFMTA specifically relating to State of Good Repair and Asset Management;

Proposes delivery of services in a manner that meets the requirements of the Scope of

Work in the most efficient and end-user focused manner;

Proposes a Project Team with the best blend of expertise specific to achieve the Scope of

Work;

Demonstrates the willingness to establish local staff committed to the SFMTA work;

Meets the minimum qualifications detailed in Section IV.A of this RFP.

B. Schedule

The anticipated schedule for selecting a Consultant is:

Phase Date

RFP is issued by the City: June 13, 2014

Pre-proposal conference: June 27, 2014 at 10:00 am PDT

Deadline for submission of written questions or requests

for clarification:

July 11 2014 at 5:00 pm PDT

Proposals due: July 29, 2014 at 2:00 pm PDT

Phase Tentative Date

Oral interview of short listed firms *: August 27, 2014

Contract Negotiations: September 25, 2014

SFMTA Board meeting approval: October 7, 2014

Contract Starts: November 1, 2014


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* The SFMTA reserves the right not to conduct oral interview and select a firm based

on the written proposal only.

II. Scope of Work

The Scope of Work is to be used as a general guide and is not intended to be a complete list of all

work to be assigned to the selected Consultant or that is necessary to complete the Project.

All work products, including software source code, scripts, flowcharts, reports, data,

spreadsheets, memoranda, graphics, presentations, plans, analyses and any other work product

produced under the awarded Contract shall be the property of the SFMTA.

Task 1 Services

A. Project Scope and Approach

The seven principle goals for this Project are outlined in Section I of this Request for

Proposals. The following Project scope and approach were developed in alignment with

those goals.

Each Proposer must describe in its Proposal how it would plan and execute the scope and

approach described. A Proposer may present or suggest alternative approaches to that

described herein. Proposers must include a Statement of Work (SOW) for their proposed

approach. Statements of Work should include proposed tasks, deliverables, timeframes, a

staffing model and detailed cost structure. If the proposed approach differs from the

SFMTA’s approach, the SOW should identify and justify those differences.

The scope of the EAMS Project is to implement the Infor Enterprise Asset Management

product (reference Appendix G) for SFMTA. This will include replacement of existing

disparate systems and processes used throughout the Agency. Primary functionality

includes Asset Management, Work Order Management and Materials Management, plus

interfaces from EAMS to existing CCSF systems as identified in Appendix M.

The scope of implementation encompasses approximately 48 Business Units within the

Agency (see Appendix J). The selected Consultant will work with the SFMTA to validate

the inventory of Business Units included in the scope. The approach for the EAMS Project

is to deliver and implement EAMS in the following 3 phases:

# Business Estimated

Phase SFMTA Divisions in Scope Units Timeframe

One Finance and Technology Services

Purchasing and Materials Mgmt

Finance and Real Estate

Accounts Receivable

Transit

Maintenance of Way (MOW)

4

2

1

10

11/2014-4/2016


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Two Sustainable Streets

Field Operations

Livable Streets

Parking

Planning

Transportation Engineering

3

2

1

1

5

4/2016-11/2016

Three Transit

Bus Maintenance

Rail Vehicle Maintenance

Trolley Maintenance

Fleet Appearance

Non-revenue

Transit Vehicles

Integration of New Assets from the

Central Subway Project

FIT – Information Technology

4

5

2

4

1

1

1

11/2016-11/2017

The approach envisioned is to deliver an initial implementation of EAMS to each Business Unit

during an Engagement. A follow-up strategy to support completed engagements must be

developed by the Consultant for SFMTA approval. An Engagement Team would be assigned to

each business Engagement, with support from other Project Team members working in a back-

office environment. Working with each Business Unit, the Engagement Team will scope the

implementation effort for that Engagement’s Business Unit and identify applicable Infor

functionality, depending upon requirements which would be established during initial contact

with each Business Unit.

While requirements are specific to each Business Unit, care must be taken to develop and

maintain an Agency-wide consistency in the business practice, data hierarchies, and State of

Good Repair (SOGR) assessment criteria of the entire EAMS. Requirements would be

established within the framework of an overall unified system for all Business Units, breaking

down silos by establishing Agency-wide consistent processes to the extent practicable. Similarly,

SOGR assessment criteria must be established per Business Unit in a manner which is consistent

with overall Agency SOGR metrics.

The scope of an Engagement is assumed to include deployment of EAMS at an operable level.

Engagements for each Business Unit have been estimated at an average of six weeks duration

(durations would vary). In the Discovery phase of each Engagement the scope of the


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Engagement will be negotiated with the Business Unit to determine what is doable within a

reasonable timeframe.

Each Engagement would be considered a sub-Project and be managed accordingly with its own

scope and schedule. Phase One work would begin with one Engagement each in the Business

Units for Purchasing and Maintenance of Way (MOW) as Proof of Concepts (POC).

SFMTA Project staff availability for the EAMS Project is expected to be constrained during the

first year of the contract to fewer than 10 FTE. Additional SFMTA staff will be added during

the year. It is a requirement that the Project Team structure for EAMS be integrated to the extent

possible with a mix of SFMTA employees and contractor staff. A sample staffing structure is

included in Appendix I. The proposer may also propose its own staffing structure, based on its

implementation recommendations.

Initially, it is envisioned that Consultant staff shall provide leadership regarding technical asset

management matters, and SFMTA staff shall provide Agency operating knowledge. During the

Project the Consultant will fully train SFMTA staff to ensure that at the end of the Project

SFMTA staff shall be fully capable of performing all asset management related functions.

The EAMS Project Team anticipates adopting an appropriate methodology to implement the

Infor EAMS software and associated business practices. An Agile methodology (see Appendix

H) has been envisioned which would involve developing iterations of work products in

collaboration with Business Units until Project staff determines adequate success criteria are met.

Proposers are encouraged to integrate details of their own preferred methodology into their

proposals. Some of the goals of a methodology are to; leverage knowledge gained through the

Engagement process to promote consistent business practices across the Agency, streamline and

optimize processes within the EAMS, and provide ease-of-use for the users. A component of the

methodology would be to develop a business-process-capture protocol, including business-

process documentation standards.

During the EAMS Project, some SFMTA Business Units will have transferred to EAMS while

others remain operational on current-state systems. Some, such as the Purchasing group, will

have to migrate incrementally from SHOPS to EAMS. Referring to this period as “dual mode”, a

process will need to be developed to keep all systems operational with data synchronization (e.g.,

EAMS, SHOPs and MP2). At the end of the Project the redundant legacy systems will be

decommissioned.

1. Business Unit Engagement

SFMTA has developed a hypothetical approach to Business Unit Engagement for delivery

of the EAMS package. The concept is that the business Engagement Team would be

located at the Business Unit for the duration of an Engagement (estimated at six weeks

average duration). The selected Consultant must be sensitive to working at the convenience

of Business Unit personnel who will continue in their current job functions and may not

always be available to confer with the Consultant. The Agency will provide all reasonable

access to the Business Units within the constraints of working in an operating environment.

The following steps and potential deliverables are envisioned. Deliverables should be


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streamlined and optimized as much as possible to meet the estimated timeframe. Standard

deliverable templates would be developed and designed for re-use in subsequent

engagements. The focus of work should be on user Engagement rather than producing

volumes of documentation.

a. Discovery

In discovery, the Team would engage the Business Unit and gather information and

samples of artifacts (e.g., work orders, spreadsheets and other work documents). The

team would identify key users and roles, evaluate business processes through

interviews and observation, become familiar with the unit’s responsibilities, business

processes and procedures, the assets the unit maintains, document interface

requirements. The Team would identify inventory data, asset and parts data, and

determine the need, if any, to further validate the data and/or to conduct inventory

activities. The Team would work with the unit to identify and prioritize requirements

and data to be migrated, assess suitability for EAMS of the Business Unit’s existing

IT infrastructure, assess business readiness, and identify reporting and metrics needs.

Tasks would be identified for completion during the remainder of the Engagement

and incorporated into the Project plan and schedule per Engagement.

Potential Deliverables:

o Collection of Business Unit artifacts (documentation, reports, forms, etc)

o List of key EAMS users and roles

o Asset delineations and inventory with hierarchy and attributes

o Asset condition assessment (SOGR)

o Parts Catalog (parts inventory with hierarchy and attributes)

o Business process maps

o Prioritized requirements (including functionality, reports, interfaces,

metrics, etc.)

o Interview reports/logs

o Business Unit readiness assessment

o Assessment of mobile computing potential

o Work environment improvement opportunities

o Method to validate data and identify missing data

o Scope of work for the Engagement

o Schedule for remainder of the Engagement

o User sign-off for Engagement scope and schedule

b. Prototyping

During an Engagement prioritized EAMS requirements would be prototyped

incrementally for the Business Unit. After the “Proof of Concept” Engagements, the

SFMTA expects to have developed a template of EAMS requirements with which to

start the prototyping process. EAMS functions would be demonstrated to key

business users. The Team would perform fit-gap analysis, data mapping, and a series

of tasks to determine how to configure and use EAMS within the Business Unit.

Configuration would optimally be minimal, and focus on presentation of user

interfaces. Configuration of the EAMS package would involve the in-scope business


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processes. For example, it could involve configuring screens to allow users to record

labor, materials , parts and tools used in work orders related to a specific asset, or to

produce specific reports. The Team would refine the inventory and asset hierarchy

data, including asset SOGR assessment criteria.


o Fit-gap analysis matrix and data mapping with workarounds for gaps

o List of confirmed in-scope business processes, assets, and parts, etc.

o Determination of any user-defined data fields which may be needed.

(Custom code will be implemented only as a last resort and if deemed

absolutely necessary)

o Modified business process maps

o Identified data fields to support SOGR metrics and reporting requirements

o Confirmed asset hierarchy data, including asset SOGR assessment data

o Operational reporting, pre-configured “standard” reports, to support the

targeted business processes of the specific work unit

o Initial test plans and scripts

o Iteration toward a production configuration, with at least one initial “Beta”

version, allowing for user feedback and configuration refinements until an

implementation has been accepted by the end-users’ designated

representative

o Confirmed Engagement schedule and user acceptance statement

c. Data Migration and Interface Development

Data migration methods would be developed and executed to import data into EAMS

for each Business Unit. This would include determining the scope of data to migrate,

and validation of the data. For example, some Business Units may have highly

accurate data, while others may be in need of a robust validation effort. Some existing

systems may be populated with stale data that does not require migration. One

objective of the Engagement is to migrate only useful data. Residual data elements

can be migrated as needed at a later point. Interfaces would be developed, or modified

to meet the requirements of the Business Unit. For more detail on the enterprise

environment for EAMS and anticipated interfaces, refer to Appendix M


o Existing data assessment, with validation and migration approach

o Configured data via conversion, extraction, standardization, and cleansing,

as well as bulk data uploads or updates using standard or custom upload

utilities

o Developed and tested system interfaces

o Develop critical a determination of the initial data sets and level of detail

necessary for initial operation of the EAMS;

o Data Management Procedures for subsequent addition/deletion or

alteration of asset and part data;


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d. Implementation

EAMS would be implemented for production use within the Business Unit.

Potential Deliverables :

o Trained end-users and support for an initial software launch for the unit

o Final user acceptance testing

o Purchasing cutover support per Business Unit as required (from SHOPS to

EAMS)

o Engagement-specific documentation and user guides

o Go live with EAMS operability for work unit

B. Success Criteria

The SFMTA anticipates that EAMS implementation will be a iterative process, which is

an evolutionary methodology allowing system developers/implementers to take

advantage of what is learned during development and use of earlier parts or versions of

the system as feedback into subsequent system versions. Key requirements are

implemented in an initial implementation. With each system revision, user experience

and system performance is evaluated and fed back into the system as design

modifications, bug fixes, and/or new functional capabilities, continually evolving,

expanding and improving upon the implementation.

Criteria for a successful Engagement are proposed as follows:

1) The essential assets and associated parts data for the Engagement are validated and

loaded into the EAMS. During the Discovery phase essential assets will be identified

and confirmed jointly by the EAMS Team and the management for the subject

Business Unit.

2) Assets are created in the EAMS system to the extent that work orders can be created

at a level consistent with or better than the current state for the subject Business Unit.

3) The detailed schedule for each Engagement will be confirmed in the Discovery phase

of the Engagement by the SFMTA’s Project Manager with Business Unit and Team

input. The Engagement will be considered successful when the schedule is met

within plus twenty percent (+20%) of scheduled workday duration.

4) Requirements for each Engagement have been identified, prioritized and documented,

with those requirements essential to the Engagement’s implementation identified.

5) Requirements essential to each Engagement are implemented.

6) Discovery documentation is completed and findings are approved in a meeting with

the Business Unit’s key stakeholder.

7) EAMS System configuration design is accepted by with the Business Unit’s key

stakeholder, and reflects consistency with the Business Unit’s roles and workflow.


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8) Parts related to assets created in EAMS are accessed from the appropriate inventory

database, which may be the SHOPS system for those Business Units where SHOPS is

used.

9) Purchases of parts can be executed through the EAMS Purchasing features.

10) Essential data is imported (validated and formatted as required) from existing systems

(or spreadsheets) into the subject Business Unit’s EAMS implementation. Data must

be validated to function correctly in the EAMS system.

11) Engagement users are able to produce reports from EAMS consistent with or better

than existing reports in their current state operation.

12) Engagement end-users are trained and able to use EAMS functionality pertaining to

their Business Unit’s EAMS operation.

13) The Business Unit is able to use the EAM system to determine the cost of a specific

work order (labor and materials). The preferred method to determine labor rates is

through an interface to the eMerge system.

14) Business Unit acceptance of the EAMS system has been obtained for go-live use in

production mode and cutover to production is complete.

15) Business unit begins using EAMS.

16) A follow-up plan for EAMS maintenance, help services and support is in place.

Complete success at project conclusion will occur incrementally when all Engagements

are successfully concluded, business processes are optimized and operational in EAMS

with accepted interfaces and reporting capabilities, all labor and materials use recorded

against assets for rollup into the asset costing, all assets evaluated for their state of good

repair, and all outstanding EAMS user requirements have been defined, evaluated and

prioritized for subsequent implementation.

Project management and Business Unit management will actively make decisions as to

when an Engagement is deemed completed. Heavy emphasis will be placed on user

satisfaction: acceptance and consequential use of the system is critical to enabling

accurate and robust data capture.

EAMS must be configured to meet the overall business needs of the SFMTA. The items

below indicate in general terms what the Agency intends to achieve over the long-term

through configuration of the EAMS product, and implementation of the EAMS and

associated practices within the Agency:

a. EAMS Usability

Screens and reporting formats are driven by user practices per Engagement, to

the extent consistent with business-process analysis

Minimization of repetitive user inputs

Minimization of the number of screens required to be accessed for each task

Minimization of hard-copy requirements

Robust on-line help


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User “tools” such as quick-start guides and “cheat” sheets

Procedures for migration from existing systems per Engagement into EAMS,

including any required “dual-mode” operations

b. Design Parameters and Maintainability

Definition of user-defined and custom data fields

Documentation of business processes and configuration specifics

Complete documentation describing bi-directional requirements across the

interfaces developed to systems external to the EAMS

No custom code, to the extent possible, instead utilizing the configuration features

inherent to the EAMS

c. Interface development to EAMS

The EAMS shall be configured to meet the overall business needs of the SFMTA.

Specific software interfaces shall be developed as required for the programs listed

below.

City Controller’s FAMIS/ADPICS (through HostBridge)

RailSys (Alstom’s VMI system for inventory management and supply)

Time Reporting System (Emerge)

Spear 4I

For more detail on the enterprise environment for EAMS and anticipated interfaces, refer to Appendix M.

d. Iterative Improvement

Progressive improvements and feature enhancements as data management and

work-order methodologies evolve through the course of the Project

It is recognized that the Project cannot achieve every stated request of all users in

its limited timeframe. However, it must lay the framework for an implementation

of all the success criteria for the SFMTA EAMS Team to pursue in the future.

Established process for upgrading with the iterative improvements

e. Reporting

Pre-defined reports

User-defined reporting features

Customized “dashboards” and reports as required

User query capabilities

Data exports to meet the needs of reporting by other enterprise systems

f. State of Good Repair

Established SOGR metrics

Established data fields within EAMS to support SOGR metrics and reporting

requirements

Evaluation of SOGR existing assets as required


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SOGR data, including condition information, incorporated into EAMS

g. Data Migration

Data migrated and validated in EAMS

Established “dual-mode” procedures for old systems and EAMS during the

migration period;

Initial Data Sets developed for initial operation of EAMS;

h. Back-up Procedures

Strategy and procedures for data backup, redundancy, archiving and recovery, to

guard against a catastrophic system failure

i. Work Order Management

Evaluated current work-order processes per Engagement with user input

Prioritized and documented business-processes

Established standard “baseline” work-order processes

Configured specialized work-order processes per Business Unit requirements

j. Project Communications

Intra-Agency communications on EAM Project status (“Inreach”)

Process and strategy for keeping EAMS users up to date on recent and upcoming

changes and improvements

Support for meetings, newsletters, presentations and website-delivered

information relating to EAM Project Status

k. Direct User Training

End-user training conducted per Engagement

SFMTA staff “Help desk” staff training

“Regression” training as upgrades and new features are introduced

Established training records of all staff trained

l. Training Materials

Iteratively updated Help features based upon user questions and input

Web-based on-line help documentation, including Frequently Asked Questions,

for posting on the SFMTA intranet

Illustrated materials and training guides for Direct User Training

Quick-start and cheat sheet guides

m. Documentation

All documentation captured in machine-readable form, in a format to be approved

by SFMTA

All source code available for software developed under this Contract

Documentation of all business processes developed under this Contract


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Interface Control Documentation (ICD) standard for SFMTA approval

A documentation log and associated processes to track most current revisions of

system documentation, including relevant vendor-supplied documents. The

documentation log should also track Project memoranda, minutes, reports,

presentations, and other Project-related documents.

Materials and training guides for Direct User Training

Web-based on-line help documentation for posting on the SFMTA intranet

“Dual-mode” procedures for sunsetting systems and EAMS during the migration

period (if necessary)

Documentation log

C. Completion Criteria

The following charts are suggested metrics for establishing a quantitative degree of

completion for each Engagement, and for the entire Project. The Proposer may choose to

incorporate these metrics, or a variant thereof, into its proposal.

a. Business Unit Engagement Suggested Completion Criteria

Criteria % Goal

Attainment

Initial evaluation of Business Unit’s scope of work, existing

data validity, and the working environment 10%

Existing and Revised Business Processes captured and

documented 15%

EAMS configured 20%

Existing Engagement’s data validated and migrated to EAMS 15%

Condition Assessment of assets completed and documented 5%

All data; e.g., assets and parts, with condition assessments,

loaded into EAMS 10%

Testing completed and EAMS revised configuration

implemented 10%

User training completed, documentation delivered 10%

Engagement accepted by designated representative 5%

TOTAL 100%


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b. Overall Project Suggested Completion Criteria

Criteria % Goal

Attainment

Establish EAMS: Establish a single Enterprise Asset

Management System, integrated Agency-wide, providing full

visibility of the current and historical state of all active

SFMTA assets, with complete integration of all SFMTA

engagements into the EAMS

10%

Complete migration and verification of SFMTA asset,

inventory and purchasing data into the EAMS 10%

Establish State of Good Repair metrics and evaluations for all

SFMTA assets 10%

Achieve successful integration of the EAMS with other

SFMTA and City enterprise systems, including

FAMIS/ADPICS

10%

Develop reporting capabilities within EAMS consistent with

local and federal requirements, and which enable accurate

financial forecasting and planning based upon a complete,

historically accurate and up-to-date asset data repository,

including SOGR attributes.

10%

Establish consistent EAM business practices which sustain

complete and accurate data on SFMTA assets, labor and

materials tracking including procurement and disposal, of the

life-cycle of all assets.

10%

Comply with Requirements: To comply with federal and

regional asset management requirements 10%

Improve Work Environment: To improve work practices and

the work environment, enable internal culture change, and

break down work silos

10%

Training: Provide initial user training, as well as OJT for EAM

Team members and long-term training tools for supporting

help desk functions and incorporating new users over the life

of the EAMS.

10%

Complete planning to sustain the EAM System long-term: To

implement an EAMS program with a sustainable life-cycle of

at least 25 years

10%

TOTAL 100%


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D. Task 2 Services

The following optional services are to be negotiated as services, each for a fixed fee (lump

sum), to be exercised at the discretion of the SFMTA.

1. Project Implementation Plan

A Project Implementation Plan to describe the implementation of the EAMS at the

SFMTA, to achieve the completion criteria described above. The plan would include the

Project goals and objectives, scope and approach, budget, staffing plan, resource-loaded

schedule and work plan, a task list, interface management, deployment priorities, a

testing plan, reporting requirements, document control strategies, and training

requirements. The plan would incorporate by reference a Quality Assurance Plan, and a

Risk Management Plan.

2. Quality Assurance Plan

The Quality Assurance Plan establishes quality related controls and provides procedures

to implement the controls. The Project controls facilitate early identification of conditions

that might adversely affect satisfactory completion of the Project, and allows for timely

corrective action to minimize repetition of problems. FTA requires grantees undertaking

major capital programs to prepare a Project Management Plan which includes a Quality

Assurance Plan. The EAMS Quality Assurance Plan must address the fifteen quality

elements identified in the FTA guidelines (refer to Appendix G).

3. Risk Management Plan

The Risk Management Plan anticipates risks to the success of the Project, anticipates the

probability and potential impacts of those risks, and defines appropriate mitigation

strategies.

4. 25-Year EAMS Sustainability Plan

The 25-year EAMS Sustainability Plan defines organizational requirements, procedures

and staffing required to sustain the EAMS and associated data and processes up to date

and fully functional for a 25-year period. The Plan should include staffing requirements,

including a specific SFMTA staffing plan for the years following Project completion, and

strategies for reviewing and updating business practices of the SFMTA’s various work

units as the operational and technological environments change over time, as well as

requests from end-users for changes and new features. The Plan should anticipate

adapting to new regulatory requirements for asset management. The Plan should include

strategies for auditing, validating and maintaining the completeness and correctness of

SFMTA asset and inventory data. The Plan should also include strategies for

incorporating updates to the underlying EAMS software and software interfaces, and

retraining existing staff, as well as providing training to newly assigned staff. This would

of necessity also include strategies for maintaining EAMS documentation up to date. The

plan should also include a proposed look-ahead budget for the 25-year period.


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5. Training Plan

The Training Plan would present a strategy for near-term and long-term training on the

EAMS. The Training Plan would reference relevant EAMS documentation available

from Infor, and provide supplementation of Infor-supplied documentation where deemed

appropriate. Recipients of training would include:

Initial users

Existing users needing training on new features and upgrades

Existing users needing “Top-up” refresher training

IT staff who are initial maintainers of the EAMS on EAMS product configuration

IT Help Desk personnel on use of the EAMS

SFMTA EAMS trainers (“train the trainer”)

The Training Plan would provide initial EAMS documentation and propose strategies for

keeping the documentation current on:

User Documentation for specific SFMTA work units

EAMS “cheat sheet” guides

Interface Control Documentation

Web-based self-guided training for EAMS users

The Training Plan would indicate where training may be most economically provided by

Infor, the EAMS supplier, and when the training would best be supplied by SFMTA

trainers.


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III.Submission Requirements

A. Time and Place for Submission of Proposals

Proposals must be received by 2:00 pm PDT onJuly 29, 2014. Postmarks will not be

considered in determining the timeliness of submissions. Proposals may be delivered in person

and left with Julian Sutherland or mailed to:

Attn. Julian Sutherland

SFMTA Contracts and Procurement

1 S. Van Ness Ave. 7th

Fl.

San Francisco, CA 94103-5417

Proposers shall submit the following to the above location:

One original signed hard copy of your proposal plus fifteen (15) additional hard copies

of your proposal, including completed and signed Appendices D, E and F. The original

copy must have original signatures by an official with your firm who is authorized to

submit a proposal on behalf of your firm. The proposal should be clearly marked that it

is for “SFMTA-2014-35, SFMTA EAMS Professional Services.”

Two (2) copies, in a separate sealed envelope, of your Fee Proposal (see Section

III.C.6) in a sealed envelope clearly marked “SFMTA-2014-35 Fee Proposal”

One original and one hard copy, separately collated and clipped, of signed and

completed SBE Forms as required (see Section VI.O and Appendix 1) in a sealed

envelope clearly marked “SFMTA-2014-35 SBE Forms.”

Two (2) electronic copies of your entire Proposal on portable electronic media such as a

compact disc (CD) or flash drive.

Proposals that are submitted by fax or email will not be accepted. Late submissions will not

be considered.

B. Format

A Proposer is requested to submit its Proposal on recycled paper, print double-sided to the

maximum extent practical, it in a three-ring binder. Proposers are requested not to bind their

Proposals with a spiral binding, glued binding, or anything similar. A Proposer may use tabs or

other separators within the document.

For word processing documents, use a sans-serif font 11 point, and pages with margins of

at least 1” on all sides (excluding headers and footers).

If your response is over 10 pages, please include a Table of Contents.

C. Content

The Proposal shall be in clear, concise writing within the format provided by the SFMTA.

Legibility, clarity and completeness of the Proposal are essential.


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The Proposer must demonstrate that it has read the RFP, understands the Agency needs and

requirements, and comprehends the Agency’s intent in seeking these professional services. A

Proposal should be specific and responsive to SFMTA’s business requirements. The Agency will

view unfavorably generic proposals and generic marketing materials.

Firms interested in responding to this RFP must submit the following information, in the

order specified below:

1. Introduction and Executive Summary (up to five (5) pages)

Submit a letter of introduction and executive summary of the Proposal. The letter

must be signed by a person authorized by your firm to obligate your firm or joint venture to

perform the commitments contained in the Proposal. Submission of the letter will constitute a

representation by your firm that your firm is willing and able to perform the commitments

contained in the Proposal.

If the firm is a joint venture, the Proposal must designate a single individual principal

authorized to conduct business and make commitments on behalf of the joint venture and to

obligate all members to meet the terms of any agreement reached with the SFMTA.

2. Minimum Qualifications (up to thirty (30) pages)

Provide information on your firm’s background and qualifications which addresses

the following:

a. Name, address, email address and telephone number of a contact person for

Proposer’s organization;

b. A brief description of Proposer’s firm, including current organizational structure,

when the firm was established, subsidiary and parent companies (if any), identity

of principals, office locations and size, and overall number of personnel by

discipline. If the Proposer is a joint venture, furnish the above information for

each member firm and clearly indicate the reason for the joint venture as it

directly applies to this Project, as well as how the joint venture would be

structured; and

c. A description of how your firm meets each of the minimum qualifications set

forth in Section IV.A of this RFP; and

d. A description of any additional projects (not more than four), other than that one

which satisfies the minimum qualifications, similar in size and scope performed

by your firm including client, reference, telephone numbers, e-mail addresses and

staff members who worked on each project, budget, schedule and project

summary. Descriptions should be limited to two (2) pages for each project. If joint

consultants or sub-consultants are proposed provide the above information for

each.

3. Technical Proposal (up to sixty (60) pages)

Describe the services and activities that Proposer would provide to the SFMTA.

Include the following information, not necessarily in this order:


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a. Overall scope of work, broken down by tasks; and

b. Proposed Project approach described in the Scope of Work for Task 1, including

an explanation of why this is the preferred approach; and

c. A Statement of Work (SOW) for the approach developed above, including

proposed tasks, deliverables, timeframes, and a staffing model; and

d. Identification of key challenges and mitigations; and

e. Proposed organization of a joint Proposer-SFMTA integrated Team, and

assignment of work (division of labor) between SFMTA and the Proposer’s staff

Team; and

f. Phasing of work tasks, and identification of work that can be performed in

parallel; and

g. Approach to business process analysis; and

h. Approach to software interface management; and

i. Approach to agile software implementation, and its applicability to this Project;

and

j. Approach to documentation management; and

k. Approach to Quality Assurance and Risk Management; and

l. Approach to managing end-user “culture change” issues anticipated with a major

Agency-wide technology and business-process implementation; and

m. Approach to intra-Agency communications (“inreach”) to keep users and

stakeholders informed and trained on EAMS implementation progress for the

duration of the Project; and

n. Training Approach; and

o. Approach to developing a technical, business-practice and staff infrastructure

model which will sustain the EAMS long-term; and

p. A proposed outline for the Project Implementation Plan defined as an optional

deliverable of Task 2; and

q. Schedule and ability to complete the Project within the City’s required time

frame.

4. Team Qualifications (up to thirty (30) pages)

a. Provide a list identifying: (1) each key person on the Project Team, (2) the Project

Manager, (3) the role each will play in the Project, (4) a description of the

qualifications, background and experience which makes each of these individuals

key to the success of this Project, including resumes, (5) the percentage of that

person’s time and duration that individual is committed to work on the Project;

and (6) a written assurance that the key individuals listed and identified will be

performing the work and will not be substituted with other personnel or

reassigned to another Project without the SFMTA’s prior approval.


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b. Provide a list identifying additional persons or staff positions proposed for the

Project Team, identifying each by (1) name or position, (2) the role(s) each will

play on the Project.

5. References (up to twenty (20) pages)

Provide at least one (1) each reference, and no more than three (3) each, for the lead

firm, and each member firm of a joint venture, all subconsultant firms, and all Team members

identified as “key” persons.

Provide references to at least one (1) but no more than five (5) recent clients

(preferably other public agencies).

All references shall include the name, address, workplace, telephone number, and

e-mail address of the referenced individual.

6. Fee Proposal

The SFMTA intends to award this contract to the firm that it determines from review

of responsive Proposals will provide the best overall program services. The SFMTA reserves the

right to accept other than the lowest priced offer and to reject any Proposals that are not

responsive to this request.

The Proposer should consider in its cost Proposal the potential for Team members

working out of SFMTA offices for some or all of the duration of the Project.

Please provide a fee Proposal in a sealed envelope that includes the following:

a. Total fixed fee for Task 1 services, the Proposer’s preferred approach, amortized

over the first two (2) years, not including reimbursable expenses; and

b. Total fixed fee for the optional third (3rd

) year amortized over the year, not

including reimbursable expenses; and

c. A separate lump sum fixed fee for each of the five Optional Services listed under

Task 2:

1. Project Implementation Plan

2. Quality Assurance Plan

3. Risk Management Plan

4. Training Plan

5. 25-Year EAMS Sustainability Plan

d. A detailed cost breakdown of labor hours for Task 1 and work items listed under

Task 2 by month, by firm, by discipline, and by personnel, including a

breakdown of reimbursable costs; and

d. The most recent, audited overhead rates for Proposer, member firms of a joint

venture, and sub-Proposers; and

e. A breakout of the amount of fixed fee profit in Task 1 and each work item listed

under Task 2; and


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f. Provide vehicle use or mileage rates, travel and any other applicable rates (Note

that travel expenses are subject to Federal GSA (General Services Administration)

limits.); and

g. Any proposed Other Direct Costs (ODCs); and

h. Hourly rates for all Team members. Hourly rates and itemized costs may be used

to negotiate changes in the Scope of Work if necessary.

In summary, the table below provides a checklist for each of the items to be included

in the Proposer’s Fee Proposal:

Detailed

Cost

Breakdown

Audited

Overhead

Rate

Fixed

Fee

Profit

Travel

and other

rates

Other

ODCs

Hourly

Rates

Task 1, Years 1-2

Task 1, Optional Year 3

Task 2, Optional

Service 1

Task 2, Optional

Service 2

Task 2, Optional

Service 3

Task 2, Optional

Service 4

Task 2, Optional

Service 5


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IV. Evaluation and Selection Criteria

A. Minimum Qualifications

It is SFMTA’s expectation that the Proposer will build and structure the most qualified Team

possible. The overall Team must meet the following minimum qualifications:

1. The Proposer or a member of its Team (either an individual or a firm) shall have

successfully implemented an Asset Management System at a public agency or private

transportation company within the last five (5) years. The qualifying public agency or

private transportation company shall meet the following criteria:

An agency or company comparable in complexity with the SFMTA, with at least

two-hundred fifty (250) Revenue Vehicles; or

An agency or company with a capital program of at least one-billion dollars

($1,000,000,000), maintaining an asset inventory of at least five-billion dollars

($5,000,000,000).

2. The Proposer or at least one key member of its Team must be certified by Infor in the

configuration and programming of its EAM product.

3. The Proposer and at least two (2) of its key staff must have at least two (2) years of

experience within the last five (5) years in performing configuration and management of

Infor EAM software.

4. The Proposer’s Team must include staff with experience specific to business process

analysis.

5. The Proposer or a member of its Team shall have experience with meeting public-sector

reporting and compliance requirements of the FTA and other relevant state/local

agencies.

6. The Proposer shall have, or must commit to establish, a local business office, within

twenty-five (25) miles of San Francisco, and at least half of its key staff shall work

locally, either out of a local business office or co-located with SFMTA staff.

Any Proposal that does not demonstrate that the Proposer meets these minimum requirements by

the deadline for submittal of Proposals will be considered non-responsive and will not be eligible

for award of the Contract.

B. Selection

1. Selection Process

The Proposals will be evaluated by a selection committee comprised of parties with

expertise in SFMTA operational practice, the federal and regional regulatory environment

governing SFMTA asset management, the SFMTA and City enterprise environment, and the

SFMTA’s capital strategic planning environment. The SFMTA intends to evaluate the proposals

generally in accordance with the criteria itemized below in Section IV.B.2, on a 200-point rating


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system. All firms that have a statistical chance of being the Proposer selected after evaluation of

their written and cost Proposals may be interviewed by the committee to make the final selection.

Step 1: The SFMTA will evaluate each written Proposal based on the evaluation criteria

listed in IV.B.2.a and IV.B.2.b below, using a 150-point rating system. Each member of the

SFMTA’s Selection Committee will score each firm’s written Proposal. The Selection

Committee members’ scores for each firm will be totaled, and the result will be divided by the

number of Selection Committee members to obtain an averaged written evaluation score for each

firm, which will be a maximum of 150 points.

The cost proposal will be evaluated separately, using the 20-point rating system described

in criteria IV.B.2.c below, and each firm’s resulting cost-proposal evaluation score will be added

to that firm’s written-proposal evaluation score, and that total will be a maximum of 170 points

per firm.

Based on the total score for each Proposer’s written and cost proposals, the SFMTA will

determine which firms are within the competitive range (the “short list”). Those firms in the

short list may be invited to present their Proposals at an oral presentation/interview with the

Selection Committee.

Step 2: Following the evaluation of the written and cost proposals, all firms that have a

statistical chance of being the Selected Contractor may be interviewed by the Selection

Committee to make the final selection. The interview will consist of standard questions asked of

each of the Proposers. The panel members may elect to ask follow-up questions based on the

Proposer’s written proposal and/or oral interview. The SFMTA reserves the right not to hold

any oral interviews and instead to select a firm based solely on the written and cost

proposals. If one firm on the short list is interviewed, then all firms on the short list will be

interviewed.

If the SFMTA elects to hold oral interviews, the short-listed firms and their sub-Proposers

will be required to appear before the Selection Committee for an oral interview, presentation of

their Proposal and detailed discussion of the elements of their Proposal. Presentations at the oral

interview must be made by the Proposer’s key Team members who will be assigned to perform

the Contract. The key Team members should actively participate in the oral presentation to the

Selection Committee. Members of the Selection Committee may direct questions to specific

members of the Proposer’s Team. The SFMTA may require short-listed firms to furnish

additional information prior to or at the interview.

Using the 30-point rating system and the evaluation criteria described in criteria IV.B.2.d

below, each member of the Selection Committee will separately score each firm’s oral interview

and presentation. The SFMTA will total each firm’s individual oral evaluation scores from all

Selection Committee members and then divide that total by the number of Selection Committee

members, to obtain an average interview evaluation score per firm, which will be a maximum of

30 points per firm.

Step 3: The SFMTA will add scores obtained from Step 1 and Step 2 for each Proposer,

which will be a maximum of 200 points per firm. The Proposer with the highest total combined

score in Step 3 will be ranked the highest and will be invited to negotiate a contract with the

SFMTA.


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The selection of any Proposal shall not imply acceptance by the City of all terms in the

Proposal, which may be subject to further negotiations and approvals before the City may be

legally bound thereby. In the event that the SFMTA determines that an agreement cannot be

reached with the highest-ranked Proposer, SFMTA may choose to discontinue negotiations with

the highest-ranked Proposer and enter into negotiations with other qualified firms in the order of

their ranking. SFMTA reserves the right to accept other than the lowest-priced offer and to reject

Proposals that are not responsive to this RFP. The SFMTA reserves the right to reject all

Proposals, seek new or amended Proposals, determine that the work described in the RFP will

not be done, determine that work will be accomplished by means other than described in the

RFP, or reissue the RFP in the original or amended form.

2. Selection Criteria

a. Proposer Background, Staff Experience, Organizational Capacity (50 points)

1. The extent to which the Proposer’s Team exceeds Minimum Requirements

2. Business Process analysis experience and expertise

3. Key personnel experience with managing projects of similar size and scope

4. Key personnel expertise with the Infor EAMS product

5. Key Personnel experience with Asset Management

6. Experience specific to Asset Management in a transportation environment

7. Familiarity with the transit regulatory environment

8. Experience with interface management

9. Evaluation of Project and personnel references

10. Commitment of local staff, and commitment of full-time staff to the Project;

minimization of required travel

b. Project Approach, Technical Proposal (100 points)

1. Quality, creativity and effectiveness of Project Approach to Task 1

2. How well the Technical Proposal addresses each of the points listed in Section

III.C.3

3. Effectiveness of Proposer-SFMTA joint staffing plan

4. Effectiveness of the methodology of knowledge transfer to SFMTA staff

5. Understanding of business process analysis in a working environment

6. Effectiveness of dealing with “culture change” within the Agency

7. Effectiveness of strategies for managing business-unit “engagements”, and

consideration of implementing change in a working environment

8. Effectiveness of plan for configuring the Infor EAM product


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9. Effectiveness of “agile” software development strategies

10. Effectiveness of “cutover” and intra-Agency (“inreach”) communication

strategies as the EAMS is implemented across the Agency, including the

methodology of providing follow-up support to Business Units whose

“engagements” have been completed

11. Plausibility of task allocation and scheduling

12. Effectiveness and efficiency of documentation strategies

13. Quality of proposed Task 2 deliverables

c. Cost Proposal (20 points)

1. Each Proposal’s amounts proposed for Task 1 (the two base years plus the third

optional year) will be summed as “A.Proposer.” Of all the evaluated Proposals,

the lowest fee proposal will be designated “A.lowest” and will receive 15

points. Each other fee proposal will receive a pro-rated score calculated by

dividing the A.lowest value by its own A.Proposer value, and multiplying by

15: (A.lowest ÷ A.Proposer) * 15 = points awarded.

2. Each Proposal’s amounts proposed for Task 2 (the five optional deliverables)

will be summed as value B. Of all the evaluated Proposals, the lowest fee will

be designated “B.lowest” and will receive 5 points. Each other fee proposal will

receive a pro-rated score calculated by dividing the B.lowest value by its own

B.Proposer value, and multiplying by 5.: (B.lowest ÷ B.Proposer) * 5 = points

awarded.

d. Oral Interview (30 points)

If the SFMTA elects to conduct oral presentations and interviews, Proposers will

scored as follows:

1. Quality of presentations by key personnel on the written technical proposals

2. Completeness and relevance of responses provided

3. Specific technical expertise demonstrated in:

Business process analysis

Asset Management

Interface Management

Familiarity with FTA’s SOGR initiative

Project Management

4. Understanding of Project issues by the Proposer’s Team

The SFMTA reserves the right to not hold oral interviews and select a firm

based on the written proposal only.


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V. Pre-Proposal Conference and Contract award

A. Pre-Proposal Conference

Proposers are encouraged to attend a pre-proposal conference onJune 27, 2014, at 10:00 am

PDT to be held atOne South Van Ness Ave., 7th

Floor Union Square Conference Room (7080),

San Francisco, CA 94103. Proposers will be given opportunity to ask questions and the SFMTA

will provide new or additional information concerning the Project at that time. A tour of selected

SFMTA sites may be offered, but the number of attendees on the tour may be restricted to two

(2) individuals per firm. If a Proposer has further questions regarding the RFP, please contact the

SFMTA contact designated in Section VI.B.

B. Contract Award

The SFMTA will invite the highest ranked Proposer to enter into contract negotiations. The

selection of any Proposal shall not imply acceptance by the City of all terms of the Proposal,

which may be subject to further negotiations and approvals. If a satisfactory contract cannot be

negotiated in a reasonable time with the highest ranked Proposer, then the SFMTA, in its sole

discretion, may terminate negotiations with the highest ranked Proposer and begin contract

negotiations with the next highest ranked Proposer.


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VI. Terms and Conditions for Receipt of Proposals

A. Errors and Omissions in RFP

Proposers are responsible for reviewing and understanding all parts of this RFP. A

Proposer must promptly notify the SFMTA, in writing, if the Proposer discovers any ambiguity,

discrepancy, omission, or other error in the RFP. Any such notification should be directed to the

SFMTA promptly after discovery, but in no event later than five working days prior to the date

for receipt of Proposals. Modifications and clarifications will be made by addenda as provided

below.

B. Inquiries Regarding RFP

Inquiries regarding the RFP must be directed to:

Julian Sutherland

SFMTA, Contracts and Procurement

One South Van Ness Ave., 7th

Floor

San Francisco, CA 94103

Email: [email protected]

Please include “SFMTA 2014-35” in the subject line of your e-mail.

C. Objections to RFP Terms

Should a Proposer object on any ground to any provision or legal requirement set forth in

this RFP, the Proposer must, not more than ten calendar days after the RFP is issued, provide

written notice to the SFMTA setting forth with specificity the grounds for the objection. The

failure of a Proposer to object in the manner set forth in this paragraph shall constitute a

complete and irrevocable waiver of any such objection.

D. Addenda

The SFMTA may modify the RFP, prior to the due date for Proposal submission, by

issuing Addenda, which will be posted on the website. The Proposer shall be responsible for

ensuring that its Proposal reflects any and all Addenda issued by the SFMTA prior to the

Proposal due date regardless of when the Proposal is submitted. Therefore, the SFMTA

recommends that the Proposer consult the website frequently, including shortly before the

Proposal due date, to confirm whether the Proposer has read, understood and addressed in it

Proposal all Addenda.

E. Term of Proposal

By submitting a Proposal, a Proposer affirms and warrants that the proposed services and

prices stated in its Proposal are valid for 120 calendar days from the Proposal due date and that

the quoted prices are genuine and not the result of collusion or any other anti-competitive

activity.


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F. Revision of Proposal

A Proposer may revise a Proposal on the Proposer’s own initiative at any time before the

deadline for submission of Proposals. The Proposer must submit the revised Proposal in the same

manner as the original. A revised Proposal must be received on or before the submission

deadline.

In no case will a statement of intent to submit a revised Proposal, or commencement of a

revision process, extend the Proposal due date for any Proposer.

At any time during the Proposal evaluation process, the SFMTA may require a Proposer to

provide oral or written clarification of its Proposal. The SFMTA reserves the right to make an

award without further clarifications of Proposals received.

G. Errors and Omissions in Proposal

Failure by the SFMTA to object to an error, omission, or deviation in the Proposal will in

no way modify the RFP or excuse the vendor from full compliance with the specifications of the

RFP or any contract awarded pursuant to the RFP.

H. Financial Responsibility

The SFMTA accepts no financial responsibility for any costs incurred by a firm in

responding to this RFP. Submissions of the RFP will become the property of the SFMTA and

may be used by the SFMTA in any way deemed appropriate.

I. Proposer’s Obligations under the Campaign Reform Ordinance

A Proposer must comply with Section 1.126 of the S.F. Campaign and Governmental

Conduct Code, which states:

No person who contracts with the City and County of San Francisco for the rendition

of personal services, for the furnishing of any material, supplies or equipment to the City,

or for selling any land or building to the City, whenever such transaction would require

approval by a City elective officer, or the board on which that City elective officer serves,

shall make any contribution to such an officer, or candidates for such an office, or

committee controlled by such officer or candidate at any time between commencement of

negotiations and the later of either (1) the termination of negotiations for such contract, or

(2) three months have elapsed from the date the contract is approved by the City elective

officer or the board on which that City elective officer serves.

If a Proposer is negotiating a contract that must be approved by an elected local officer or

the board on which that officer serves, during the negotiation period the Proposer is prohibited

from making contributions to:

the officer’s re-election campaign

a candidate for that officer’s office

a committee controlled by the officer or candidate.


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The negotiation period begins with the first point of contact, either by telephone, in person,

or in writing, when a contractor approaches any city officer or employee about a particular

contract, or a city officer or employee initiates communication with a potential contractor about a

contract. The negotiation period ends when a contract is awarded or not awarded to the

contractor. Examples of initial contacts include: (1) a vendor contacts a city officer or employee

to promote himself or herself as a candidate for a contract; and (2) a city officer or employee

contacts a contractor to propose that the contractor apply for a contract. Inquiries for information

about a particular contract, requests for documents relating to a Request for Proposal, and

requests to be placed on a mailing list do not constitute negotiations.

Violation of Section 1.126 may result in the following criminal, civil, or administrative

penalties:

1. Criminal. Any person who knowingly or willfully violates section 1.126 is subject to

a fine of up to $5,000 and a jail term of not more than six months, or both.

2. Civil. Any person who intentionally or negligently violates section 1.126 may be held

liable in a civil action brought by the civil prosecutor for an amount up to $5,000.

3. Administrative. Any person who intentionally or negligently violates section 1.126

may be held liable in an administrative proceeding before the Ethics Commission

held pursuant to the Charter for an amount up to $5,000 for each violation.

For further information, Proposers should contact the San Francisco Ethics Commission at

(415) 581-2300.

J. Communications Prior to Contract Award

It is the policy of the SFMTA that only SFMTA staff identified in the RFP as contacts for

this competitive solicitation are authorized to respond to comments or inquiries from Proposers

or potential Proposers seeking to influence the contractor selection process or the award of the

contract. This prohibition extends from the date the RFP is issued until the date when the

contractor selection is finally approved by the SFMTA Board of Directors and, if required, by

the San Francisco Board of Supervisors.

All firms and subcontractor(s)/subconsultant(s) responding to this RFP are hereby notified

that they must not contact any SFMTA staff member, other than a person with whom contact is

expressly authorized by this RFP, for any matter related to the selection process or the award of

the Contract from the date the RFP is issued to the date when the Contract award is approved by

the Board of Directors of the SFMTA and, if required, by the San Francisco Board of

Supervisors. This prohibition does not apply to communications with SFMTA staff members

regarding normal City business not regarding or related to this RFP.

All firms and subcontractor(s) responding to this RFP are hereby notified that any written

communications sent to one or more members of the SFMTA Board of Directors concerning a

pending contract solicitation will be distributed by the SFMTA to all members of the SFMTA

Board of Directors and the designated staff contact person(s) identified in the RFP.

Except as expressly authorized in the RFP, where any person representing a Proposer or

potential Proposer contacts any SFMTA staff for the purpose of influencing the content of the

competitive solicitation or the award of the contract between the date when the RFP is issued and


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the date when the final selection is approved by the SFMTA Board of Directors, and, if required,

by the San Francisco Board of Supervisors, the Proposer or potential Proposer may be

disqualified from the selection process. However, a person who represents a Proposer or

potential Proposer may contact City elected officials and may contact the Director of

Transportation of the SFMTA if the Proposer is unable to reach the designated staff contact

person(s) identified in the RFP or wishes to raise concerns about the competitive solicitation.

Additionally, the firms and subcontractor(s) responding to this RFP are prohibited from

providing any gifts, meals, transportation, materials or supplies or any items of value or

donations to or on behalf of any SFMTA staff member from the date the RFP is issued to the

date when the Contract award is approved by the Board of Directors of the SFMTA and if

required, by the San Francisco Board of Supervisors.

All lobbyists or any agents representing the interests of the Proposer and/or is

subconsultants shall also be subject to the prohibitions and requirements of this Section J.

An executed Attestation of Compliance (See Below) certifying compliance with this

section of the RFP will be required to be submitted signed by all firms and named

subcontractor(s) as part of the response to this RFP. Any Proposal that does not include the

executed Attestation of Compliance as required by this section will be deemed non-responsive

and will not be evaluated. Any Proposer who violates the representations made in such

Attestation of Compliance, directly or through an agent, lobbyist or subcontractor will be

disqualified from the selection process.

K. Sunshine Ordinance

In accordance with S.F. Administrative Code Section 67.24(e), contractors’ bids, responses

to RFPs and all other records of communications between the City and persons or firms seeking

contracts shall be open to inspection immediately after a contract has been awarded. Nothing in

this provision requires the disclosure of a private person’s or organization’s net worth or other

proprietary financial data submitted for qualification for a contract or other benefits until and

unless that person or organization is awarded the contract or benefit. Information provided which

is covered by this paragraph will be made available to the public upon request.

L. Public Access to Meetings and Records

If a Proposer is a non-profit entity that receives a cumulative total per year of at least

$250,000 in City funds or City-administered funds and is a non-profit organization as defined in

Chapter 12L of the S.F. Administrative Code, the Proposer must comply with Chapter 12L. The

Proposer must include in its Proposal (1) a statement describing its efforts to comply with the

Chapter 12L provisions regarding public access to Proposer’s meetings and records, and (2) a

summary of all complaints concerning the Proposer’s compliance with Chapter 12L that were

filed with the City in the last two years and deemed by the City to be substantiated. The

summary shall also describe the disposition of each complaint. If no such complaints were filed,

the Proposer shall include a statement to that effect. Failure to comply with the reporting

requirements of Chapter 12L or material misrepresentation in Proposer’s Chapter 12L

submissions shall be grounds for rejection of the Proposal and/or termination of any subsequent

Agreement reached on the basis of the Proposal.


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M. Reservations of Rights by the City

The issuance of this RFP does not constitute an agreement by the City that any contract

will actually be entered into by the City. The City expressly reserves the right at any time to:

1. Waive or correct any defect or informality in any response, Proposal, or the

selection procedure;

2. Reject any or all Proposals;

3. Reissue a Request for Proposals;

4. Prior to submission deadline for Proposals, modify all or any portion of the

selection procedures, including deadlines for accepting responses, the

specifications or requirements for any materials, equipment or services to be

provided under this RFP, or the requirements for contents or format of the

Proposals;

5. Procure any materials, equipment or services specified in this RFP by any other

means; or

6. Determine that no Project will be pursued.

N. No Waiver

No waiver by the City of any provision of this RFP shall be implied from any failure by the

City to recognize or take action on account of any failure by a Proposer to observe any provision

of this RFP.

O. Small Business Enterprise (SBE)/Non-Discrimination Requirements

The following information is provided to assist the Proposers in the preparation of Proposals.

Please also see Appendix 1 for a description of SFMTA’s SBE Program, along with all forms

required for submittal of Proposals and for use by the Proposer.

1. Policy

The SFMTA is committed to a Small Business Enterprise (SBE) Program (“Program”)

for the participation of SBEs in contracting opportunities. The SFMTA is also committed

to compliance with the federal regulations in 49 CFR Part 26, issued March 4, 1999, as

amended from time to time (the “Regulations”). The Regulations are incorporated into

this Program as though fully set forth herein. It is the intention of the SFMTA to create a

level playing field on which SBEs can compete fairly for contracts and subcontracts

relating to the procurement and professional services activities of the SFMTA.

2. Questions

Questions concerning SBE/Non-Discrimination Requirements should be addressed in

writing to:


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Preston Tom

SFMTA, Contract Compliance

One South Van Ness Ave., 7th

Floor


or

Email: [email protected]

Please include “SFMTA 2014-35” in the subject line of your e-mail.

3. Non-Discrimination in Employment

SFMTA will evaluate the Proposer’s response to the Questionnaire on Recruitment,

Hiring, and Training Practices (MTA SBE Form No. 3) to determine whether the

Proposer is in compliance with the Nondiscrimination Requirements.

Should SFMTA deem it necessary, the SFMTA will seek a written commitment from the

Proposer to use good faith efforts to provide equal employment opportunities during the

term of the contract. One measure of such a commitment would be comparing utilization

of women and minorities with the relevant labor market in order to improve parity

between the composition of the Proposer’s workforce and the available labor market.

The Proposer may be required to provide the SFMTA with the relevant data regarding its

labor market.

4. SBE Goal

The Contract Compliance Office has established a ten-percent (10%) SBE participation

goal for this contract. Small business firms may qualify for this program by enrollment

in the State of California's Small Business Program, the federal DBE program, or the City

and County of San Francisco's LBE program. This SBE goal will apply to the following

types of contracts or scope of work in the contract: Computer Programming and Design;

Architecture and Engineering Services, Drafting (design services); Landscape

Architecture; Building Inspection; Public Relations; Telecommunications; Merchant

Wholesalers, Durable Goods, and Machinery and Equipment Rental (construction) ("SBE

Work".)

To be determined responsive, a Proposer must demonstrate in its submittal that it will

meet this goal in the performance of this contract; or if it is unable to meet the goal, the

Proposer must submit documentation (MTA Form 2 – SBE Consultant/Subconsultant –

Good Faith Efforts) with its Proposal that it performed good faith efforts, prior to

submission of the bid or Proposal, to meet this goal. A Proposer that is not responsive

shall be ineligible for award of the contract.

5. SBE Forms Required to be Submitted with Proposal (Note: SBE Forms

provided in Appendix 1 to this RFP)

In addition to the requirements on the content of the Proposal discussed above, proposed

Consultants must submit the following forms with their Proposals:


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1. Consultant/Joint Venture Partner and Subconsultant Participation Report (SFMTA

SBE Form 1)

2. SBE Consultant/Consultant – Good Faith Efforts (SFMTA SBE Form 2)

3. Bidders List (SFMTA SBE Form 2A)

4. SBE Consultant/Joint Venture Partners/Subconsultant – Gross Revenue Declaration

(SFMTA SBE Form No. 2B)

5. Questionnaire on Recruitment, Hiring and Training Practices for Consultants

(SFMTA SBE Form 3)

6. Subconsultant Participation Declaration (SFMTA SBE Form 4)

7. Small Business Enterprise Acknowledgement Declaration (SFMTA SBE Form 5)

8. Joint Venture Participation Form (Schedule B)

9. A Copy of the firm’s Nondiscrimination Program or EEO Policy Statement (if any)

Note: Forms described in this paragraph do not count against the Proposal page limits

specified in Section III.

Submit one original and one hard copy of the above forms in a separate sealed

envelope labeled “SFMTA 2014-35 SBE Forms”.

Both proposed Consultant and Subconsultants will need to submit Items 3, 4 (if

applicable), 5, and 9.

Items 1, 2 and 6 of this paragraph apply to the prime Consultant only. Item 7 applies to

the SBE Subconsultant only. Information about all firms submitting quotes or proposals

to the prime and Subconsultants must be included on Item 3 (Bidders List). Directions for

completing the above forms can be found in the SBE Program in Appendix 1.

P. Employment Non-Discrimination and Economically Disadvantaged Workforce Hiring Provisions

1. General

As a condition of Contract award, consultants and subconsultants shall comply with

the nondiscrimination in employment provisions required by Chapter 12B of the Administrative

Code and the hiring of economically disadvantaged persons as required by the City’s First

Source Hiring Program, Chapter 83 of the Administrative Code.

2. Nondiscrimination Provisions

a. Prior to the award of the contract, the Consultant must agree that it does and

will not, during the time of the contract or any contract amendment, discriminate in the provision

of benefits between its employees with spouses and employees with domestic partners.

b. The Consultant and subconsultants on this Contract will not discriminate

against any employee or applicant for employment because of race, color, religion, ancestry,

national origin, age, sex, sexual orientation, gender identity, domestic partner status, marital

status, disability or AIDS/HIV status, weight, height, or association with members of classes

protected under this chapter or in retaliation for opposition to any practices forbidden under this


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chapter. Discrimination on the basis of sex includes sexual harassment as defined in Section

16.9-25(b) of the Code. The Consultant, contractor or subconsultant/subcontractor will take

action to ensure that applicants are employed, and that employees are treated equally during

employment, without regard to the fact or perception of their race, color, creed, religion,

ancestry, national origin, age, sex, sexual orientation, gender identity, domestic partner status,

marital status, disability, weight, height, or AIDS/HIV status. Such action shall include, but not

be limited to, the following: Employment, upgrading, demotion or transfer; recruitment or

recruitment advertising; layoff or termination; rate of pay or other forms of compensation; and

selection for training, including apprenticeship.

3. Non-Compliance with Chapter 12B Prior to Contract Award

The Consultant and any subconsultants must be in compliance with the

nondiscrimination provisions of Chapter 12B, on all existing City contracts prior to award of this

contract. Prior to the award of this contract, the SFMTA has the authority to review the

Consultant’s and subconsultant’s prior performance to ensure compliance with the

nondiscrimination provisions of Chapter 12B.

If the SFMTA determines that there is cause to believe that a Consultant or

subconsultant is not in compliance with the nondiscrimination provisions of Chapter 12B, the

SFMTA shall attempt to resolve the non-compliance through conciliation.

a. If the non-compliance cannot be resolved, the SFMTA shall submit to the

Consultant or subconsultant a written Finding of Non-compliance.

b. The SFMTA shall give the Consultant or subconsultant an opportunity to appeal

the Finding.

c. The SFMTA may stay the award of any contract to a Consultant where the

Consultant or any subconsultant is the subject of an investigation by written

notice to the SFMTA.

4. Complaints of Discrimination after Contract Award

a. A complaint of discrimination in employment initiated by any party after contract

award shall be processed in accordance with CCO procedures.

b. A finding of discrimination may result in imposition of appropriate sanctions,

including:

(i) There may be deducted from the amount payable to the Consultant or

subconsultant under this contract a penalty of $50 for each person for each

calendar day the person was discriminated against in violation of the

provisions of the contract.

(ii) The contract may be canceled, terminated or suspended in part by the

SFMTA.

(iii) The Consultant, subconsultant or vendor may be determined ineligible to

perform work or supply products on any City contract for a period not to

exceed two years.


SFMTA-2014-35 36 of 38 June 13, 2014

EAMS RFP Ver. 1

VII. Contract Requirements

A. Standard Contract Provisions

The Selected Contractor will be required to enter into a contract substantially in the form of

the Sample Agreement for Professional Services, attached hereto as Appendix B. Failure to

timely execute the contract, or to furnish any and all insurance certificates and policy

endorsement, surety bonds or other materials required in the contract, shall be deemed an

abandonment of a contract offer. The SFMTA, in its sole discretion, may select another firm and

may proceed against the original selectee for damages.

Proposers are urged to pay special attention to the requirements of Administrative Code

Chapters 12B and 12C, Nondiscrimination in Contracts and Benefits, (§ 34 in the Agreement);

the Minimum Compensation Ordinance (§ 43 in the Agreement); the Health Care Accountability

Ordinance (§ 44 in the Agreement); the First Source Hiring Program (§ 45 in the Agreement);

and applicable conflict of interest laws (§ 23 in the Agreement), as set forth in paragraphs B, C,

D, E and F below.

B. Nondiscrimination in Contracts and Benefits

The Selected Contractor will be required to agree to comply fully with and be bound by the

provisions of Chapters 12B and 12C of the San Francisco Administrative Code. Generally,

Chapter 12B prohibits the City and County of San Francisco from entering into contracts or

leases with any entity that discriminates in the provision of benefits between employees with

domestic partners and employees with spouses, and/or between the domestic partners and

spouses of employees. The Chapter 12C requires nondiscrimination in contracts in public

accommodation. Additional information on Chapters 12B and 12C is available on the CMD’s

website at http://sfgsa.org/index.aspx?page=6058.

C. Minimum Compensation Ordinance (MCO)


provisions of the Minimum Compensation Ordinance (MCO), as set forth in S.F. Administrative

Code Chapter 12P. Generally, this Ordinance requires contractors to provide employees covered

by the Ordinance who do work funded under the contract with hourly gross compensation and

paid and unpaid time off that meet certain minimum requirements. For the contractual

requirements of the MCO, see § 43.

For the amount of hourly gross compensation currently required under the MCO, see

www.sfgov.org/olse/mco. Note that this hourly rate may increase on January 1 of each year and

that contractors will be required to pay any such increases to covered employees during the term

of the contract.

Additional information regarding the MCO is available on the web at

http://sfgsa.org/index.aspx?page=403.

http://sfgsa.org/index.aspx?page=6058



SFMTA-2014-35 37 of 38 June 13, 2014

EAMS RFP Ver. 1

D. Health Care Accountability Ordinance (HCAO)


provisions of the Health Care Accountability Ordinance (HCAO), as set forth in S.F.

Administrative Code Chapter 12Q. Contractors should consult the San Francisco Administrative

Code to determine their compliance obligations under this chapter. Additional information

regarding the HCAO is available on the web at http://sfgsa.org/index.aspx?page=407.

E. First Source Hiring Program (FSHP)

If the contract is for more than $50,000, then the First Source Hiring Program (Admin.

Code Chapter 83) may apply. Generally, this ordinance requires contractors to notify the First

Source Hiring Program of available entry-level jobs and provide the Workforce Development

System with the first opportunity to refer qualified individuals for employment.

Contractors should consult the San Francisco Administrative Code to determine their

compliance obligations under this chapter. Additional information regarding the FSHP is

available on the web at http://www.workforcedevelopmentsf.org/businessservices/ and from the

First Source Hiring Administrator, [email protected] or call (415) 701-4883.

F. Employment Training Program

The Selected Contractor will be required to comply with the trainee-hiring mandates of

SFMTA’s Employment Training Program. Please see Appendix 1 for detailed information.

G. Conflicts of Interest

The selected Contractor will be required to agree to comply fully with and be bound by the

applicable provisions of state and local laws related to conflicts of interest, including Section

15.103 of the City’s Charter, Article III, Chapter 2 of City’s Campaign and Governmental

Conduct Code, and Section 87100 et seq. and Section 1090 et seq. of the Government Code of

the State of California. The Selected Contractor will be required to acknowledge that it is

familiar with these laws; certify that it does not know of any facts that constitute a violation of

said provisions; and agree to immediately notify the City if it becomes aware of any such fact

during the term of the Agreement.

Individuals who will perform work for the SFMTA on behalf of the Selected Contractor

might be deemed consultants under state and local conflict of interest laws. If so, such

individuals will be required to submit a Statement of Economic Interests, California Fair Political

Practices Commission Form 700, to the City within ten calendar days of the City notifying the

Selected Contractor that the City has selected the Proposer.


http://www.workforcedevelopmentsf.org/businessservices/

mailto:[email protected]


SFMTA-2014-35 38 of 38 June 13, 2014

EAMS RFP Ver. 1

VIII. Protest Procedures

A. Protest of Non-Responsiveness Determination

Within five working days of the City’s issuance of a notice , the Proposer may submit a

written notice of protest of that determination. Such notice of protest must be received by the

City on or before the fifth working day following the City’s issuance of the notice of non-

responsiveness. The notice of protest must include a written statement specifying in detail each

and every one of the grounds asserted for the protest. The protest must be signed by an individual

authorized to represent the Proposer, and must cite the law, rule, local ordinance, procedure or

RFP provision on which the protest is based. In addition, the protestor must specify facts and

evidence sufficient for the City to determine the validity of the protest.

The SFMTA reserves the right to proceed with the selection process with the remaining

Proposals during the five-day protest period. SFMTA staff will suspend its selection process only

if the Director of Transportation or his designee determines the protest affirmed in favor of the

protester.

B. Protest of Contract Award

Within five working days of the City’s issuance of a notice of intent to award the Contract,

any Proposer that submitted a responsive Proposal and believes that the City has incorrectly

selected another Proposer for award may submit a written notice of protest. Such notice of

protest must be received by the City on or before the fifth working day after the City’s issuance

of the notice of intent to award.

The notice of protest must include a written statement specifying in detail each and every

one of the grounds asserted for the protest. The protest must be signed by an individual

authorized to represent the Proposer, and must cite the law, rule, local ordinance, procedure or

RFP provision on which the protest is based. In addition, the protestor must specify facts and

evidence sufficient for the City to determine the validity of the protest.

The SFMTA reserves the right to proceed in contract negotiations with the highest scored

Proposer during the five-day protest period. The SFMTA will suspend contract negotiation only

if the Director of Transportation or his designee determines the protest affirmed in favor of the

protester..

C. Delivery of Protests

All protests must be received by SFMTA on or before the cutoff date for submission, as

described above. If a protest is mailed, the protestor bears the risk of non-delivery within the

deadlines specified herein. Protests should be transmitted by a means that will objectively

establish the date the City received the protest. Protests or notice of protests made orally (e.g., by

telephone) will not be considered. Protests must be delivered via e-mail to:

[email protected]


SFMTA-2014-35 A-1 June 13, 2014

EAMS RFP Ver. 1

Appendix A

Standard Forms

Before the City can award any contract to a contractor, that contractor must file three standard

City forms (items 1-3 on the chart). Because many contractors have already completed these

forms, and because some informational forms are rarely revised, the City has not included them

in the RFP package. Instead, this Appendix describes the forms, where to find them on the

Internet (see bottom of page 2), and where to file them. If a contractor cannot get the documents

off the Internet, the contractor should call (415) 554-6248 or e-mail Purchasing

([email protected]) and Purchasing will fax, mail or e-mail them to the contractor.

If a contractor has already filled out items 1-3 (see note under item 3) on the chart, the

contractor should not do so again unless the contractor’s answers have changed. To find out

whether these forms have been submitted, the contractor should call Vendor File Support in the

Controller’s Office at (415) 554-6702.

If a contractor would like to apply to be certified as a local business enterprise, it must submit

item 4. To find out about item 4 and certification, the contractor should call the Contract

Monitoring Division at (415) 581-2319.

Item

Form name and

Internet location Form Description

Return the form

to;

For more info.

1.

Request for Taxpayer

Identification Number

and Certification

www.sfgov.org/oca/pu

rchasing/forms.htm

www.irs.gov/pub/irs-

fill/fw9.pdf

W-9 The City needs the contractor’s

taxpayer ID number on this

form. If a contractor has already

done business with the City,

this form is not necessary

because the City already has the

number.

Controller’s Office

Vendor File

Support

City Hall, Room

484

San Francisco,

CA 94102

(415) 554-6702

2.

Business Tax

Declaration


rchasing/forms.htm

P-25 All contractors must sign this

form to determine if they must

register with the Tax Collector,

even if not located in San

Francisco. All businesses that

qualify as “conducting business

in San Francisco” must register

with the Tax Collector.

Controller’s Office

Vendor File

Support

City Hall, Room

484

San Francisco,

CA 94102

(415) 554-6702

http://www.sfgov.org/oca/purchasing/forms.htm





SFMTA-2014-35 A-2 June 13, 2014

EAMS RFP Ver. 1

Item

Form name and

Internet location Form Description

Return the form

to;

For more info.

3.

S.F. Administrative

Code Chapters 12B

and 12C Declaration:

Nondiscrimination in

Contracts and Benefits


rchasing/forms.htm –

In Vendor Profile

Application

HRC-

12B-

101

Contractors tell the City if their

personnel policies meet the

City’s requirements for

nondiscrimination against

protected classes of people, and

in the provision of benefits

between employees with

spouses and employees with

domestic partners. Form

submission is not complete if it

does not include the additional

documentation asked for on the

form. Other forms may be

required, depending on the

answers on this form.

Contract-by-Contract

Compliance status vendors

must fill out an additional

form for each contract.

Contract

Monitoring

Division

30 Van Ness, Suite

200

San Francisco,

CA 94102

(415) 581-2310

4.

CMD LBE

Certification

Application


rchasing/forms.htm –

In Vendor Profile

Application

Local businesses complete this

form to be certified by CMD as

LBEs. Certified LBEs receive a

bid discount pursuant to

Chapter 14B when bidding on

City contracts. To receive the

bid discount, you must be

certified by CMD by the

Proposal due date.

Contract

Monitoring

Division

30 Van Ness, Suite

200

San Francisco,

CA 94102

(415) 581-2319

Where the forms are on the Internet

Office of Contract Administration

Homepage: www.sfgov.org/oca/

Purchasing forms: Click on “Required Vendor Forms” under the “Information for

Vendors and Contractors” banner.





http://www.sfgov.org/oca/


SFMTA-2014-35 A-3 June 13, 2014

EAMS RFP Ver. 1

City Administrator’s Contract Monitoring Division

Homepage: www.sfgsa.org

Click on “Departments, Divisions, Offices” on the left side, then

click on “Contract Monitoring Division” in the middle of the page.

Equal Benefits forms: Click on “Important Forms and Documents” under the “Equal

Benefits Compliance (12B)” header.

LBE certification form: Click on “Forms and Attachments for Prime Bidding on City

Contracts” under the “LBE Certification and Compliance” header.

http://www.sfgsa.org/


SFMTA-2014-35 B-1 June 13, 2014

EAMS RFP Ver. 1

Appendix B

Sample Agreement for Professional Services (Form P-500)

See Separate Document


SFMTA-2014-35 C-1 June 13, 2014

EAMS RFP Ver. 1

Appendix C

Attestation of Compliance

To be completed by all Proposing Firms and All Individual Subcontractors

(Please check each box, sign this form and submit it with your response.)

Name of individual completing this form:

The form is submitted on behalf of firm:

Name of RFP: [Enter the RFP Number]

1. I attest that I and all members of the firm listed above will and have complied to date

with Section [Insert Correct Sectn.SubSectn. Ref. (normally "VI.J")] of the above RFP. Yes

2. I understand that if my firm or any members of the firm listed above are found to be in

violation of Section [Insert Correct Sectn.SubSectn. Ref. (normally "VI.J")] of the above

RFP, this will disqualify my firm and any Proposal in which my firm is named from

further consideration. Yes

I have entered required responses to the above questions to the best of my knowledge and belief.

Signature:

Date:


SFMTA-2014-35 D-1 June 13, 2014

EAMS RFP Ver. 1

Appendix D


Certification Regarding Debarment, Suspension, and Other Responsibility Matters

By signing and submitting its Proposal, the Proposer or proposed subcontractor certifies as follows:

(1) (Proposer or Proposed Subcontractor Business Name)

certifies to the best of its knowledge and belief that it and its principals:

a. Are not presently debarred, suspended, proposed for disbarment, declared ineligible,

or voluntarily excluded from contracting with any federal, state or local governmental

department or agency;

b. Have not within a three-year period preceding the date of this Proposal been

convicted of or had a civil judgment rendered against them for commission of fraud

or a criminal offense in connection with obtaining, attempting to obtain, or

performing a public (federal, state or local) contract; violation of federal or state

antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification

or destruction of records, making false statements, or receiving stolen property;

c. Are not presently indicted for or otherwise criminally or civilly charged by a

governmental entity (federal, state, or local) with commission of any of the offenses

enumerated in paragraph (1)b of this certification; and

d. Have not within a three-year period preceding the date of this Proposal had one or

more public contracts (federal, state, or local) terminated for cause or default.

(2) Where the firm executing this RFP Appendix E is unable to certify to any of the statements

in this certification, such firm shall attach a detailed explanation of facts that prevent such

certification.

(3) The certification in this clause is a material representation on fact relied upon by the San

Francisco Municipal Transportation Agency (SFMTA).

As the authorized certifying official, I hereby certify that the above-specified certifications are true.

_____________________________________________________

Business Name

____________________________

Authorized Representative Name (print) Authorized Representative Title (print)

____________________________

Authorized Representative Signature Date


SFMTA-2014-35 E-1 June 13, 2014

EAMS RFP Ver. 1

Appendix E


Certification Regarding Lobbying

(Proposer or Proposed Subcontractor Business Name)

Certifies that it will not and has not paid any person or organization for influencing or attempting

to influence a member of the San Francisco Municipal Transportation (“SFMTA”) Agency

Board of Directors, or an officer or employee of the SFMTA in connection with the contract to

be awarded pursuant to this Request for Proposals, except as expressly authorized in this Request

for Proposals. The Proposer or proposed subcontractor submitting this certification shall also

disclose the name of any lobbyist registered under Article II of the San Francisco Campaign and

Governmental Conduct Code who has made lobbying contacts on its behalf with respect to the

contract to be awarded pursuant to this Request for Proposals.

This certification is a material representation of fact upon which reliance was placed for the

purposes of the SFMTA’s evaluation of Proposals and award of a contract pursuant to the

Request for Proposals. Submission of this certification is a prerequisite for submitting a Proposal

responsive to the Request for Proposals.

Following submission of Proposals with this signed certification, any firm who 1) pays any

person or organization for influencing or attempting to influence a member of the San Francisco

Municipal Transportation Agency Board of Directors, or an officer or employee of the SFMTA

in connection with the contract to be awarded pursuant to this Request for Proposals, except as

expressly authorized in the RFP, 2) fails to disclose the name of any lobbyist registered under

Article II of the San Francisco Campaign and Governmental Conduct Code who has made

lobbying contacts on its behalf with respect to the contract to be awarded pursuant to this

Request for Proposals, or 3) pays or agrees to pay to any SFMTA employee or official or to any

member of the selection panel or other person involved in the making of the contract on behalf of

the SFMTA any fee or commission, or any other thing of value contingent on the award of a

contract, will disqualify any Proposal in which that firm is named as a prime contractor, joint

venture partner or subcontractor from the selection process.


SFMTA-2014-35 E-2 June 13, 2014

EAMS RFP Ver. 1

By signing and submitting its Proposal, the Proposer or proposed subcontractor also certifies to

the SFMTA that the Proposer or proposed subcontractor has not paid, nor agreed to pay, and will

not pay or agree to pay, any fee or commission, or any other thing of value contingent on the

award of a contract to any SFMTA employee or official or to any member of the selection panel

or other person involved in the making of the contract on behalf of the SFMTA. As the

authorized certifying official, I hereby certify that the above-specified certifications are true.

Business Name

Authorized Representative Name (print) Authorized Representative Title (print)

Authorized Representative Signature Date


SFMTA-2014-35 F-1 June 13, 2014

EAMS RFP Ver. 1

Appendix F

SFMTA Resource List

1. www.sfmta.com - The San Francisco Municipal Transportation Agency’s website provides

a number of contextual resources:

a. http://www.sfmta.com/about-sfmta/sfmta-strategic-plan - Goals, milestones, long-

term and short-term planning, and governing documents of the SFMTA.

b. http://www.sfmta.com/projects-planning/planning/policies-processes - The

SFMTA is guided by a number of federal, state, regional and local polices that

help provide the direction for how we go about improving our transportation

system.

2. http://www.fta.dot.gov/13248.html - Federal Transit Administration (FTA) resource on

Transit Asset Management and State of Good Repair. FTA guidance and requirements is

highly relevant to SFMTA as FTA distributes the majority of federal MAP-21 funding to

SFMTA via the Metropolitan Transportation Commission.

3. http://www.apta.com/gap/fedreg/Pages/SafetySecurity.aspx - American Public Transit

Association (APTA) resource material relating to the FTA’s advance notice of proposed

federal rulemaking (ANPRM) regarding asset management and system safety.

4. http://www.assetmanagementstandards.com/index.html - Information on highly reference

asset management standards: PAS- 55 and ISO 55000 (underdevelopment).

5. https://www.fhwa.dot.gov/asset/ - Federal Highway Administration (FHWA) also

administers some MAP-21 funds which the SFMTA receives.

6. http://www.firsttimequality.com/Portals/72229/docs/FTA_15_QA-

QC_System_Requirements.pdf

This reference describes the fifteen elements itemized in the FTA guidelines for

consideration in a Quality Assurance Plan.

http://www.sfmta.com/

http://www.sfmta.com/about-sfmta/sfmta-strategic-plan

http://www.sfmta.com/projects-planning/planning/policies-processes

http://www.fta.dot.gov/13248.html

http://www.apta.com/gap/fedreg/Pages/SafetySecurity.aspx

http://www.assetmanagementstandards.com/index.html

https://www.fhwa.dot.gov/asset/

http://www.firsttimequality.com/Portals/72229/docs/FTA_15_QA-QC_System_Requirements.pdf

http://www.firsttimequality.com/Portals/72229/docs/FTA_15_QA-QC_System_Requirements.pdf


SFMTA-2014-35 G-1 June 13, 2014

EAMS RFP Ver. 1

Appendix G

Infor SaaS Technical Environment

Quantity Item Description

1 Core Infor EAM Enterprise Edition ASE, Version 11 Infor EAM Enterprise Edition Infor EAM EE Requestor Infor EAM EE Alert Management Infor EAM EE Asset Sustainability Infor EAM EE GIS Subscription

Infor EAM EE Web Services Toolkit Infor EAM EE Web Services Connector Infor EAM EE Advanced Reporting

50 Infor EAM EE Mobile licenses 30 Infor EAM EE Barcoding licenses 1 Infor EPAK Developer (training module)

200 Infor EPAK User licenses 20 Infor iProcure (purchasing module)


SFMTA-2014-35 H-1 June 13, 2014

EAMS RFP Ver. 1

Appendix H

Agile Methodology for EAMS

Agile methodology for business engagements

In order to ensure delivery of what is ultimately needed and to increase customer confidence in

the ability to deliver an acceptable result, SFMTA would prefer to use an iterative delivery

approach throughout our EAMS implementation.

The goal is to define a repeatable process for each Engagement, so that the steps taken for the

31st group will be as similar as possible to the predecessors. The exact steps would evolve from

interactions with the first few groups. Within a given deployment, the concept is work iteratively

with the group demonstrating working results they can review on a weekly basis. At the start of

each week prioritization would occur for unimplemented features to work down the list as time

permits.

In the time-constrained approach described in the Scope and Approach section of this document

it will be important to properly size each deployment and manage scope with full user

participation. Engagement teams would work at the location of the group they are working with,

and to hold a daily SCRUM meeting to quickly review with the entire Team progress, issues, and

goals for the day.

The Team would identify a list of features that need to be implemented and prioritize them

weekly. In any given week, the features being implemented will come from the top of the list.

The Team would meet weekly to demonstrate progress during that week and, where appropriate,

solicit input from users. Since these will often be back-end integrations, the “users” may not be

end users but other members of the EAMS implementation Team.


SFMTA-2014-35 I-1 June 13, 2014

EAMS RFP Ver. 1

Below is a potential joint staff organization chart to achieve the SFMTA’s goal to build an

integrated Project Team jointly staffed by SFMTA and Proposer’s staff as described in Section

I.A.3.

Appendix I

SFMTA Potential Joint Staffing Chart


SFMTA-2014-35 J-1 June 13, 2014

EAMS RFP Ver. 1

Appendix J

In-scope List of Business Units as Proposed Engagements

“Employees” = employees within the Business Unit who may bill to work orders

“Staff Users” = employees within the Business Unit who are users of the EAMS.

ASSET OWNERS

SFMTA Division: Transit; Section: Maintenance of Way

No Asset Owners Responsibility Employ- ees

Staff Users

Asset Types Maintained

Tentative Phase

1 Track Maintenance and Capital Improvements

Maintain and repair 82 miles of light rail vehicle track, track switches, and trackway roadbeds, subway rail systems, and vehicle maintenance and storage yards

55 8 Railway/Track: Trackwork

1

2 Overhead Lines

Inspect and maintain 450 miles of electric trolley and light rail overhead electric power distribution system, both subway and surface, 10K trolley poles on 24/7 basis

40 15 Traction Power: Overhead Catenary System

1

3 Motive Power Maintain the power control center and 38 electric transit substations on 24/7 basis

23 10 Facilities: Substations and Powerhouse

1

4 Digital Systems Shop

Maintain centralized subway communications and control systems, and control-center systems

12 5 Systems: Digital Systems

1

5 Electronics Shop

Maintain and repair vehicle fareboxes, radio system, and electronics on rail fleet on 24/7 basis

53 5 Systems: various

1

6 Video Shop Maintain and repair vehicle on-board security cameras

8 3 Video cameras and support equipment

1

7 Cable Car Machinery

Maintain and repair cable car machinery (cable and powerhouse)

50 10 Cable Car Machinery

1

8 Signal Shop Maintain and repair communications and signaling systems on 24/7 basis

28 10 Signals 1

9 Building and Grounds

Perform electrical, carpentry, locksmith, landscape, plumbing, and plant maintenance engineering services on facilities incorporating 2 million sq. ft. 24/7

65 15 Facilities: Buildings

1

10 Custodial Unit Maintain and Provide cleaning services to 13 bldgs, 9 subways, and 23 operator restrooms 24/7


1


SFMTA-2014-35 J-2 June 13, 2014

EAMS RFP Ver. 1

SFMTA Division: Transit; Section: Trolley Coach Maintenance


Staff Users


Tentative Phase

11 Presidio Trolley

Vehicle Maintenance for electric trolley coaches

40 10 Vehicles: Revenue: Trolley Bus

3

12 Portrero Trolley

Vehicle Maintenance for electric trolley coaches


3

SFMTA Division: Transit; Section: Diesel/Hybrid Bus Maintenance


Staff Users


Tentative Phase

13 Flynn Motor Coach

Vehicle Maintenance for diesel motor coaches

55 10 Vehicles: Revenue: 60-ft articulated Bus

3

14 Woods Motor Coach


100 20 Vehicles: Revenue: Bus

3

15 Kirkland Motor Coach



3

16 Islais Motor Coach



3

SFMTA Division: Transit; Section: Rail Vehicle Maintenance


Staff Users


Tentative Phase

17 Green Heavy Duty

Vehicle heavy duty repairs and rebuilds

10 5 Vehicle: Revenue: Light Rail Vehicle

3

18 Green LRV Vehicle Maintenance for light rail vehicles, parts rebuild, and heavy duty shop.

50 10 Vehicles: Revenue: Light Rail Vehicle

3

19 Metro East LRV

Vehicle maintenance for light rail vehicles

25 5 Vehicles: Revenue: Light Rail Vehicle

3

20 Geneva Yard Historic Rail

Vehicle Maintenance for historic streetcars

15 5 Vehicles: Revenue: Historic Rail

3

21 Cable Car Maintenance

Vehicle Maintenance and rebuild for cable cars

40 5 Vehicles: Revenue: Cable Car

3


SFMTA-2014-35 J-3 June 13, 2014

EAMS RFP Ver. 1

SFMTA Division: Transit; Section: Fleet Appearance and Body and Paint


Staff Users


Tentative Phase

22 Trolley Transit Vehicle cleaning interior and exterior


3

23 Motor Coach Transit Vehicle cleaning interior and exterior


3

24 Rail Transit Vehicle cleaning interior and exterior


3

25 Body and Paint Transit vehicle body shop and paint shop


3

SFMTA Division: Transit; Section: Non-Revenue Vehicles


Staff Users


Tentative Phase

26 Scott Division Non-revenue vehicle maintenance 15 5 Vehicles: Non-Revenue

3

SFMTA Division: Sustainable Streets; Section: Livable Streets


Staff Users


Tentative Phase

27 Bicycle Bicycle facility planning 5 1 TBD 2

28 Pedestrian Pedestrian facility planning 5 1 TBD 2

SFMTA Division: Sustainable Streets; Section: Field Operations


Staff Users


Tentative Phase

29 Meter Shop Install, maintain, repair >28K parking meters

15 5 Parking: Meters 2

30 Sign Shop Install, maintain, repair >400K traffic signs

25 5 Signs 2

31 Paint Shop Install, maintain, repair roadway and curb paint for transit, pedestrian, traffic, and parking facilities

25 5 Curb and road surface markings

2

SFMTA Division: Sustainable Streets; Section: Transportation Engineering


Staff Users


Tentative Phase

32 Traffic Signal Shop

Install, program, inspect and maintain traffic signals

25 5 Traffic Signals 2

33 SFGO and Transit Engineering

Real-time video monitoring of traffic conditions and traffic signal control in pilot areas.

12 6 Traffic cameras, information signs, sensors

2


SFMTA-2014-35 J-4 June 13, 2014

EAMS RFP Ver. 1

SFMTA Division: Sustainable Streets; Section: Off-Street Parking


Staff Users


Tentative Phase

34 Off-Street Parking

Contracts and operations for parking lots and structures

8 8 Parking facilities/infrastructure

SFMTA Division: FIT; Section: Technology and Performance


Staff Users


Tentative Phase

35 IT Infrastructure

Install, monitor and maintain servers, network, PCs and mobile devices; manage work-orders with DT for maintenance of facilities cameras and other IT assets

35 20 IT Network Systems

TBD

OTHER ENTERPRISE CLIENTS

SFMTA Division: FIT; Sections: Contracts and Procurement, Finance, Real Estate

No Other Enterprise

Clients

Responsibility Employ- ees

Staff Users

Asset Types Affected

Tentative Phase

36 C&P: Materials Management

Inventory management, parts storekeeping

14 14 Asset/Parts Inventory Mgmt

1

37 C&P: Purchasing

Procurement of asset parts and services

15 15 Asset/Parts Procurement

1

38 FIT: Accounts Receivable

Invoice payment for parts and services 10 10 Asset/Parts payments

1

39 FIT: Capital Finance

Develop strategic funding plans Asset renewal and replacement

2

40 FIT: Real Estate

Space planning, tenant improvements, property development


TBD


SFMTA-2014-35 J-5 June 13, 2014

EAMS RFP Ver. 1

SFMTA Division: Sustainable Streets; Section: Transportation Engineering

No Other Enterprise

Clients


Staff Users


Tentative Phase

41 Special Projects/ Street Use

Design and specification of assets related to traffic management

4 2 TBD 2

42 Construction Traffic Routing

Permits special traffic permits for construction

2 1 TBD 2

43 Traffic Management

Plan facility changes to traffic signs, signals and traffic infrastructure

15 5 Traffic Signs, Traffic Signals

2

SFMTA Division: Sustainable Streets; Section: Strategic Planning and Policy

No Other Enterprise

Clients


Staff Users


Tentative Phase

44 Strategic Planning

Agency-wide Transit Asset Management (TAM) and SOGR reporting to external agencies

10 3 All/SOGR 2

SFMTA Division: Director of Transportation

No Other Enterprise

Clients


Staff Users


Tentative Phase

45 Central Subway Program

Construction of a 1.6-mile rail extension, associated systems, and one surface and three station stops from 4

th and King to Chinatown

20 2 All/SOGR 3

TBD BUSINESS UNITS

Allowance for Additional Business Units which may be identified

No Other Enterprise

Clients


Staff Users


Tentative Phase

46 TBD TBD TBD TBD TBD TBD

47 TBD TBD TBD TBD TBD TBD

48 TBD TBD TBD Assume 2

TBD TBD


SFMTA-2014-35 K-1 June 13, 2014

EAMS RFP Ver. 1

Appendix K

Sample Business Process Workflow


SFMTA-2014-35 L-1 June 13, 2014

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Appendix L

Transportation Asset Classifications and Counts

The City’s transportation system is an intricate web of street, transit, bicycle, and pedestrian

mobility networks. The SFMTA has inventoried its major capital assets for efforts that include

capital planning, operational planning, and asset reporting purposes.

The inventory contains approximately 3,700 line items, summarized in the table below. The

Capital Asset Inventory is not currently comprehensive of all Agency assets; it currently only

tracks major assets within the following ten classifications:

1. Facilities

2. Light Rail Vehicles

3. Motor Coach Vehicles

4. Other systems and

Vehicles

5. Overhead

6. Parking and Traffic

7. Stations

8. Track

9. Train Control and

Communications

10. Trolley Coach Vehicles

The inventory is known not to include component parts that will be tracked in the Parts Inventory

module of the EAM system nor capital assets related to biking, walking, and taxis. Note that of

the individual line items in the Inventory, some line items represent multiple assets (e.g., a fleet

of 505 Hybrid/Diesel Buses) while other line items reflect a subcomponent of a single major

asset (e.g. a building is represented as multiple assets – Building roof, Building Foundation,

Building electrical, etc.).

The Table below provides a summary of San Francisco’s Transportation Assets. This data is for

baseline informational overview purposes only and does not precisely represent the current or

future transit assets of the Agency.

At current, the inventory is completely tabular, non-spatial, and contains limited hierarchical

relationships and location data. However, to meet long term goals, the inventory design should

be capable of storing spatial information as well as hierarchical relationship information for each

asset.

Examples of San Francisco’s Transportation Assets (SFMTA Assets)

ASSET TYPE Count Units

Revenue Vehicles

Hybrid/Diesel Buses 505 Each

Trolley Buses 311 Each

Cable Cars 42 Each

Historical Streetcars 94 Each


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Paratransit Vehicles 20 Each

Light Rail Vehicles 151 Each

Fixed Guideway

Light Rail System (Track and Overhead System) 72.2 Directional

Miles

Trolley Bus Overhead System 121.2 Directional

Miles

Cable Car Tracks 8.8 Miles

Non-Revenue Vehicles

Non-Revenue Vehicles 1,272 Each

Facilities and Stations

Subway Stations 9 Each

Surface Light Rail Stations 136 Each

Station Elevators 12 Each

Station Escalators 28 Each

Facilities (Operations, Maintenance, and Administrative) 19 Each

Facilities Square Feet (Inventoried Assets Only) 2,059,280 Sq. Feet

Fare Collection Vending Machines 40 Each

Turnstiles in Stations 98 Each

Parking and Traffic

Garage and Lots 40 Each

Meters 28,862 Each

Streets and Signals

Miles of Streets 940 Miles

Street Signs 281,700 Each


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Traffic Signals 1,193 Each

Bicycling

Bike Path Miles 208 Miles

Bicycle Racks 3,060 Each

Bicycle Sharing Stations 35 Each

Number of Bicycles Available 350 Each


SFMTA-2014-35 M-1 June 13, 2014

EAMS RFP Ver. 1

Appendix M

Interfaces to Other Software Systems

As the key system for tracking all assets and work on these assets, the SFMTA requires that the

EAM system be integrated with a number of existing software systems. Below please find a

general data flow diagram.

Vendor Info

Timesheet/Attendance

eMerge

Capital Assets

FAACS (FAMIS)

Payroll

FAMIS

Miscellaneous Costs

EAMS

General Ledger

FAMIS

Accounts Payable

FAMIS

Work Management

EAMS

Materials Processing

EAMS

Invoicing

ADPICS (FAMIS)

Vendors

ADPICS (FAMIS)

Procurement

ADPICS (FAMIS)

BizTalk web services/

Consolidator

Supplier InfoInvoice Item

Matching

Invoice AccrualsInvoices

Receipts Accruals

Materials-relatedData Interchange

Replenishment

MaterialsRequired

Hours/Costs

PayrollCosts

AcquisitionCosts

AssetData

Capital Projects

CPCS

Chart ofAccounts

Rentals/Services/

Vendors, etc.Work Costs

Asset Inventory

EAMS

MaterialTransactions

Issues/Adjustments

Non-stockMaterials required/Services Required

MiscellaneousResourcesRequired

HoursWorked

HoursAvailable

Operations

Fleetwatch

Trapeze

Receipts

Chart ofAccounts

DetailedAsset Data

BizTalk w

eb services

BizTalk web services

BizTalk w

eb services

BizTalk web services

SHOPS VMI


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Key Integrations:

A. Enterprise Service Bus (ESB) – Data Integration

The SFMTA is embarking on a general effort to standardize all system interfaces into one

enterprise service bus which will coordinate data transfer between systems and provide machine

to machine updates of all electronic records. As this system comes into place, the new EAM

system will use this central repository of data connections and standardized data schemas to

transfer any relevant data across systems. This system will be initiated in 2014 and will be built

out in conjunction with the EAM system deployment.

The following figure shows the basic architecture of the integrated systems:

Basic Integration Architecture


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B. FAMIS/FAACS/ADPICS

SFMTA utilizes the City Controller’s FAMIS (Financial Management Information System) to

manage financial, accounting, inventory and purchasing transactions. Relevant modules in

FAMIS include Advanced Purchasing and Inventory Control System (ADPICS) as well as Fixed

Asset Accounting and Control System (FAACS). Transactions involving materials and services

will be interfaced to ADPICS, while asset statuses will update FAACS. Both of these interfaces

will be developed through the Enterprise Service Bus.

The interface between the new EAMS system and the financials application will be developed so

that all materials and services costs can be automatically reflected in each system as shown in

below:

Purchasing will be migrated as part of phase 1 and as such will have a new interface between

ADPIC/FAMIS and EAMS defined in the ESB.

New EAMS and ADPICS Interim Interface


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C. SPEAR/SHOPS

The SPEAR/SHOPS system is currently used to manage materials and vehicle maintenance. The

SPEAR system is a mature product, supported but no longer developed further by the principal

vendor; hence, there are no new software versions or enhancements available to upgrade the

currently used system. An interface must be developed between the SPEAR system and the new

EAMS to allow proper material transaction and costing to be reflected in the new EAMS. The

interface between the two applications will be a one-way interface, namely stock inventory levels

and transactions from SPEAR to the new EAMS. This is reflected in the diagram below.

Material requests will continue to be processed as they are currently done. This way, only a

batch process or trigger will need to be developed to update the appropriate tables in the new

EAMS with no modifications or additions performed on the SPEAR application.

New EAMS and SPEAR/SHOPS Interface

D. FLEETWATCH

The Fleetwatch application captures vehicle fuel and fluid consumption and mileages.

Fleetwatch data will be copied to the new EAMS daily through an interface to the ESB or

directly from Fleetwatch to EAM.

E. eMerge

EMerge is a time-keeping application system that is tightly linked to payroll. Personnel

schedules will be imported into the new EAMS through an interface that will also be developed;

the schedules will populate the appropriate tables and form the basis for work scheduling. Work

hours for each person for each work order will be recorded in the new EAMS and interfaced to

the ESB for upload to the timekeeping systems.


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F. 311: General Interface for Work Order Requests

Other City departments, such as 311, need to send work requests to SFMTA for asset

maintenance and receive status updates on these requests.

G. General Interface for Vehicle Status:

A number of SFMTA systems require a current vehicle list with status and publishing a general

vehicle list will be subscribed to by various applications.

H. Other Systems

There are a number of real-time command and control system assets, which are Agency high-

value critical assets, to be captured in EAM. The potential exists that these systems produce

operational data, which may be appropriately captured by the EAM in order to evaluate asset

performance. By way of example, these systems include but are not limited to:

Radio Communications

Motive Power SCADA

Subway Ventilation

Advanced Train Control

Building Control and Security Systems

The SFMTA is implementing an Enterprise Service Bus (ESB) or integration server to connect

some software systems throughout the Agency. This system will be the primary interface for the

EAMS and will act as an intermediate system to connect data from and to EAM

with FAMIS/ADPICS, Trapeze, Radio System, and other systems. The ESB will communicate

via web services and perform the data transformations necessary to supply each system with

correctly structured and accurate data.


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Interface Summary List

The above systems and others are listed below in a summarized list.

Integration Description Technology

FAMIS Purchasing (ADPICS)

Financial system maintained by the Controller's Office - system for issuing all Purchase Orders and payment of Invoices

HostBridge - Web Service API for all interactive transactions (writing records), and flat file export for data synchronization (reading records)

FAMIS Accounting

Inventory Value HostBridge - Web Service API for all interactive transactions (writing records), and flat file export for data synchronization (reading records)

FAMIS FAACS (Fixed Asset Accounting and Control System)

Asset list and status Flat file export for data synchronization

VMI (Railsys) All storekeeping functions for vendor maintained inventory for rail vehicles

API supplied by Vendor (Alstom)

Spear4i (SHOPS) Temporary interface to existing asset management system to synchronize during Project phasing

Need to coordinate data exchange while both systems are live

LAGAN 311 Citywide customer service portal (work requests)

Existing Web Services Hub with APIs built on Oracle WebLogic, maintained by 311

Sfpark Data Warehouse

Parking Space Inventory - asset list and status to Sfpark data warehouse

Create a new Web Service to be consumed by Sfpark

Vehicles Interface

Generalized web services export for vehicles and status

Create a new Web Service to be used by internal applications like Trapeze, Central Control Log (incident management), Radio System

Capital Program Controls System (CPCS)

Capital projects spending by grant / fund - Refurbishment Programs for Assets among others

Fund balances will update through FAMIS interface (see above)

Fleetwatch Vehicle mileage and fluid usage (diesel, oil, coolant)

Currently fixed file format produced daily by Fleetwatch


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EAMS RFP Ver. 1

GPS-based Mileage for Cable Car

Mileage for Cable Cars based on GPS tracking (internal SFMTA code)

Fixed file format produced by custom code (SFMTA)

eMerge Timekeeping system for payroll

Fixed file format sent every pay period (biweekly)

SF Parking Management system (SFPM)

Asset inventory and work orders in

Vendor-based system (SERCO) developed on EAM APIs

Radio Project Radio assets and maintenance work, incident management

Xerox product suite - database interface

Power SCADA Export asset list and status from SCADA to EAM periodically

Proprietary system reports

Advanced Train Control System

Export asset list and status from ATCS to EAM periodically

Proprietary system reports

GIS Enterprise GIS layers Export view in Database to GIS system with geospatial data (Oracle 11g)


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CITY AND COUNTY OF SAN FRANCISCO

MUNICIPAL TRANSPORTATION AGENCY

SMALL BUSINESS ENTERPRISE PROGRAM

FOR PROFESSIONAL AND TECHNICAL SERVICES

REQUEST FOR PROPOSALS (RFP)

FOR

RFP No. SFMTA-2014-35

SFMTA ENTERPRISE ASSET MANAGEMENT SYSTEM PROFESSIONAL SERVICES

CCO NO. 14-1302

FTA FUNDED

SAN FRANCISCO MUNICIPAL TRANSPORTATION AGENCY

Appendix 1


i

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SAN FRANCISCO MUNICIPAL TRANSPORTATION AGENCY SMALL BUSINESS ENTERPRISE PROGRAM REQUIREMENTS

ARCHITECTS, ENGINEERS, PLANNERS, ENVIRONMENTAL SCIENTISTS AND OTHER

PROFESSIONAL SERVICES

FOR FEDERALLY-FUNDED PROJECTS

SECTION CONTENTS PAGE I. POLICY SBE - 1 A. Applicability SBE - 1 B. Objectives SBE - 1 C. Administration of Program SBE - 2 D. Prohibited Discrimination SBE - 2 E. Non-Discrimination in Employment SBE - 2 II. DEFINITIONS SBE - 3 A. Small Business Enterprise (SBE) SBE - 3 B. Contractor SBE - 3 III. SBE PARTICIPATION AND SUBCONSULTING REQUIREMENTS SBE - 3 A. SBE Participation Goal SBE - 3 B. SBE Income Thresholds For Certain Types of Contracts SBE - 4 C. SBE Participation SBE - 4 1. Nature of SBE Participation SBE - 5 2. Function SBE - 5

3. Determining the Amount of SBE Participation SBE - 5 a. SBE Prime Consultant SBE - 5

b. SBE Subconsultant SBE - 5 c. SBE Joint Venture Partner SBE - 5 d. SBE Regular Dealer SBE - 6

e. Other SBEs SBE - 6 f. Materials or Supplies SBE - 6

D. Meeting the SBE Participation Goal SBE - 6

E. Submission of Certification for SBEs SBE - 6


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F. DBE Financial Institutions SBE - 7


iii

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SECTION CONTENTS PAGE

IV. TRAINEES – San Francisco Municipal Transportation Agency (SFMTA) Employment Training Program SBE - 7

V. EVALUATION OF PROPOSALS SBE - 8 A. CCO Evaluation SBE - 10 1. Evaluation of Proposals SBE - 10 2. Determination of Amount of SBE Participation SBE - 10 3. Evaluation of SBE Certification Status SBE - 10 4. Good Faith Efforts SBE - 10 B. Recommendation for Award of Contract SBE - 12 1. SFMTA CCO’s Recommendation for Award SBE - 12 C. Successful Proposer SBE - 12 1. Contract Assurances SBE - 12 2. Substitution of Subconsultants and Suppliers SBE - 13 3. Addition of Subconsultants and Suppliers SBE - 13 3. Prompt Payment to Subconsultants SBE - 13 5. Reporting Requirements SBE - 13 D. Administrative Remedies SBE - 14 1. Monitoring SBE Participation SBE - 14 2. Enforcement Mechanisms SBE - 14

E. Confidentiality SBE - 14

VI. SUBMISSION OF FORMS AND INSTRUCTIONS SBE - 15

A. REQUIRED FORMS SBE - 15

B. FORMS SUBMITTED WITH PROPOSAL SBE - 16

SFMTA SBE Form No. 1 – Consultant/Joint Venture Partner and Subconsultant Participation Report (See Page SBE-19)


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SECTION CONTENTS PAGE B. FORMS SUBMITTED WITH PROPOSAL SBE - 17 (CONTINUED)

SFMTA SBE Form No. 2 – SBE Consultant

Participation – Good Faith Efforts (See Page SBE-20)

SFMTA SBE Form No. 2A – Bidders List (See Page SBE-22)

SFMTA SBE Form No. 2B –SBE Consultant/Joint Venture

Partner/Subconsultant –Gross Revenue Declaration (See Page SBE-23)

SFMTA SBE Form No. 3 – Questionnaire on

Recruitment, Hiring, and Training Practices for Contractors (See Page SBE-25)

SFMTA SBE Form No. 4 – SBE Subconsultant

Participation Declaration (See Page SBE-31)

SFMTA SBE Form No. 5 – Small Business Enterprise Acknowledgment Declaration (See Page SBE-32)

SCHEDULE B – IF APPLICABLE

C. FORMS SUMITTED AT POST-AWARD SBE - 17

SFMTA SBE Form No. 6 – Progress Payment Report (See Page SBE-34)

SFMTA SBE Form No. 7 - Subconsultant Payment

Declaration (See Page SBE-36)

SFMTA SBE Form No. 8 – Amendment/Modification Declaration Professional Services and Construction Contracts (See Page SBE-38)

SFMTA SBE Form No. 9 – Contractor Exit Report and

Declaration (See Page SBE-40)


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SBE - 1

SAN FRANCISCO MUNICIPAL TRANSPORTATION AGENCY Small Business Enterprise Program Requirements

Architects, Engineers, Planners, Environmental Scientists and Other Professional Services

I. POLICY

The San Francisco Municipal Transportation Agency (SFMTA) is committed to a Small Business Enterprise (SBE) Program (“Program”) for the participation of SBEs in contracting opportunities in accordance with the federal regulations in 49 CFR Part 26, issued March 4, 1999, as amended from time to time (the “Regulations”). The Regulations are incorporated into this Program as though fully set forth herein. It is the intention of the SFMTA to create a level playing field on which SBEs can compete fairly for contracts and subcontracts relating to the procurement and professional services activities of the SFMTA.

A. Applicability

Under 49 CFR Sections 26.3 and 26.51, and in response to the Federal Transit Administration's ("FTA") March 23, 2006, publication of the Department of Transportation's ("DOT") guidance concerning the federal Disadvantaged Business Enterprise (“DBE”) program that applies to grant recipients within the Ninth Circuit, the SFMTA, a recipient of federal financial assistance from the FTA, is required to implement race-neutral means of facilitating DBE participation. The SFMTA's SBE Program is in accordance with DOT's guidance that, absent a disparity study, the SFMTA must meet its overall annual DBE goal using race-neutral means. This Program applies to the following types of SFMTA contracts that are funded, in whole or in part, by DOT financial assistance: Construction – Building, Heavy; Construction – Dredging and surface Cleanup; Construction (specialty trades); General Freight Trucking; Hazardous Waste Collection, Trucking: Remediation; Testing Labs; Computer Programming and Design; Architecture and Engineering Services; Surveying and Mapping; Drafting (design services); Landscape Architecture; Building Inspection; Machinery and Equipment Rental (construction); Merchant Wholesalers, Durable Goods; Public Relations; and Telecommunications.

B. Objectives

The objectives of this program are to: 1. Remove barriers to SBE participation in the bidding, award and administration

of SFMTA contracts;

2. Assist SBEs to develop and compete successfully outside of the Program;

3. Ensure that the Program is narrowly tailored in accordance with 49 CFR Part 26;

4. Ensure that only SBEs meeting the eligibility requirements are allowed to participate as SBEs;


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SBE - 2

5. Identify business enterprises that are qualified as SBEs and are qualified to

provide SFMTA with required materials, equipment, supplies and services; and to develop a good rapport with the owners, managers and sales representatives of those enterprises;

6. Develop communications programs and procedures which will acquaint prospective SBEs with SFMTA's contract procedures, activities and requirements and allow SBEs to provide SFMTA with feedback on existing barriers to participation and effective procedures to eliminate those barriers; and

7. Administer the Program in close coordination with the various divisions within SFMTA so as to facilitate the successful implementation of this Program.

C. Administration of Program

The Director of Transportation of the SFMTA is responsible for adherence to this policy. The Contract Compliance Office (CCO) shall be responsible for the development, implementation and monitoring of this program. All SFMTA personnel shall adhere to the provisions and the spirit of the program. Virginia Harmon, Senior Manager of Contracts and Procurement, is the DBE Liaison Officer (DBELO) for the SFMTA, located at 1 So. Van Ness Avenue, 6th Floor, San Francisco, CA 94103, telephone number (415) 701-4404, electronic mail address [email protected].

D. Prohibited Discrimination

SFMTA does not exclude persons from participation in, deny benefits to, or otherwise discriminate against any persons in connection with the award and performance of any contract governed by the Regulations on the basis of race, color, sex or national origin. The City and County of San Francisco also prohibits discrimination on the fact or perception of a person’s race, color, creed, religion, national origin, ancestry, age, sex, sexual orientation, gender identity, domestic partner status, marital status, disability or Acquired Immune Deficiency Syndrome or HIV status (AIDS/HIV status). SFMTA does not directly or through contractual or other arrangements, use criteria or methods of administration that have the effect of defeating or substantially impairing accomplishment of the objectives of this program with respect to individuals in the groups or categories or having the characteristics listed above. SFMTA has signed the federal assurances regarding non-discrimination required under 49 CFR Section 26.13.

E. Non-Discrimination in Employment

SFMTA will evaluate the Proposer’s response to the Questionnaire on Recruitment, Hiring, and Training Practices (SFMTA SBE Form No. 3) to determine whether the Proposer is in compliance with the Nondiscrimination Requirements.



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SBE - 3

Should SFMTA deem it necessary, the SFMTA will seek a written commitment from the Proposer to use good faith efforts to provide equal employment opportunities during the term of the contract. One measure of such a commitment would be comparing utilization of women and minorities with the relevant labor market in order to improve parity between the composition of the Proposer’s workforce and the available labor market. The Proposer may be required to provide the SFMTA with the relevant data regarding its labor market.


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SBE - 4

II. DEFINITIONS Any terms used in this Program shall have the meaning set forth below:

A Small Business Enterprise (SBE) An SBE is a for-profit, small business concern with a three (3) year average gross revenue that do not exceed the thresholds set forth in Section III.B and either: 1) is certified under any of the following programs: the State of California's Small Business Program with the Department of General Services ("State Program"), the City and County of San Francisco's LBE Program ("City Program"), or the California Unified Certification Program (“Federal DBE program”), or 2) has received written confirmation from CCO that it meets the SFMTA’s program eligibility requirements.* *Please note that firms not certified under one of the identified programs must submit a Small Business Verification Form to CCO in order to be determined eligible to meet the SBE Program requirements (i.e., the three-year average gross revenues do not exceed the thresholds in Section III.B). Failure to do so may result in the firm’s work not being counted toward the established SBE goal. In addition, professional services firms certified under the State Program should contact CCO in order to verify that their three-year average gross revenues do not exceed the appropriate size standard for the type of work the firm seeks to perform. Contact Sheila Evans-Peguese at [email protected] or (415) 701-4436 to obtain a Small Business Verification Form.

B. Contractor The term "Contractor" includes consultants.

III. SBE PARTICIPATION AND SUBCONTRACTING REQUIREMENTS A. SBE Participation Goal

The Contract Compliance Office has established a ten percent (10%) Small Business Enterprise participation goal for this contract. Small business firms may qualify for this program by enrollment in either the State of California's Small Business Program with the Department of General Services (“State Program”), the California Unified Certification Program with a U.S. Department of Transportation recipient (“Federal DBE program”), or the City and County of San Francisco's LBE program with the San Francisco General Services Agency (“City Program”). This SBE goal will apply to the following types of contracts or scope of work in the contract: Architecture and Engineering Services (to include professional and technical services), Computer Programming and Design, Drafting (design services); Landscape Architecture; Building Inspection; Public Relations; Telecommunications; Merchant Wholesalers, Durable Goods, and Machinery and Equipment Rental (construction) ("SBE Work".) To be determined responsive, a Proposer must demonstrate in its submittal that it will meet this goal in the performance of this contract; or if it is unable to meet the goal, the



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SBE - 5

Proposer must submit documentation (SFMTA SBE Form No. 2 – SBE Consultant/Subconsultant – Good Faith Efforts) with its Proposal that it performed good faith efforts, prior to submission of the bid or Proposal, to meet this goal. A Proposer that is not responsive shall be ineligible for award of the contract.

If no goal has been set for this contract, SFMTA encourages Proposer to use good faith efforts to solicit SBEs for this contract if available. NOTE: Website links for finding Certified DBEs/SBEs/LBEs: ● Certified Disadvantaged Businesses Enterprises (“Federal DBE Program”) http://www.dot.ca.gov/hq/bep/find_certified.htm ● Certified Small Businesses Enterprises (“State Program”) http://www.bidsync.com/DPXBisCASB ● For Certified SF GSA Local Business Enterprises (“City Program”) http://mission.sfgov.org/hrc_certification/ Contact Sheila Evans-Peguese at (415) 701-4436 should you need assistance with accessing the databases.

B. SBE Income Thresholds For Certain Types of Contracts

The total average gross revenue thresholds for the past three years must not exceed the current SBA business size standard appropriate to the type(s) of work the firm seeks to perform as set forth below. Even if it meets the appropriate SBA size standard, a firm is not eligible if it (including its affiliates) has had average annual gross receipts over the firm's previous three fiscal years, in excess of $22.41 million. 1. Engineering Services $14.0 Million 2. Surveying and Mapping $14.0 Million 3. Public Relations Agencies $14.0 Million 4. Drafting $7.0 Million 5. Architectural Services $7.0 Million 6. Merchant Wholesalers $22.41 Million

and no more than 100 employees

The Proposer must collect and submit to SFMTA with its Proposal the SBE Consultant/Joint Venture Partner/Subconsultant Gross Revenue Declaration(s) (SFMTA SBE Form No. 2B) from all potential SBE participants listed on its SFMTA SBE Form No. 1. Each SBE must declare that its total average gross revenues for the past three years are equal to or below the income threshold for that specific category of the contract. For more information about SBA size standards or if your firm’s work category does not appear on the list above, please contact CCO or refer to the SBA’s webpage: http://www.sba.gov/content/table-small-business-size-standards

http://www.dot.ca.gov/hq/bep/find_certified.htm

http://www.bidsync.com/DPXBisCASB

http://mission.sfgov.org/hrc_certification/

http://www.sba.gov/content/table-small-business-size-standards


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SBE - 6

C. SBE Participation

The SFMTA requires the prime contractor to make every good faith effort to include SBEs to perform meaningful work in all aspects of the Project. To accomplish these efforts, the following guidance is provided:


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SBE - 7

1. Nature of SBE Participation SBE participation includes contracts (other than employee contracts) with SBEs for any goods or services specifically required for the completion of the SBE Work. An SBE may participate as a prime contractor, subcontractor, joint venture partner with a prime contractor, or a supplier of other services, e.g., machinery/equipment rental, to fulfill the SBE goal for the SBE Work.

2. Function An SBE must perform a commercially useful function, i.e., must be responsible for the execution of a distinct element of work and must carry out its responsibility by actually performing, managing and supervising the work. However, an SBE may contract out a portion of the work if it is considered to be a normal industry practice. If an SBE Consultant subcontracts a significantly greater portion of the work of the contract than would be expected on the basis of normal industry practices, the SBE shall be presumed not to be performing a commercially useful function.

3. Determining the Amount of SBE Participation.

The prime contractor shall determine the amount of SBE participation for each SBE performing work on the contract in terms of both the total value of the individual SBE work in dollars and the percentage of the total contract bid price for the SBE Work. The prime contractor shall achieve the SBE participation goal specified for the entire SBE Work, including any amendments to the SBE Work.

a. SBE Prime Consultant

Count the entire dollar amount of the work performed or services provided by the SBE’s own forces, including the cost of materials and supplies obtained for the work and the reasonable fees and commissions charged for the services. Do not count any work subcontracted to another firm as SBE participation by the SBE Prime Consultant.

b. SBE Subconsultant

Count the entire amount of the work performed or services provided by the SBE’s own forces, including the cost of materials and supplies obtained for the work (except for materials and supplies purchased or leased from the prime contractor or supplier) and reasonable fees and commissions charged for the services. Do not count any work subcontracted by an SBE subconsultant to another firm as SBE participation by said SBE subconsultant. If the work has been subcontracted to another SBE, it will be counted as SBE participation by that other SBE.

c. SBE Joint Venture Partner

Count the portion of the work that is performed solely by the SBE’s forces or if the work is not clearly delineated between the SBE and


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SBE - 8

the joint venture partner, count the portion of the work equal to the SBE’s percentage of ownership interest in the joint venture.

d. SBE Regular Dealer

Count 60% of the costs of materials and supplies obtained from an SBE regular dealer that owns, operates or maintains a store or warehouse in which the materials and supplies are regularly bought, kept in stock and sold or leased to the public in the usual course of business. This applies whether an SBE is a prime contractor or subcontractor/subconsultant.

e. Other SBEs

Count the entire amount of fees or commissions charged for assistance in procuring or delivering materials and supplies when purchased from an SBE that is not a manufacturer or regular dealer. Do not count the cost of the materials and supplies.

f. Materials or Supplies

Count expenditures with SBEs for materials or supplies toward SBE goals as provided in the following:

(1) If the materials or supplies are obtained from an SBE manufacturer, count 100 percent of the cost of the materials or supplies toward SBE goals

(2) For purposes of this paragraph (f)(1), a manufacturer is a firm that operates or maintains a factory or establishment that produces, on the premises, the materials, supplies, articles, or equipment required under the contract and of the general character described by the specifications.

(3) If the materials or supplies are purchased from an SBE regular dealer, count 60 percent of the cost of the materials or supplies toward SBE goals.

(4) For purposes of this section, a regular dealer is a firm that owns, operates, or maintains a store, warehouse, or other establishment in which the material, supplies, articles or equipment of the general character described by the specifications and required under the contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business.

D. Meeting the SBE Participation Goal

By submitting SFMTA SBE FORM No. 1 – CONSULTANT/JOINT VENTURE PARTNER AND SUBCONSULTANT PARTICIPATION REPORT, a proposer certifies that it is committed to using the identified SBEs in the performance of the contract. Detailed instructions for completing this and other required forms are found in Part VI.

E. Submission of Certification for SBEs


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1. Prime contractors and subcontractors must be either be: 1) certified under the

State Program, City Program, or the Federal DBE Program, or 2) determined eligible by CCO on the proposal/bid due date to qualify to meet the SBE goal. Firms may obtain information on how to become certified as SBEs from either SFMTA or from the State or City at the following addresses:

Federal DBE Program, or general information about the other programs and assistance with accessing the databases:

San Francisco Municipal Transportation Agency (SFMTA) Contract Compliance Office One South Van Ness Avenue, 6th Floor San Francisco, California 94103 (415) 701-4436 Attn: Sheila Evans-Peguese, CCO Certification Unit

Firms that wish to be certified as DBEs can obtain DBE certification applications from SFMTA at the above address. Completed DBE certification applications can be returned to SFMTA or another certifying Agency. Certification applications can be obtained by downloading from website by calling (415) 701-4436 or by going to the following website: http://www.dot.ca.gov/hq/bep/ucp.htm. A list of certifying agencies is provided on the DBE certification application.

State Program: California Department of General Services Office of Small Business and DVBE Services, Room 1-400 P.O. Box 989052 West Sacramento, CA 95798-9052 (916) 375-4940 http://www.pd.dgs.ca.gov/smbus/certapps.htm#RenReq City Program: General Services Agency Contract Monitoring Division 30 Van Ness Ave., Suite 200 San Francisco, CA 94102 Attn: Certification Unit (415) 581-2310 http://sfgsa.org/index.aspx?page=5356

2. Project by Project certification will not be required; however, if the status of the SBE changes during the certification period, the certification may no longer be valid. In such cases, a newly completed certification application should be submitted.

F. DBE Financial Institutions

http://www.dot.ca.gov/hq/bep/ucp.htm

http://www.pd.dgs.ca.gov/smbus/certapps.htm#RenReq



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The SFMTA encourages prime contractors and subcontractors to use the services of DBE financial institutions. For a current list of DBE financial institutions in the SFMTA’s geographic area, please contact the SFMTA’s.

IV. TRAINEES – San Francisco Municipal Transportation Agency (SFMTA) Employment Training Program

A. The SFMTA requires all consultants to comply with the SFMTA Employment Training

Program which fosters employment opportunities for economically disadvantaged individuals. Consultants are required to notify the SFMTA of all open, entry-level positions and consider all program referrals fairly and equally. In addition, the City requires consultants to hire a minimum number of professional service trainees in the area of the Consultant’s expertise. Trainees shall be obtained through the City’s First Source Hiring Program ‘One Stop Employment Center’, which works with various employment and job training agencies/organizations or other employment referral sources.

Number of Trainees Project Fees To Be Hired

$0 – $499,999 0 $500,000 – $899,999 1

$900,000 – $1,999,999 2 $2,000,000 – $4,999,999 3 $5,000,000 – $7,999,999 4

$8,000,000 – $10,999,999 5 $11,000,000 – $13,999,999 6

(> = $14M, for each additional $3 million in Consultant fees, add one additional trainee)

B. The intent of this Trainee Program is to provide technical training and job opportunities in

a professional office environment for economically disadvantaged individuals as on-the-job trainees. These training opportunities will be executed through the duration of this contract. In hiring prospective trainee, the Consultant shall comply with the non-discrimination provisions pursuant to local, state and federal laws.

C. Trainees shall be obtained through First Source Hiring Program. Outreach should be done

to include individuals from the communities that have experienced high rates of unemployment. A list of the designated resources may be obtained from SFMTA.

D. The Trainee Program consists of participation of individuals as on-the-job trainees based

on the Project cost. The trainee program will be implemented by the Consultant for this Project. The individuals will be hired as regular employees of the firms(s) and shall receive any benefits that they may be entitled to under State labor laws.

1. The trainee must be hired in a discipline related to Architectural and Engineering

services or meaningful support or technical position by the Consultant.


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2. No existing employee may be counted towards meeting the trainee goal. However, the new trainees can be part of the pool of new employees that the Consultant may have to hire anyway for a new Project of this magnitude and therefore need not be an “extra” cost to the Consultant or to the City.

3. The Consultant may utilize trainees on other projects it has within San Francisco

Bay Area, where trainees can execute work for other projects after the effective date of the Notice to Proceed.

4. The Consultant is responsible for providing On-The-Job Training (OJT). The

Consultant shall hire the trainee on a full-time basis for at least 12 months or on part-time basis for 24 months, offering him/her OJT, which allows the trainee to progress on a career path. The Consultant may hire the trainee(s) for the duration of the Project.

5. The Consultant should submit to SFMTA for approval a job description and

summary of the training program for each trainee, with the proposed rate of pay (commensurate with the job requirements).

6. A trainee qualified in this program is defined as a socially and economically

disadvantaged individual who:

a. Is unemployed, has a history of unemployment, or who is currently in a job training program; and b. Will receive training in a non-trade discipline associated with the Architectural and Engineering industry.

7. The term “socially and economically disadvantaged individual” shall have the

meaning, as the term is defined in 49 CFR Section 26.5, and shall also include persons with disabilities.

8. The Consultant shall provide the necessary tools and/or office equipment (i.e.,

computers, desks and chairs) for trainees to perform the assigned duties. The Consultant shall provide travel costs if the individual has to travel 50 miles or more from his/her assigned work site for the purpose of getting the job done.

9. The Consultant shall design a training program specifically for the trainee. The

program shall include, but not be limited to company’s personnel policy procedures manual, benefit package and OJT duties and responsibilities. The trainees are not permitted to work in trade positions performing covered work.

10. The Consultant can replace a trainee if there is documentation to demonstrate that

the trainee did not perform satisfactorily the key requirements as identified in the job descriptions. The Consultant can apply the time accumulated by the original trainee toward satisfying the contract requirement.

11. The Consultant shall provide SFMTA within thirty (30) working days of Notice to

Proceed, the following information in order to expedite time in securing the appropriate person to participate during the Project.


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a. Indicate number of trainees to be hired. The hiring of trainees can be phased in over a period of time. b. Provide the name and telephone number of Consultant’s contact person. c. The Consultant shall provide a job description used to recruit the trainee(s). Indicate the specific skills/disciplines for the job. d. A college degree is not a requirement for a trainee and the job description should so indicate.

E. The Consultant shall submit to SFMTA on a monthly basis a Workforce information report

on the status of the trainees. F. The SFMTA Contract Compliance Office will monitor the contract trainee requirements for compliance. G. The Consultant agrees that the City may withhold pending and future progress payments should the Consultant not demonstrate good faith efforts toward satisfying the required number of trainee hours. H. The Consultant Team is responsible for sponsoring the trainee(s). Each Team member’s contribution toward the cost of a trainee should be based on the contract percentage amount received.

V. EVALUATION OF PROPOSALS

A. CCO Evaluation

As stated in Section III. A., above, a Proposer that fails to demonstrate that it achieved the contract-specific SBE participation goal or fails to demonstrate that it made good faith efforts prior to submission of the Proposal to meet the goal shall be deemed non-responsive. A Proposer found to be non-responsive shall be ineligible for award of the contract.

1. Evaluation of Proposals

After the receipt of Proposals, CCO shall evaluate all Proposals with regard to the SBE requirements. Should CCO determine that additional information is needed to evaluate a Proposer’s submission, CCO shall request said Proposer or listed SBE to submit the required information, which shall be due within five (5) days of the request.

2. Determination of Amount of SBE Participation

CCO shall review the total dollar value of the work and the percentage of the total contract bid price reported on the Proposer’s Consultant/Joint Venture and Subconsultant Participation Report (SFMTA SBE FORM No. 1) for accuracy and shall compare it to the contract-specific goal, if any, established for the contract.

3. Evaluation of SBE Certification Status


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SFMTA requires that any SBEs listed by Proposers for participation in the contract be either: 1) certified by the Proposal due date, or 2) verified to be eligible by CCO in writing by the Proposal due date. CCO shall review the Proposer’s Consultant/Joint Venture and Subconsultant Participation Report (SFMTA SBE FORM No. 1) to confirm the certification status of each SBE. The SFMTA will accept current certifications by (a) SFMTA and other DOT recipients in California authorized under the federal DBE regulations; (b) the State Program, or (c) the City Program.

The SBE Consultant and listed SBE subconsultants or suppliers must declare under penalty of perjury under the laws of the State of California that its total average gross revenues for the past three years are equal to or below the income thresholds set forth in Section III.B (see SFMTA SBE FORM No. 2B).

4. Good Faith Efforts

If the amount of SBE participation does not meet the SBE goal, CCO shall review the good faith efforts report (SFMTA SBE Form No. 2) submitted by the Proposer with its Proposal. A Proposer must submit a report explaining the steps taken and the reasons the efforts were not successful to obtain SBE participation. CCO shall determine whether, prior to submission of the Proposal, the Proposer has performed the quality, quantity and intensity of efforts that demonstrate a reasonably active and aggressive attempt to meet the established SBE goal. Proposers must submit the SBE Consultant/Subconsultant Participation – Good Faith Efforts Form (SFMTA SBE Form No. 2) with its Proposal. Even if Proposers’ SFMTA SBE Form No. 1 indicates the SBE goal has been met, Proposers should still submit SFMTA SBE Form No. 2 to protect their eligibility for the contract. This is because SFMTA’s Contract Compliance Office may determine that Proposers have not met the goal for various reasons, e.g., if an SBE subconsultant submitted by the prime Consultant was not properly certified on the Proposal due date. In these cases, SFMTA’s SBE Form No. 1 will not normally provide sufficient information to demonstrate that the Proposer made good faith efforts.

The following is a list of types of actions that the Proposer should consider as part of its good faith efforts to obtain SBE participation. It is not intended to be a mandatory checklist, nor is it intended to be exclusive or exhaustive. Other factors or types of efforts may be relevant in appropriate cases.

a. Soliciting through all reasonable and available means (e.g. attendance at pre-proposal meetings, advertising and/or written notices) the interest of all certified SBEs who have the capability to perform the work of the contract. The Proposer must solicit this interest within sufficient time to allow the SBEs to respond to the solicitation. The Proposer must determine with certainty if the SBEs are interested by taking appropriate steps to follow up initial solicitations.

b. Selecting portions of the work to be performed by SBEs in order to increase the likelihood that the SBE goal(s) will be achieved. This includes, where appropriate, breaking out contract work items into economically


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feasible units to facilitate SBE participation, even when the prime Consultant might otherwise prefer to perform these work items with its own forces.

c. Providing interested SBEs with adequate information about the plans, specifications, and requirements of the contract in a timely manner to assist them in responding to a solicitation.

d. (i) Negotiating in good faith with interested SBEs. It is the Proposer’s responsibility to make a portion of the work available to SBE subconsultants and suppliers and to select those portions of the work of material needs consistent with the available SBE subconsultants and suppliers, so as to facilitate SBE participation. Evidence of such negotiation includes the names, addresses, and telephone numbers of SBEs that were considered; a description of the information provided regarding the plans and specifications for the work selected for subcontracting; and evidence as to why additional agreements could not be reached for SBEs to perform the work.

(ii) A Proposer using good business judgment would consider a number of factors in negotiating with subconsultants, including SBE subconsultants, and would take a firm’s price and capabilities as well as contract goals into consideration. However, the fact that there may be some additional costs involved in finding and using SBEs is not in itself sufficient reason for a Proposer’s failure to meet the contract SBE goal, as long as such costs are reasonable. Also, the ability or desire of a prime Consultant to perform the work of a contract with its own organization does not relieve the Proposer of the responsibility to make good faith efforts. Prime consultants are not, however, required to accept higher quotes from SBEs if the price difference is excessive or unreasonable.

e. Not rejecting SBEs as being unqualified without sound reasons based on a thorough investigation of their capabilities. The Consultant’s standing within its industry, membership in specific groups, organizations, or associations and political or social affiliations (for example union vs. non-union employee status) are not legitimate causes for the rejection or non-solicitation of bids in the Consultant’ s efforts to meet the Project goal.

f. Making efforts to assist interested SBEs in obtaining necessary equipment, supplies, materials, or related assistance or services.

g. Effectively using the services of available small business community organizations; small business consultants’ groups; local, state, and Federal small business assistance offices; and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of SBEs.

B. Recommendation for Award of Contract

1. SFMTA CCO’s Recommendation for Award CCO shall review all of the information submitted by Proposers to determine a

recommendation to the Director of Transportation for award of the contract to the highest-ranked Proposer. The Proposer shall cooperate with CCO if a request for additional information is made during this evaluation process.


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Following the determination of the highest-ranked Proposer, CCO will prepare a report on the Proposer’s compliance with the SBE Program requirements for submission to the SFMTA Board of Directors or other awarding authority. The SFMTA will follow the award of contract and protest procedures described in the Request for Proposals.

C. Successful Proposer 1. Contract Assurances

The Consultant and its subconsultants shall not discriminate on the basis of race, color, national origin, or sex in the performance of the contract. The Consultant and its subconsultants shall carry out applicable requirements of 49 C.F.R. Part 26 in the award and administration of DOT-assisted contracts. Failure by the Consultant or its subconsultants to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as SFMTA deems appropriate.

2. Substitution of Subconsultants and Suppliers The Consultant shall not terminate an SBE subconsultant or supplier for

convenience and then perform the work with its own forces. The Consultant must make good faith efforts to substitute another SBE for an original SBE subconsultant or supplier when the original SBE subconsultant or supplier is terminated or fails to complete the work on the contract. The Consultant shall notify SFMTA in writing of any request to substitute an SBE subconsultant or supplier and provide CCO with any documentation requested to support the substitution. CCO must approve the request in writing in order for the substitution to be valid. The substitution may also have to be approved by the SFMTA Board of Directors.

3. Addition of Subconsultants and Suppliers

The Consultant shall notify CCO prior to any addition of an SBE or non-SBE subconsultant or supplier to the Project. Submit SBE SFMTA Form No. 4 for each new SBE subconsultant or supplier. Any new SBE subconsultant or supplier approved by CCO also must submit SFMTA SBE Form No. 5.

4. Prompt Payment to Subconsultants

In accordance with SFMTA's SBE Program, no later than three (3) working days from the date of Consultant's receipt of progress payments by the City, the Consultant shall pay any subconsultants for work that has been satisfactorily performed by said subconsultants, unless the prime Consultant notifies CCO Director in writing within (10) working days prior to receiving payment from the City that there is a bona fide dispute between the prime Consultant and the subconsultant. Within five (5) working days of such payment, Consultant shall provide City with a declaration under penalty of perjury that it has promptly paid such subconsultants for the work they have performed. Failure to provide such


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evidence shall be cause for City to suspend future progress payments to Consultants. Consultant may withhold retention from subconsultants if City withholds retention from Consultant. Should retention be withheld from Consultant, within thirty (30) days of City's payment of retention to Consultant for satisfactory completion of all work required of a subconsultant, Contractor shall release any retention withheld to the subconsultant. Satisfactory completion shall mean when all the tasks called for in the subcontract with subconsultant have been accomplished and documented as required by City.

If the Consultant does not pay its subconsultant as required under the above paragraph, it shall pay interest to the subconsultant at the legal rate set forth in subdivision (a) of Section 685.010 of the California Code of Civil Procedure.

5. Reporting Requirements

The Consultant shall maintain records of all SBE participation in the performance of the contract, including subcontracts entered into with certified SBEs and all materials purchased from certified SBEs. The Consultant shall supply CCO with copies of all contracts with SBE and non-SBE subcontractors and suppliers. The Consultant shall submit SBE participation reports to SFMTA on a monthly basis, or as otherwise directed by CCO. The reports shall identify the name and address of each SBE performing work on the Project, and show the total dollar amount requested for payment and the total dollar amount actually paid to each SBE. Within thirty (30) days of completion of the contract, or as otherwise directed by CCO, the Consultant shall submit a final summary SBE report to CCO.

D. Administrative Remedies

1. Monitoring SBE Participation

CCO will monitor and track the actual SBE participation through Consultant and subconsultant reports of payments, site visits and other appropriate monitoring. CCO will ensure that SBE participation is counted towards contract goal(s) and the overall annual goal in accordance with the Regulations. CCO will require prime consultants to maintain records and documents of payments to SBEs for three years following the performance of the contract. These records will be made available for inspection upon request by any authorized representative of SFMTA or DOT. This reporting requirement also extends to any certified SBE subconsultant. CCO will keep a running tally of actual payments to SBE firms for work committed to them at the time of contract award. CCO will perform interim audits of contract payments to SBEs. The audit will review payments to SBE subconsultants to ensure that the actual amount paid to


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SBE subconsultants equals or exceeds the dollar amount stated in the schedule of SBE participation.

2. Enforcement Mechanisms

SFMTA will bring to the attention of the Department of Transportation any false, fraudulent, or dishonest conduct in connection with the Program, so that DOT can take the steps (e.g., referral to the Department of Justice for criminal prosecution, referral to the DOT Inspector General, action under suspension and debarment or Program Fraud and Civil Penalties rules) provided in Section 26.109. Consultant may also be subject to penalties and/or a debarment action under the San Francisco Administrative Code. Failure to comply with the requirements of the SBE Program constitutes a material breach of contract and will be grounds for termination of the contract. Funds may also be withheld under the Contract pending investigation of a complaint of violation of the SBE Program.

E. CONFIDENTIALITY

SFMTA will safeguard from disclosure from third parties information that may reasonably be regarded as trade secrets, consistent with federal, state, and local laws. Notwithstanding any contrary provisions of state or local law, SFMTA will not release personal financial information submitted in response to the personal net worth requirement to a third party other than DOT without the written consent of the person submitting the information.


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VI. SUBMISSION OF FORMS AND INSTRUCTIONS

A. Required Forms

PROPOSERS ARE WARNED that failure to comply with the requirements for submission of forms, within the times prescribed, may RESULT IN REJECTION OF THE PROPOSAL, unless a later time is authorized by CCO. The following forms are included in the RFP:

FORMS SUBMITTED WITH PROPOSAL

SFMTA SBE Form No. 1

Consultant/Joint Venture Partner and Subconsultant Participation Report

SBE – 19


SBE Consultant/Subconsultant – Good Faith Efforts

SBE – 20

SFMTA SBE Form No. 2A

Bidders List SBE – 22

SFMTA SBE Form No. 2B

SBE Consultant/Joint Venture Partner/Subconsultant Gross Revenue Declaration

SBE – 23


Questionnaire on Recruitment, Hiring, and Training Practices for Consultants

SBE – 25


Subconsultant Participation Declaration SBE – 31


Small Business Enterprise Acknowledgment Declaration

SBE – 32

SCHEDULE B Joint Venture Participation Form Contract CCO if needed.

FORMS SUBMITTED POST AWARD


Progress Payment Report SBE – 34


Subconsultant Payment Declaration SBE – 36


Declaration – Modification of Professional Service Contracts

SBE – 38

SFMTA SBE Form No. 9 Consultant Exit Report and Declaration SBE – 40

Note: The following instructions are included for the convenience of Proposers in preparing their Proposals and for consultants to monitor SBE participation appropriately. If there are any conflicts between these instructions and the provisions elsewhere in the specifications or with federal, state, or city statutory requirements, the latter will prevail.


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B. FORMS SUBMITTED WITH PROPOSAL:

The following forms must be executed in full and submitted with the Proposal package, or as otherwise specified; if not, the Proposal may be rejected. SFMTA SBE FORM No. 1 - CONSULTANT/JOINT VENTURE AND SUBCONSULTANT PARTICIPATION REPORT

All Proposers are required to complete this form and include the names of the SBEs being used, as well as lower-tier SBEs, a description of the work they will perform, the services or supplies which will be provided by each and the dollar value of each SBE transaction. This completed form must be submitted with the Proposal or the Proposal shall be rejected.

SFMTA SBE FORM No. 2 - SBE Consultant/subconsultant

Participation – Good faith efforts

Each Proposer shall submit with its Proposal a written report (SFMTA SBE Form No. 2) with supporting documentation covering all actions taken by the Proposer to meet the SBE goal prior to the submittal of the Proposal. This form must be submitted regardless whether or not the Proposer’s Consultant/Joint Venture and Subconsultant Participation Report (SFMTA SBE Form No. 1) indicates that the SBE goal has been met. If CCO requires further information following its review of the report, the Proposer shall submit such information within five days of the request.

SFMTA SBE FORM No. 2A - BIDDERS LIST

Pursuant to 49 CFR Section 26.11, SFMTA will create and maintain a “Bidders List” consisting of all firms bidding or quoting on prime contracts and bidding, or quoting on subcontracts on DOT-assisted projects. For every firm, the following information will be included: firm name, firm address, firm status as a DBE or non-DBE, the age of the firm, and the annual gross receipts of the firm. All Proposers shall complete the “Bidders List” to the maximum extent feasible, supplying the requested information on all firms quoting on this contract (including the Proposer submitting the form).

SFMTA SBE FORM No. 2B - SBE CONSULTANT/JOINT VENTURE PARTNER/SUBCONSULTANT – GROSS REVENUE DECLARATION An SBE Consultant/joint venture partner and listed SBE subconsultants or suppliers, including lower tier subconsultants or suppliers, must complete this form. The prime shall collect the completed forms and submit them with its Proposal on the Proposal due date. The SBE Consultant and listed SBE subconsultants or suppliers will need to submit this form declaring, under penalty of perjury, that their total average gross revenues for the past three years are


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equal to or below the applicable income thresholds for the specific category of the contract (see Section III.B, above).

SFMTA SBE FORM No. 3 - QUESTIONNAIRE ON RECRUITMENT, HIRING, AND

TRAINING PRACTICES FOR CONSULTANTS

To be completed by Proposers, joint venture partners and subconsultants.

SFMTA SBE FORM No. 4 - SUBCONSULTANT PARTICIPATION DECLARATION (to be submitted by the prospective prime Consultant and subconsultant, as appropriate):

To confirm and identify the use of SBEs, all Proposers shall submit a completed SFMTA SBE FORM No. 4, with the Proposal, unless a request for an extension of time is granted by CCO.

Subconsultants using SBEs as lower tier subconsultants, suppliers or service agents shall also submit SFMTA SBE FORM No. 4. The form shall be submitted with the Proposal unless an extension of time is granted by CCO.

SFMTA SBE FORM No. 5 - SMALL BUSINESS ENTERPRISE

ACKNOWLEDGEMENT DECLARATION (to be submitted by each listed SBE Consultant)

Every listed SBE subconsultant or supplier, including lower tier subconsultants, must submit the completed declarations to the Proposers. The Proposers shall submit the completed declarations to CCO with the Proposal unless an extension of time is granted by CCO.

Schedule B - Joint Venture Participation Form (If applicable)

Joint Ventures formed at either the prime Consultant level or subconsultant level must submit a Joint Venture Participation Form (Schedule B) plus a joint venture agreement. To obtain this form, please contact CCO.

C. FROMS SUBMITTED AT POST AWARD

SFMTA SBE FORM NO. 6 - PROGRESS PAYMENT REPORT This form shall be completed by Consultant, including each joint venture partner, if

applicable, and submitted to the Project Manager (copy to CCO) with its monthly progress payment applications after award of Contract. Consultants must provide complete information and documentation on SFMTA SBE FORM No. 6 for the immediately preceding period for SBE joint venture partners and all subconsultants that are utilized on the Contract.

SFMTA SBE FORM No. 7 - SUBCONSULTANT PAYMENT DECLARATION

Consultant shall complete SFMTA SBE FORM No. 7 and submit it to CCO (copy to Project Manager) within five (5) working days following each payment to


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subconsultants in compliance with prompt payment requirements: This form shall provide evidence that the Consultant has complied with the prompt payment provisions of the Contract.


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SFMTA SBE FORM No. 8 - DECLARATION – AMENDMENTS OF PROFESSIONAL SERVICES CONTRACTS

Consultant shall complete this form when processing all modifications, supplements or change orders that cumulatively increase the original amount of the contract. All prime consultants, individual joint venture partners, subconsultants and any other vendors participating in the modification must be listed.

SFMTA SBE FORM No. 9 - CONSULTANT EXIT REPORT AND DECLARATION

Consultant, including all joint venture partners, if any, shall complete SFMTA SBE FORM No. 9 and submit it to the Project Manager (copy to CCO) with its final progress payment application. Consultant must provide complete and accurate information on SFMTA SBE FORM No. 9 and have it executed by all SBE joint venture partners and all subconsultants.

SUBMIT WITH PROPOSAL

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SFMTA SBE FORM No. 1 – CONSULTANT/JOINT VENTURE PARTNER AND SUBCONSULTANT PARTICIPATION REPORT PROPOSER: ______________________________________________________

NAME OF FIRMS, ADDRESS, TELEPHONE NO. AND CONTACT

PERSON; FEDERAL I.D. NO. (or STATE I.D. NO.)

SBE (OWNERSHIP)

NON- SBE

(OWNERSHIP)

SCOPE OF WORK and

CERTIFICATION TYPE and CERT. NO.

ANTICIPATED PERCENTAGE AND/OR

$ AMOUNT OF PARTICIPATION

MALE

FEMALE

MALE

FEMALE

Name and Signature: Authorized Officer of Consultant Firm

Total SBE (Male)

Total SBE(Female)

Print or Type Name:

Total Non-SBE (Male)

Date: Total Non-SBE(Female)

TOTAL % AND/OR $ :


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SFMTA SBE FORM No. 2

SBE CONSULTANT/SUBCONSULTANT PARTICIPATION – GOOD FAITH EFFORTS

This form must be completed and submitted along with compelling documentation detailing the good faith efforts made to meet the SBE participation goal if the information submitted on SFMTA SBE Form No. 1 indicates that the SBE goal has not been met. If the SBE participation goal is not met, and if this form, along with compelling documentation detailing the good faith efforts made to meet the goal, is not completed and returned with the Proposal, the Proposal shall be deemed non-responsive and rejected. Even if Proposers’ SFMTA SBE Form No. 1 indicates the SBE goal has been met, Proposers should still submit the following information to protect their eligibility for the contract. This is because SFMTA’s Contract Compliance office may determine that Proposers have not met the goal for various reasons, e.g., if an SBE subconsultant submitted by the prime Consultant was not SBE/DBE/LBE certified on the Proposal due date. In these cases, SFMTA’s SBE Form No. 1 will not normally provide sufficient information to demonstrate that the Proposer made good faith efforts.

Contract Name: Contract Number:

Proposer’s Name:

Please supply information regarding the following:

1. Attending any presolicitation or Proposal meetings scheduled by the awarding department to inform all Proposers of SBE Program requirements for the Project for which the contract is awarded.

2. List below the names and dates of all certified SBEs solicited by direct mail for this Project or print out a list of SBE contacted via the States’ SBE website, City’s GSA website, or UCP DBE website. List the dates and methods used for following up initial solicitations to determine with certainty whether the SBEs were interested. Attach copies of letters and supporting documentation.

3. Summarize below the items of work for which the Proposer requested subconsultant services supplied by

SBEs, the information furnished interested SBEs regarding work requirements and any breakdown of tasks into economically feasible units to facilitate SBE participation. Where there are SBEs available for doing portions of the work normally performed by the Proposer with its own staff, the Proposer will be expected to make portions of such work available for SBEs.


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4. List below the names of SBEs solicited for any of the work indicated above and which were not utilized, and

a summary of the Proposer’s discussions and/or negotiations with them.

a. List the names of rejected SBEs:

b. Summarize below discussions and/or negotiations:

5. List the names of subconsultants that were selected over the rejected SBEs listed above and the reasons for that choice.

6. Summarize below assistance that the Proposer has extended to rejected SBEs identified above to remedy the deficiency in their sub-proposals.

7. If insurance is a reason for rejecting any potential SBE, a complete explanation must be provided as follows.

a. List the names and phone numbers of insurance firms contacted by the Proposer and/or other involved parties:

b. List the names and phone numbers of public assistance agencies contacted and their responses (for example, the City’s Bonding and Insurance Assistance Program):

NOTE: Use additional sheets of paper if necessary. Appropriate documentation such as copies of newspaper ads,

letters soliciting bids, and telephone logs should accompany this form.

Signature Date Name of Firm (print) Name and Title (print) Address Phone Number Email


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END OF FORM


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SFMTA SBE FORM No. 2A

BIDDERS LIST

Supply the following information for all firms bidding or quoting on this contract. If any information is not

included, specify reason why you could not obtain the information. Use additional sheets if necessary.

PROPOSER’S NAME: ______________________

Name/ Federal I.D. or

State I.D. No. Address Phone

SBE Certified

(CUCP DBE, CITY

LBE, STATE SBE)

Yrs. in Business

Annual Gross

Receipts of Firm

Yes

No

END OF FORM


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PROPOSER: ______________________

SFMTA SBE FORM No. 2B

SBE CONSULTANT/JOINT VENTURE PARTNER/SUBCONSULTANT GROSS REVENUE DECLARATION

To be completed by SBE Consultant/Joint Venture Partner/Subconsultant

An SBE Consultant and every listed SBE subconsultant or supplier, including lower tier subconsultants, must submit the completed declarations to the Prime Consultant. The Prime Consultant shall submit completed declarations with its Proposal to the Contract Compliance Office. In order to be counted towards the SBE goal, the SBE must declare, under penalty of perjury, that its total average gross revenues for the past three years are equal to or below the income threshold for the specific category of the contract. Contract Number: Contract Title:

SECTION I

Name: Vendor Number: _________________________ Address: Phone: Type of Consultant's License(s): Federal I.D. No.: ___________

SECTION II

(Check Ownership and Certification Type check all that apply)

□ Sole Proprietor □ DBE (Issued by Calif. Unified Certification Prog.) □ Partnership □ SBE (Issued by Calif. Dept. of General Services) □ Corporation, s-Corp, LLC □ LBE (Issued by SF General Services Agency)

□ Verified as SBE-Eligible by the SFMTA Contract Compliance Office (Confirmation attached)

Income Thresholds For Certain Types of Contracts (Check category for your business)

The total average gross revenue for the past 3 years must be equal to or below the following category thresholds:

□ Engineering Services $14.0 Million

□ Surveying and Mapping $14.0 Million

□ Public Relations Agencies $14.0 Million

□ Drafting $7.0 Million


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□ Architectural Services $7.0 Million

□Merchant Wholesalers $22.41 Million

and no more than 100 employees

□ Other ________________________ ____________

DECLARATION

The undersigned declares under penalty of perjury under the laws of the State of California that its total average gross revenues for the past three years are equal to or below the income threshold for the category checked above.

Signature Date Name of Firm (print) Name and Title (print) Address

Phone Number Email

END OF FORM


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PROPOSER: __________________________



QUESTIONNAIRE ON RECRUITMENT, HIRING, AND TRAINING PRACTICES FOR CONSULTANTS

NONDISCRIMINATION REQUIREMENTS

Professional or Technical Services

1. Please complete and return the attached Nondiscrimination Questionnaire, Workforce Data

forms and Participation Form with a copy of your entire Proposal directly to the awarding Department.

2. Please complete the questionnaire for the office that will ultimately perform the Project work. 3. The questionnaire must be completed by:

a. All prime consultants

b. All joint venture partners and subconsultants

4. Support firms (e.g., printers, photographers, etc.) need not complete any part of the questionnaire.

5. Approved State or Federal Nondiscrimination Programs may be substituted for those items

where the information requested in the questionnaire is identical to that contained in the State or Federal Programs.

6. If the questionnaire(s) is/are not correctly and fully completed, SFMTA will not consider your

Proposal. For firms selected as finalists, all SBEs participating in the Project must be certified prior to contract award.


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SFMTA FORM No. 3


QUESTIONNAIRE ON RECRUITMENT, HIRING, AND TRAINING PRACTICES FOR CONSULTANTS

NOTE: The term "minority" refers to the following groups: American Indian or Alaskan Native, Asian or Pacific Islander, African-American, Filipino, and Hispanic. (Please answer all questions. Use additional sheets if necessary.) Name of Company: Address: Location of Company Workforce (Check one): San Francisco Other Location (provide address): Street City State Zip Code 1. Name, title, telephone number of company official at the establishment who is responsible for

recruitment and hiring and who will provide information concerning this matter. 2. Name, title, and telephone number of senior managing official at the establishment if not the

person named in the answer to question 1. 3. Describe briefly the basic business activity at the establishment (i.e., identify the product

produced or the services performed.)

4. Describe briefly how employees at various levels are hired (see Workforce Breakdown #8).

A. Technicians and/or others.


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B. Support Staff (accounting, reception, and clerical).

5. Describe in full, Nondiscrimination programs in the past two years. (Consultants may submit

one (1) copy of their Nondiscrimination Program directly to SFMTA Contract Compliance Office, One South Van Ness Ave., 3rd Floor, San Francisco, CA 94103, (415) 701-4443.

-- Participation in training programs.

-- Participation in apprenticeship programs.

-- Participation in any summer hire program or own program.

-- Paid educational leave or tuition to improve skills and level.

-- Participation in scholarship fund.

-- Participation in clerical training programs.

-- Participation in "other" programs.


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6. If minorities and/or women are underutilized explain steps to ensure the firm is not

discriminating. 7. Describe joint ventures or subconsulting arrangements in past projects. If there is a company

policy on this issue, include it. 8. Complete workforce breakdown. (Separate form, Page SBE-26.) 8a. Hires in last 12 months. (Complete separate form, Page SBE-27.)


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WORKFORCE DATA SPREADSHEET #1

8. Please fill out this workforce breakdown Name of firm: Address:

EMPLOYEE CATEGORIES*

TOTAL EMPLOYEE

AFRICAN AMERICAN

HISPANIC ASIAN/ PAC. ISL.

AMER. IND./ ALAK. NTV.

TOTAL MINORITY

PERCENTAGE WHITE

PERCENTAGE MINORITY

M

F

M

F

M

F

M

F

M

F

M

F

M

F

M

F

Officials

Managers

Professionals

Technicians

Admin. Support

Trainees

Others

Full-time

Part-time

TOTAL

COMPLETED BY Name: Title: Date: * If the list of occupations on the left side of the workforce data form does not match your occupation titles, please modify the data form to indicate occupations peculiar to your organization.


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WORKFORCE DATA SPREADSHEET #2

8a. Hires in last 12 months Name of firm:

Address:

EMPLOYEE CATEGORIES*

TOTAL EMPLOYEE

AFRICAN AMERICAN

HISPANIC

ASIAN/ PAC. ISL.

AMER. IND./ ALAK. NTV.

TOTAL MINORITY

PERCENTAGE WHITE

PERCENTAGE MINORITY

M

F

M

F

M

F

M

F

M

F

M

F

M

F

M

F

Officials

Managers

Professionals

Technicians

Admin. Support

Trainees

Others

Full-time

Part-time

TOTAL

COMPLETED BY Name: Title: Date: * If the list of occupations on the left side of the workforce data form does not match your occupation titles, please modify the data form to indicate occupations peculiar to your organization


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PROPOSER: __________________________


SBE SUBCONSULTANT PARTICIPATION DECLARATION

To be submitted by the prospective prime Consultant or subconsultant, as appropriate, to the Contract Compliance Office with its Proposal, unless an extension of time is requested and granted.

, (Name and Title of Authorized Prime Consultant Representative) declares as follows: That contingent upon award of , (Name of Contract) will award subcontracts to or pursue (Name of Prime Consultant) orders with the following Small Business firms (if the firm is a joint venture, you must attach a copy of the joint venture agreement):

Name and Address of

SBE

Type of SBE

Certification

Lic.#

Gender Ethni

city

Type of Work

(Describe)

% and/or $ Amount of Contract

M F

Total dollar value of SBE work: $_____________ = __________ % of SBE Participation Total dollar value of Proposal Price $ 100% I declare under penalty of perjury under the laws of the State of California, that the above information is true and correct. ________________________________________ _______________________ Owner or Authorized Representative (Signature) Date

END OF FORM


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PROPOSER:_______________________


SMALL BUSINESS ENTERPRISE ACKNOWLEDGMENT DECLARATION

Every listed SBE subconsultant or supplier (including lower tier subconsultant) must submit the completed declarations to the Prime Consultant. The Prime Consultant shall submit completed declarations with its

Proposal to the Contract Compliance Office, unless an extension of time is requested.)

declares that (Small Business Owner or Authorized Representative and Title) will award a subcontract in the (Name of Prime Consultant) amount of [(%) percent and/or ($) amount] , or a purchase order in the amount of [(%) percent and/or ($) amount of the total value of the prime contract to ___________________________, (Name of Small Business Firm). License No. _________________, type of SBE Certification: _________________________________. Nature of work to be performed by SBE: __________________________ FORM OF OWNERSHIP FOR SMALL BUSINESS ENTERPRISE

Sole Proprietorship Partnership Joint Venture

Corporation Limited Liability Partnership Limited Liability Corporation __

LIST OWNERS

Name Ethnicity* Gender % of Ownership _________




Percentage of SBE Stockholders:

*Ethnic Codes: AI/AN = American Indian or Alaskan Native, A/PI = Asian or Pacific Islander, B = B lack, F = Filipino, H = Hispanic, and W = White.


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LIST INSURANCE POLICIES AND BONDING ARRANGEMENTS

Name of Policy Party Insured



For Prime Consultants and Subconsultants Only: List the firm's annual gross receipts for the last three fiscal years: 20________ $_________________, 20________ $________________, 20________ $_________ For Suppliers or Manufacturers Only: List the number of employees for the last three fiscal years: 20________ Number________, 20________ Number________, 20________ Number_______ ADDITIONAL SUBCONTRACTING BY SUBCONSULTANTS: a. We will not subcontract any portion of work to another subconsultant. b. We will subcontract [% and/or $ amount] of our work to (Name of Subconsultant) Indicate owners' ethnicity and gender I declare under penalty of perjury under the laws of the State of California that the above information is true and correct; and that our firm is a certified SBE as defined under the Municipal Transportation Agency’s SBE Program. Signature Date Name of Firm (print) Name and Title (print) Address

Phone Number Email

END OF FORM

POST AWARD SUBMITTAL

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PROGRESS PAYMENT REPORT To be completed by Consultant and submitted to Project Manager with its monthly progress payment

application (transmit and copy to all of the following.) TRANSMITTAL TO: Project Manager Copy To: Contract Compliance Office From: Consultant Date Transmitted:

PART 1: Fill in all blanks and check the box below.

Contract Number:

Contract Title:

Reporting Period (Month and Year): __________________________________ Corresponding Progress Payment No.: _________________________________ Note: The information submitted on Parts 1 and 2 of this form is accurate for the progress payment

period immediately preceding that of the current payment application attached herewith. 1. Amount of Prime Contract

$

2. Amount of Amendments and Modifications to Date $

3. Total Contract to Date including Amendments and Modifications (Line 1 + Line 2)

$

4. Amount Invoiced this Reporting Period $

5. Total Amount Invoiced to Date as of Last Progress Payment Request (excluding Line 4)

$

6. Amount of Progress Payment Requested to Date (Line 4 + Line 5) $

7. Percent of Contract Completed (Line 6 Line 3)

8. Reporting Period - From (date): To (date):

Consultant, including each joint venture partner, must execute this form.

_____________________________________ ______________________________________

Owner/Authorized Representative (Signature) Owner/Authorized Representative (Signature)

_____________________________________ ______________________________________

Name and Title (Print) Name and Title (Print)

_____________________________________ ______________________________________

Firm Name Date Firm Name Date

_____________________________________ ______________________________________

Telephone Email Telephone Email


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PROGRESS PAYMENT REPORT

PART 2: Provide complete information in the following table for Consultant, each SBE joint venture partner and all subconsultants. Make copies of this sheet as needed. Attach copies of all invoices from subconsultants supporting the information tabulated on this form and Consultant's invoice and Contract Payment Authorization for the immediately preceding progress payment period. Note: Failure to submit all required information may lead to partial withholding of progress payments. See 49 CFR Sections 26.29, 26.37.

A Name of Firm

(List Consultant, including each joint venture

partner, and all subconsultants, and indicate if firm is an SBE)

B Description

of Work

C Amount of

Subcontract or Purchase

Order

D Amount of

Modifications and

Amendments to Date

E Current Contract

Amount (C + D)

F Amount Invoiced

this Reporting

Period

G Total

Amount Invoiced as

of Last Progress Payment Request

H Percent of Contract

Completion [F + G] / E

TOTALS

END OF FORM


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SFMTA SBE FORM No. 7 SUBCONSULTANT PAYMENT DECLARATION

To be completed and submitted by Consultant, including all joint venture partners, if any, and submitted to the Contract Compliance Office within 5 working days following actual payment to subconsultant. Payments to subconsultant shall be made no later than 3 working days following receipt of progress payment from the SFMTA.

TRANSMITTAL TO: Contract Compliance Office COPY TO: Project Manager From: Prime Consultant: ________ Date Transmitted: _______________

Provide the following information for each progress payment received from SFMTA. Use additional sheets to include complete payment information for all subconsultants and vendors utilized on this Contract including each joint venture partner. Failure to submit all required information may lead to partial withholding of progress payment.

Contract No.: __________________ Contract Title: _____________________________________ Contract Awarding Department: SFMTA Progress Payment No.: ___________ Period Ending: Amount Received: $_______________ Date: ____________ Warrant/Check No.: ___________

Prime JV/Subconsultant/

Vendor Name Business Address

Amount Paid

Payment Date Check

Number

I/We declare under penalty of perjury under the laws of the State of California that the above information is complete, and that the tabulated amounts paid to date are accurate and correct.

Prime Consultant, including each joint venture partner, must sign this form.

_____________________________________ ______________________________________

Owner/Authorized Representative (Signature) Owner/Authorized Representative (Signature)


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_____________________________________ ______________________________________

Name and Title (Print) Name and Title (Print)

_____________________________________ ______________________________________

Firm Name Date Firm Name Date

_____________________________________ ______________________________________

Telephone Email Telephone Email

END OF FORM


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DECLARATION – AMENDMENTS OF PROFESSIONAL SERVICE CONTRACTS

This section is to be completed by the prime Consultant for all modifications to this contract. All prime consultants, individual joint venture partners, subconsultants and any other vendors participating in the modifications must be listed.

JV/P/S: Indicate if Consultant is Joint Venture Partner, Prime or Sub.

JV/P/S NAME SERVICES PERFORMED

% of Total Mod

MODIFICATION AMOUNT

% SBE

I declare, under penalty of perjury under the laws of the State of California, that the information contained on this form is true and correct.

Owner/Authorized Representative (Signature)

Date

Owner/Authorized Representative (Print) Title

CONTRACT NO.: CONTRACT MOD NO.:

CONTRACT TITLE:

ORIGINAL AMOUNT: $ SBE GOAL:

CONTRACT MODIFICATION AMOUNT:

$

CONSULTANT:

CONTACT PERSON: PHONE:

ADDRESS:

CITY: STATE: ZIP CODE:


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Information is needed for each firm listed on Page 1 (prime consultants, joint venture partners, subconsultants and suppliers). Firms that have previously worked on City contracts may already have a vendor number. You may enter the vendor or federal I.D. number instead of completing the rest of the information. Use additional sheets if necessary.

FIRM NAME

ADDRESS:

CITY: FEDERAL I.D. NO.:

VENDOR NO.

STATE: ZIP:

PHONE NO.: FAX NO: ETHNIC OWNERSHIP:

SERVICE: $ AMOUNT:

FIRM NAME

ADDRESS:


STATE: ZIP:

PHONE NO.: FAX NO.: ETHNIC OWNERSHIP:

SERVICE: $ AMOUNT:

FIRM NAME

ADDRESS:


STATE: ZIP:


SERVICE: $ AMOUNT:

FIRM NAME

ADDRESS:


STATE: ZIP:


SERVICE: $ AMOUNT:

ETHNIC OWNERSHIP: Asian, Black, Hispanic, Native American, White, Other.

END FORM No. 8


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CONSULTANT EXIT REPORT AND DECLARATION

To be completed by Consultant, including all joint venture partners if any, with its final progress payment application (transmit and copy to all of the following.)

TRANSMITTAL TO: Project Manager Copy To: Contract Compliance Office From: Consultant: Date Transmitted: Contract Name: Contract Number:

Consultant must complete SFMTA SBE Form No. 9, Page 2 and have it executed by all SBE joint venture partners and all subconsultants. Reporting Date: __________________________________ I/We declare under penalty of perjury under the laws of the State of California that the information on Page 2 of this form is complete, that the tabulated amounts paid to date are accurate and correct, and that the tabulated amounts owing will be paid within thirty (30) days after the date of SFMTA's final payment under the Contract.

Consultant, including each joint venture partner, must execute this form.

_____________________________________ ______________________________________ Owner/Authorized Representative (Signature) Owner/Authorized Representative (Signature) _____________________________________ ______________________________________ Name and Title (Print) Name and Title (Print) _____________________________________ ______________________________________ Firm Name Date Firm Name Date _____________________________________ ______________________________________ Telephone Email Telephone Email


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Note: Failure to submit all required information may lead to partial withholds of progress payment. See 49 CFR Sections 26.29, 26.37.

Name of Firm (List Consultant, including

each joint venture partner, and all

subconsultants, and indicate if the firm is a

SBE.)

Description of Portion of

Work

Amount of Progress

Payments Paid to Date

Amount Owing under the Contract

including all Change Orders,

Amendments and Modifications

Owner/Authorized Representative

Signature (Consultant,

including each joint venture

partner, and all subconsultants)

TOTALS

END OF FORM


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Appendix 2: FTA REQUIREMENTS June 13, 2014

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FTA REQUIREMENTS FOR PERSONAL SERVICES CONTRACTS

I. DEFINITIONS

A. Approved Project Budget means the most recent statement, approved by the FTA, of the costs of the Project, the maximum amount of Federal assistance for which the City is currently eligible, the specific tasks (including specified contingencies) covered, and the estimated cost of each task.

B. Contractor means the individual or entity awarded a third party contract financed in whole or in part with Federal assistance originally derived from FTA.

C. Cooperative Agreement means the instrument by which FTA awards Federal assistance to a specific Recipient to support a particular Project or Program, and in which FTA takes an active role or retains substantial control.

D. Federal Transit Administration (FTA) is an operating administration of the U.S. DOT.

E. FTA Directive includes any FTA circular, notice, order or guidance providing information about FTA's programs, application processing procedures, and Project management guidelines. In addition to FTA directives, certain U.S. DOT directives also apply to the Project.

F. Grant Agreement means the instrument by which FTA awards Federal assistance to a specific Recipient to support a particular Project, and in which FTA does not take an active role or retain substantial control, in accordance with 31 U.S.C. § 6304.

G. Government means the United States of America and any executive department or Agency thereof.

H. Project means the task or set of tasks listed in the Approved Project Budget, and any modifications stated in the Conditions to the Grant Agreement or Cooperative Agreement applicable to the Project. In the case of the formula assistance program for urbanized areas, for elderly and persons with disabilities, and non-urbanized areas, 49 U.S.C. §§ 5307, 5310, and 5311, respectively, the term "Project" encompasses both "Program" and “each Project within the Program," as the context may require, to effectuate the requirements of the Grant Agreement or Cooperative Agreement.

I. Recipient means any entity that receives Federal assistance directly from FTA to accomplish the Project. The term " Recipient" includes each FTA "Grantee" as well as each FTA Recipient of a Cooperative Agreement. For the purpose of this Agreement, Recipient is the City.

J. Secretary means the U.S. DOT Secretary, including his or her duly authorized designee.

K. Third Party Contract means a contract or purchase order awarded by the Recipient to a vendor or contractor, financed in whole or in part with Federal assistance awarded by FTA.

L. Third Party Subcontract means a subcontract at any tier entered into by Contractor or third party subcontractor, financed in whole or in part with Federal assistance originally derived from FTA.

M. U.S. DOT is the acronym for the U.S. Department of Transportation, including its operating administrations.


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II. FEDERAL CHANGES

Contractor shall at all times comply with all applicable FTA regulations, policies, procedures and

directives, including without limitation those listed directly or by reference in the Master Agreement between

the City and FTA, as they may be amended or promulgated from time to time during the term of this contract.

Contractor’s failure to so comply shall constitute a material breach of this contract.

III. ACCESS TO RECORDS

N. The Contractor agrees to provide the City and County of San Francisco, the FTA Administrator, the Comptroller General of the United States or any of their authorized representatives access to any books, documents, papers and records of the Contractor which are directly pertinent to this Agreement for the purposes of making audits, examinations, excerpts and transcriptions.

O. The Contractor agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed.

P. The Contractor agrees to maintain all books, records, accounts and reports required under this Agreement for a period of not less than three years after the date of termination or expiration of this Agreement, except in the event of litigation or settlement of claims arising from the performance of this Agreement, in which case Contractor agrees to maintain same until the City, the FTA Administrator, the Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto. 49 CFR 18.36(i)(11).

IV. DEBARMENT AND SUSPENSION

See Certification Regarding Debarment, Suspension, and Other Responsibility Matters.

V. NO FEDERAL GOVERNMENT OBLIGATIONS TO CONTRACTOR

Q. The City and Contractor acknowledge and agree that, notwithstanding any concurrence by the Federal Government in or approval of the solicitation or award of the underlying contract, absent the express written consent by the Federal Government, the Federal Government is not a party to this contract and shall not be subject to any obligations or liabilities to the City, Contractor, or any other party (whether or not a party to that contract) pertaining to any matter resulting from the underlying contract.

R. The Contractor agrees to include the above clause in each subcontract financed in whole or in part with Federal assistance provided by FTA. It is further agreed that the clause shall not be modified, except to identify the subcontractor who will be subject to its provisions.

VI. CIVIL RIGHTS

S. Nondiscrimination - In accordance with Title VI of the Civil Rights Act, as amended, 42 U.S.C. § 2000d, section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6102, section 202 of the Americans with Disabilities Act of 1990, 41 U.S.C. § 12132, and Federal transit law at 49 U.S.C. § 5332, the Contractor agrees that it will not discriminate against any employee or applicant for employment because of race, color, creed, national origin, sex, age, or


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2 3 –


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disability. In addition, the Contractor agrees to comply with applicable Federal implementing regulations and other implementing requirements FTA may issue.

T. Equal Employment Opportunity - The following equal employment opportunity requirements apply to the underlying contract:

1. Race, Color, Creed, National Origin, Sex - In accordance with Title VII of the Civil Rights Act, as amended, 42 U.S.C. § 2000e, and Federal transit laws at 49 U.S.C. § 5332, the Contractor agrees to comply with all applicable equal employment opportunity requirements of U.S. Department of Labor (U.S. DOT) regulations, “Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor,” 41 CFR Parts 60 et seq., (which implement Executive Order No. 11246, “Equal Employment Opportunity,” as amended by Executive Order No. 11375, “Amending Executive Order 11246 Relating to Equal Employment Opportunity,” 42 U.S.C. § 2000e note), and with any applicable Federal statutes, executive orders, regulations, and Federal policies that may in the future affect construction activities undertaken in the course of the Project. The Contractor agrees to take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, color, creed, national origin, sex, or age. Such action shall include, but not be limited to, the following: employment, upgrading, demotion or transfer, recruitment or recruitment advertising, layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. In addition, the Contractor agrees to comply with any implementing requirements FTA may issue.

2. Age - In accordance with section 4 of the Age Discrimination in Employment Act of 1967, as amended, 29 U.S.C. § 623 and Federal transit law at 49 U.S.C. § 5332, the Contractor agrees to refrain from discrimination against present and prospective employees for reason of age. In addition, the Contractor agrees to comply with any implementing requirements FTA may issue.

3. Disabilities - In accordance with section 102 of the Americans with Disabilities Act, as amended, 42 U.S.C. § 12112, the Contractor agrees that it will comply with the requirements of U.S. Equal Employment Opportunity Commission, “Regulations to Implement the Equal Employment Provisions of the Americans with Disabilities Act,” 29 CFR Part 1630, pertaining to employment of persons with disabilities. In addition, the Contractor agrees to comply with any implementing requirements FTA may issue.

U. The Contractor also agrees to include these requirements in each subcontract financed in whole or in part with Federal assistance provided by FTA, modified only if necessary to identify the affected parties.

VII. DBE/SBE ASSURANCES

Pursuant to 49 C.F.R. Section 26.13, the Contractor is required to make the following assurance in its agreement with SFMTA and to include this assurance in any agreements it makes with subcontractors in the performance of this contract:

The Contractor or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The Contractor shall carry out applicable requirements of 49 C.F.R. Part 26 in the award and administration of DOT-assisted contracts. Failure by the Contractor or Subcontractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as SFMTA deems appropriate.

VIII. PATENT RIGHTS (applicable to contracts for experimental, research, or development projects financed by FTA)


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V. General. If any invention, improvement, or discovery is conceived or first actually reduced to practice in the course of or under this Agreement, and that invention, improvement, or discovery is patentable under the laws of the United States of America or any foreign country, the City and Contractor agree to take actions necessary to provide immediate notice and a detailed report to the FTA.

W. Unless the Federal Government later makes a contrary determination in writing, irrespective of the Contractor’s status (large business, small business, state government or instrumentality, local government, nonprofit organization, institution of higher education, individual), the City and Contractor agree to take the necessary actions to provide, through FTA, those rights in that invention due the Federal Government described in U.S. Department of Commerce regulations, “Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements,” 37 CFR Part 401.

X. The Contractor also agrees to include the requirements of this clause in each subcontract for experimental, developmental, or research work financed in whole or in part with Federal assistance provided by FTA.

IX. RIGHTS IN DATA AND COPYRIGHTS (Applicable to contracts for planning, research, or development financed by FTA)

Y. Definition. The term "subject data" used in this section means recorded information, whether or not copyrighted, that is delivered or specified to be delivered under this Agreement. The term includes graphic or pictorial delineation in media such as drawings or photographs; text in specifications or related performance or design-type documents; machine forms such as punched cards, magnetic tape, or computer memory printouts; and information retained in computer memory. Examples include, but are not limited to, computer software, engineering drawings and associated lists, specifications, standards, process sheets, manuals, technical reports, catalog item identifications, and related information. The term “subject data” does not include financial reports, cost analyses, and similar information incidental to contract administration.

Z. Federal Restrictions. The following restrictions apply to all subject data first produced in the performance of this Agreement.

1. Publication of Data. Except for its own internal use in conjunction with the Agreement, Contractor may not publish or reproduce subject data in whole or in part, or in any manner or form, nor may Contractor authorize others to do so, without the written consent of the Federal Government, until such time as the Federal Government may have either released or approved the release of such data to the public; this restriction on publication, however, does not apply to any contract with an academic institution.

2. Federal License. In accordance with 49 CFR §§ 18.34 and 19.36, the Federal Government reserves a royalty-free, non-exclusive and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, “for Federal Government purposes,” any subject data or copyright described below. As used in the previous sentence, “for Federal Government purposes” means use only for the direct purposes of the Federal Government. Without the copyright owner’s consent, the Federal Government may not extend its Federal license to any other party:

1. Any subject data developed under this Agreement, whether or not a copyright has been obtained; and


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2. Any rights of copyright purchased by City or Contractor using Federal assistance in whole or in part provided by FTA.

3. FTA Intention. When FTA awards Federal assistance for an experimental, research or developmental work, it is FTA's general intention to increase transportation knowledge available to the public, rather than to restrict the benefits resulting from the work to participants in the work. Therefore, unless FTA determines otherwise, the Contractor performing experimental, research, or developmental work required by the underlying Agreement agrees to permit FTA to make available to the public, either FTA's license in the copyright to any subject data developed in the course of the Agreement, or a copy of the subject data first produced under the Agreement for which a copyright has not been obtained. If the experimental, research, or developmental work which is the subject of this Agreement is not completed for any reason whatsoever, all data developed under this Agreement shall become subject data as defined in Subsection a. above and shall be delivered as the Federal Government may direct. This subsection does not apply to adaptations of automatic data processing equipment or programs for the City’s use the costs of which are financed with Federal transportation funds for capital projects.

4. Hold Harmless. Unless prohibited by state law, upon request by the Federal Government, the Contractor agrees to indemnify, save, and hold harmless the Federal Government, its officers, agents, and employees acting within the scope of their official duties, against any liability, including costs and expenses, resulting from any willful or intentional violation by the Contractor of proprietary rights, copyrights, or right of privacy, arising out of the publication, translation, reproduction, delivery, use, or disposition of any data furnished under this Agreement. The Contractor shall not be required to indemnify the Federal Government for any such liability arising out of the wrongful acts of employees or agents of the Federal Government.

5. Restrictions on Access to Patent Rights. Nothing contained in this section on rights in data shall imply a license to the Federal Government under any patent or be construed as affecting the scope of any license or other right otherwise granted to the Federal Government under any patent.

6. Application to Data Incorporated into Work. The requirements of Subsections (2), (3) and (4) of this Section do not apply to data developed by the City or Contractor and incorporated into the work carried out under this Agreement, provided that the City or Contractor identifies the data in writing at the time of delivery of the work.

7. Application to Subcontractors. Unless FTA determines otherwise, the Contractor agrees to include these requirements in each subcontract for experimental, developmental, or research work financed in whole or in part with Federal assistance provided by FTA.

AA. Provision of Rights to Government. Unless the Federal Government later makes a contrary determination in writing, irrespective of the Contractor’s status (large business, small business, state government or instrumentality, local government, nonprofit organization, institution of higher education, individual, etc.), the City and Contractor agree to take the necessary actions to provide, through FTA, those rights in that invention due the Federal Government described in U.S. Department of Commerce regulations, “Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements,” 37 CFR Part 401.


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BB. Flow Down. The Contractor also agrees to include these requirements in each subcontract for experimental, developmental, or research work financed in whole or in part with Federal assistance provided by FTA.

X. CONTRACT WORK HOURS AND SAFETY STANDARDS (applicable to nonconstruction contracts in excess of $100,000 that employ laborers or mechanics on a public work)

CC. Overtime requirements - No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek.

DD. Violation; liability for unpaid wages; liquidated damages - In the event of any violation of the clause set forth in paragraph A of this section the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph A of this section, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph A of this section.

EE. Withholding for unpaid wages and liquidated damages - The City and County of San Francisco shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (2) of this section.

FF. Subcontracts - The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraphs A through D of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs A through D of this section.

XI. ENERGY CONSERVATION REQUIREMENTS

The Contractor agrees to comply with mandatory standards and policies relating to energy efficiency which are

contained in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act.

XII. CLEAN WATER REQUIREMENTS (applicable to all contracts in excess of $100,000)

GG. The Contractor agrees to comply with all applicable standards, orders, or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. §§ 1251 et seq. Contractor agrees to report each violation of these requirements to the City and understands and


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agrees that the City will, in turn, report each violation as required to assure notification to FTA and the appropriate EPA regional office.

HH. The Contractor also agrees to include these requirements in each subcontract exceeding $100,000 financed in whole or in part with Federal assistance provided by FTA.

XIII. CLEAN AIR (applicable to all contracts and subcontracts in excess of $100,000, including indefinite quantities where the amount is expected to exceed $100,000 in any yea.)

II. Contractor agrees to comply with applicable standards, orders, or regulations issued pursuant to the Clean Air Act, as amended, 42 U.S.C. §§ 7401 et seq. The Contractor agrees to report each violation to the City and understands and agrees that the City will, in turn, report each violation as required to assure notification to FTA and the appropriate EPA Regional Office.

JJ. The Contractor also agrees to include these requirements in each subcontract exceeding $100,000 financed in whole or in part with Federal assistance provided by FTA.

XIV. PRIVACY

If Contractor or its employees administer any system of records on behalf of the Federal Government,

Contractor and its employees agree to comply with the information restrictions and other applicable requirements of the

Privacy Act of 1974, 5 U.S.C. § 552a (the Privacy Act). Specifically, Contractor agrees to obtain the express consent of

the Federal Government before the Contractor or its employees operate a system of records on behalf of the Government.

Contractor acknowledges that the requirements of the Privacy Act, including the civil and criminal penalties for violations

of the Privacy Act, apply to those individuals involved, and that failure to comply with the terms of the Privacy Act may

result in termination of this Agreement. The Contractor also agrees to include these requirements in each subcontract to

administer any system of records on behalf of the Federal Government financed in whole or in part with Federal

assistance provided by FTA.

XV. DRUG AND ALCOHOL TESTING

To the extent Contractor, its subcontractors or their employees perform a safety-sensitive function under the

Agreement, Contractor agrees to comply with, and assure compliance of its subcontractors, and their employees, with 49

U.S.C. § 5331, and FTA regulations, "Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations," 49

CFR Part 655.

XVI. TERMINATION FOR CONVENIENCE OF CITY (required for all contracts in excess of $10,000)

See Agreement Terms and Conditions.

XVII. TERMINATION FOR DEFAULT (required for all contracts in excess of $10,000)

See Agreement Terms and Conditions.

XVIII. FALSE OR FRAUDULENT STATEMENTS AND CLAIMS


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KK. The Contractor acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. §§ 3801 et seq. and U.S. DOT regulations, “Program Fraud Civil Remedies,” 49 CFR Part 31, apply to its actions pertaining to this Project. Upon execution of the underlying Agreement, the Contractor certifies or affirms the truthfulness and accuracy of any statement it has made, it makes, it may make, or causes to be made, pertaining to the underlying contract or the FTA-assisted Project for which this contract work is being performed. In addition to other penalties that may be applicable, the Contractor further acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification, the Federal Government reserves the right to impose the penalties of the Program Fraud Civil Remedies Act of 1986 on the Contractor to the extent the Federal Government deems appropriate.

LL. The Contractor also acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification to the Federal Government under a contract connected with a Project that is financed in whole or in part with Federal assistance originally awarded by FTA under the authority of 49 U.S.C. § 5307, the Government reserves the right to impose the penalties of 18 U.S.C. § 1001 and 49 U.S.C. § 5307(n)(1) on the Contractor, to the extent the Federal Government deems appropriate.

MM. The Contractor agrees to include the above two clauses in each subcontract financed in whole or in part with Federal assistance provided by FTA. It is further agreed that the clauses shall not be modified, except to identify the subcontractor who will be subject to the provisions.

XIX. FLY AMERICA

The Contractor agrees to comply with 49 U.S.C. 40118 (the “Fly America” Act) in accordance with

the General Services Administration’s regulations at 41 CFR Part 301-10, which provide that

recipients and subrecipients of Federal funds and their contractors are required to use U.S. Flag air

carriers for U.S Government-financed international air travel and transportation of their personal

effects or property, to the extent such service is available, unless travel by foreign air carrier is a

matter of necessity, as defined by the Fly America Act. The Contractor shall submit, if a foreign air

carrier was used, an appropriate certification or memorandum adequately explaining why service by a

U.S. flag air carrier was not available or why it was necessary to use a foreign air carrier and shall, in

any event, provide a certificate of compliance with the Fly America requirements. The Contractor

agrees to include the requirements of this section in all subcontracts that may involve international air

transportation.

XX. INCORPORATION OF FEDERAL TRANSIT ADMINISTRATION (FTA) TERMS

The preceding provisions include, in part, certain Standard Terms and Conditions required by DOT,

whether or not expressly set forth in the preceding contract provisions. All contractual provisions

required by DOT, as set forth in FTA Circular 4220.1F, are hereby incorporated by reference.

Anything to the contrary herein notwithstanding, all FTA mandated terms shall be deemed to control

in the event of a conflict with other provisions contained in this Agreement. The Contractor shall not

perform any act, fail to perform any act, or refuse to comply with any (name of grantee) requests

which would cause (name of grantee) to be in violation of the FTA terms and conditions.


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XXI. TRANSIT EMPLOYEE PROTECTIVE AGREEMENTS (applicable to each contract for transit operations performed by employees of a Contractor recognized by FTA to be a transit operator)

NN. The Contractor agrees to the comply with applicable transit employee protective requirements as follows:

1. General Transit Employee Protective Requirements - To the extent that FTA determines that transit operations are involved, the Contractor agrees to carry out the transit operations work on the underlying contract in compliance with terms and conditions determined by the U.S. Secretary of Labor to be fair and equitable to protect the interests of employees employed under this contract and to meet the employee protective requirements of 49 U.S.C. A 5333(b), and U.S. DOL guidelines at 29 C.F.R. Part 215, and any amendments thereto. These terms and conditions are identified in the letter of certification from the U.S. DOL to FTA applicable to the FTA Recipient's Project from which Federal assistance is provided to support work on the underlying contract. The Contractor agrees to carry out that work in compliance with the conditions stated in that U.S. DOL letter. The requirements of this subsection A, however, do not apply to any contract financed with Federal assistance provided by FTA either for projects for elderly individuals and individuals with disabilities authorized by 49 U.S.C. § 5310(a)(2), or for projects for nonurbanized areas authorized by 49 U.S.C. § 5311. Alternate provisions for those projects are set forth in subsections (2) and (3) of this clause.

2. Transit Employee Protective Requirements for Projects Authorized by 49 U.S.C. § 5310(a)(2) for Elderly Individuals and Individuals with Disabilities - If the contract involves transit operations financed in whole or in part with Federal assistance authorized by 49 U.S.C. § 5310(a)(2), and if the U.S. Secretary of Transportation has determined or determines in the future that the employee protective requirements of 49 U.S.C. § 5333(b) are necessary or appropriate for the state and the public body subrecipient for which work is performed on the underlying contract, the Contractor agrees to carry out the Project in compliance with the terms and conditions determined by the U.S. Secretary of Labor to meet the requirements of 49 U.S.C. § 5333(b), U.S. DOL guidelines at 29 C.F.R. Part 215, and any amendments thereto. These terms and conditions are identified in the U.S. DOL's letter of certification to FTA, the date of which is set forth Grant Agreement or Cooperative Agreement with the state. The Contractor agrees to perform transit operations in connection with the underlying contract in compliance with the conditions stated in that U.S. DOL letter.

3. Transit Employee Protective Requirements for Projects Authorized by 49 U.S.C. § 5311 in Nonurbanized Areas - If the contract involves transit operations financed in whole or in part with Federal assistance authorized by 49 U.S.C. § 5311, the Contractor agrees to comply with the terms and conditions of the Special Warranty for the Nonurbanized Area Program agreed to by the U.S. Secretaries of Transportation and Labor, dated May 31, 1979, and the procedures implemented by U.S. DOL or any revision thereto.

OO. The Contractor also agrees to include the any applicable requirements in each subcontract involving transit operations financed in whole or in part with Federal assistance provided by FTA.

XXII. NATIONAL ITS ARCHITECTURE POLICY (Applicable to contracts for ITS projects)

If providing Intelligent Transportation Systems (ITS) property or services, Contactor shall comply with the National ITS Architecture and standards to the extent required by 23 U.S.C. § 512, FTA Notice, "FTA National ITS Architecture Policy on Transit Projects," 66 FR 1455, et seq., January 8, 2001, and later published policies or implementing directives FTA may issue.


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XXIII. TEXTING WHILE DRIVING; DISTRACTED DRIVING

Consistent with Executive Order 13513 “Federal Leadership on Reducing Text Messaging While Driving”, Oct. 1, 2009 (available at http://edocket.access.gpo.gov/2009/E9-24203.htm ) and DOT Order 3902.10 “Text Messaging While Driving”, Dec. 30, 2009, SFMTA encourages Contractor to promote policies and initiatives for employees and other personnel that adopt and promote safety policies to decrease crashes by distracted drivers, including policies to ban text messaging while driving, and to include this provision in each third party subcontract involving the Project.

XXIV. SEAT BELT USE

In compliance with Executive Order 13043 “Increasing Seat Belt Use in the United States”, April 16, 1997 23 U.S.C. Section 402 note, the SFMTA encourages Contractor to adopt and promote on-the-job seat belt use policies and programs for its employees and other personnel that operate company owned, rented, or personally operated vehicles, and to include this provision in each third party subcontract involving the Project.

http://edocket.access.gpo.gov/2009/E9-24203.htm


Appendix 3

Appendix 3: Protest Procedures 3-1 June 13, 2014

EAMS RFP Ver. 1

MUNICIPAL TRANSPORTATION AGENCY

SAN FRANCISCO MUNICIPAL RAILWAY

PROTEST PROCEDURES

FOR THE

BIDDING AND AWARD OF

FEDERALLY ASSISTED

THIRD PARTY CONTRACTS (Construction, public improvements, personal services,

negotiated procurement and other major procurement contracts) REVISED: JULY 2000

1. Policy

In the event that any protests, discrepancies, or legal questions arise during the bidding and

award process of federally assisted construction, public improvements, personal services,

negotiated procurement and other major procurement contracts, the Administrative Engineer

shall report unresolved protests to the Director of Transportation, who shall review the protest

and recommend its resolution to the Municipal Transportation Agency (Agency). These

procedures shall be incorporated by reference in all bid packages.

2. Definitions

Administrative Engineer (AE) refers to the San Francisco Municipal Railway engineer in

charge of administering the contract which is the subject of the protest. AE also refers to the

Project Manager for the Project when there is no engineer administering the contract.

Award shall mean authorization by resolution of the Municipal Transportation Agency Board

for its staff to contract with a bidder or proposer, or recommendation by resolution of the Agency

that the City's Board of Supervisors approve a contract to a bidder or proposer.

Award Process includes the pre-award, award and post-award phases of a negotiated

procurement, a request for proposals (RFP) and a sealed bid.

Bid includes the terms “offer” or “proposal” as used in the context of negotiated procurements,

requests for proposals and sealed bids.

City means the City and County of San Francisco, acting through the Municipal Transportation

Agency.

Days refer to working days of the City and County of San Francisco (unless otherwise

indicated).


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EAMS RFP Ver. 1

Deputy General Manager refers to either (a) the Chief Operating Officer (b) the Deputy

General Manager, Construction Division, or (c) the Deputy General Manager, Finance and

Administration of the San Francisco Municipal Railway.

Director refers to the Director of Transportation.

Disadvantaged Business Enterprise or DBE is a for-profit, small business concern (1) that is at

least fifty-one percent (51%) owned by one or more individuals who are both socially and

economically disadvantaged or, in the case of a corporation, in which fifty-one (51%) of the

stock is owned by one or more such individuals; and (2) whose management and daily business

operations are controlled by one or more of the socially and economically disadvantaged

individuals who own it.

Federal Transit Administration (FTA) is an operating administration of the U.S. Department

of Transportation.

Municipal Transportation Agency (Agency) is the department of the City and County of San

Francisco that is in charge of the construction, management, supervision, maintenance,

extension, operation, use and property of the San Francisco Municipal Railway, and, as of July 1,

2000, has exclusive authority over contracting, leasing and purchasing by the Municipal

Railway, subject to certain restrictions of the City's Charter. The Agency acts through the

Director of Transportation and its Board of Directors, as applicable.

Protest is a complaint by a bidder or proposer regarding a bid or the award process which arises

prior to award and is formally communicated to the Director, as provided below.

Post-Award Protest is a complaint by a bidder or proposer when Municipal Transportation

Agency awards a contract, or recommends that the Board of Supervisors award a contract, to

other than the bidder or proposer recommended for award by Muni staff.

San Francisco Municipal Railway (MUNI) refers to the San Francisco Municipal Railway of

the Municipal Transportation Agency of the City and County of San Francisco.

3. Responsibilities:

3.1 The Administrative Engineer (AE) obtains the response to issues not related to DBE compliance

and coordinates the resolution of all protest issues.

3.2 The Contract Compliance Office (CCO) resolves issues regarding DBE compliance.

3.3 In the event that a protest is not resolved by the AE, the Director shall review the protest and

make a recommendation to the Agency for final action.

4. Implementation


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4.1. Submit Protest

A protest describing the nature of the disagreement must be submitted in writing to Muni no later

than five (5) days following notification of proposed award. A post-award protest describing the

nature of the disagreement must be submitted in writing to Muni no later than five (5) days

following the Notification of Award of the contract. If the bid procedure requires submission of

documents in separate phases and bidders may be disqualified at the end of a phase prior to the

final award, then protests regarding a phase of the procedure (including protests concerning

documents received by bidders during the phase) must be submitted in writing with a description

of the disagreement to Muni no later than five (5) days following receipt of notification of the

results of that phase.

Protests shall be addressed to:

Director of Transportation

Municipal Transportation Agency

1 South Van Ness Avenue; 7th

Floor


with a copy to:

Director of Office of Contract Administration/Purchaser

City Hall; Room 430

1 Dr. Carlton B. Goodlett Place


The letter shall contain the Project description and shall be signed and dated. Information copies

of all protests shall be sent to:

Deputy General Manager

Finance and Information Technology

San Francisco Municipal Railway

1 South Van Ness Avenue; 7th

Floor


4.2 Coordination Efforts

With direction from the Director, and following the requirements of FTA Circular 4220.1D, the

AE shall determine the nature of the disagreement and coordinate resolution efforts.

4.3. Disadvantaged Business Enterprise (DBE) Requirements

If the protest involves meeting DBE requirements, the AE shall forward a copy of the protest to the Contract

Compliance Office for review and recommendations. The AE shall also send a copy to the City Attorney for

information.

The CCO shall review DBE requirements for the Project and examine whether the protest has

merit. Based on the examination, the CCO shall notify the Director and the AE of its decision.

The AE shall provide copies of the decision to the Deputy General Manager of Finance and

Administration. The AE shall then inform the protester, in writing, of the decision, responding at


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least generally to each material issue raised in the protest. The AE’s letter to the protester shall

state that (a) the protester may contact the AE to discuss the response, (b) the protester has the

right to appeal his decision to the Director pursuant to Section 4.5, and (c) the protester has the

right to address the Agency on the date when the matter is calendared to be heard if the Director

denies the appeal.

Regarding the issue of whether a bidder has met its DBE goal or demonstrated good faith efforts

in reaching the contract-specific DBE goal, the CCO's determination will be administratively

final except when the CCO has determined that an apparent low bidder has failed to meet its goal

or make the required good faith efforts. In that situation, the procedures in Section V.D.3.v of

the Agency's DBE Program apply to requests for reconsideration from the apparent low bidder.

Neither the Director nor the Agency will have jurisdiction to hear administrative appeals or

requests for reconsideration of the CCO's decision on good faith efforts.

4.4 Issues Not Related to DBE Requirements

If the protest concerns complaints regarding discrepancies in the bid documents, missing or

required documentation, or the selection process, and is not related to DBE requirements, the AE

or designee shall prepare a memorandum to the City Attorney’s Office requesting an opinion on

the protest. The AE shall attach a copy of the bidder’s protest and all documentation form the

bid package and any other document deemed necessary by the attorney.

Upon receipt of the memorandum, the City Attorney’s Office will investigate and respond with

an opinion to the Director and the AE for review and evaluation. The AE shall provide copies of

the opinion to the Deputy General Manager of Construction Division, Deputy General Manager

of Finance and Administration, and the CCO. The AE shall inform the protester in writing of the

AE’s recommendation, stating the reasons for the recommendation, and responding at least

generally to each material issue raised in the protest. The AE’s letter to the protester shall state

that (a) the protester may contact the AE to discuss the response, (b) the protester has the right to

appeal the decision to the Director pursuant to Section 4.5, and (c) the protester has the right to

address the Agency on the date when the matter is calendared to be heard if the Director denies

the appeal.

4.5 Disagreement by Protester

Except as provided in Section 4.3, in the event that the protester disagrees with the

recommendations or decisions rendered, the protester may submit a written request to the

Director for review of the decision within five (5) days of receipt of the AE’s letter responding to

the protest. The Director shall review the decision and make a recommendation to Agency for

final action. The AE shall inform the protester of the Director’s recommendation, the date when

the Agency will consider the item, and the protester’s opportunity to address the Agency

regarding the matter.

4.6 Incorporate Legal Opinion/Recommendation

The AE shall incorporate appropriate language reflecting the outcome of the protest in the

calendar item and resolution for approval of the contract by the Agency. However, in the event


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EAMS RFP Ver. 1

of a multi-phased bid procedure as described in Section 4.1 above, the protest may be considered

by the Agency prior to the meeting when final award is determined.

4.7 Final Action

The protester shall be notified in writing of the Agency decision regarding the protest and/or

award of the contract.

The action of the Agency is final. Subject to the provisions of Section 4.8, the protester may

seek a remedy in State or Federal court, as appropriate, from the final action of the Agency.

4.8 Protest to FTA

FTA may only entertain a protest that alleges that the Agency (1) failed to have written protest

procedures; (2) failed to follow its written protest procedures; or (3) failed to review a complaint

or protest. A protest to FTA must be received by the cognizant FTA regional or Headquarters

Office within five (5) working days of the date the protester knew or should have known of the

violation. A protester must exhaust all administrative remedies with the Agency before pursuing

a protest with FTA.

Appendix 4

Appendix 4: Certification Regarding Debarment etc. June 13, 2014

4-1 EAMS RFP Ver. 1

Certification Regarding Debarment, Suspension,

and Other Responsibility Matters-

Lower Tier Covered Transactions (Third Party Contracts over $25,000)

Grantees and subgrantees must not make any award or permit any award (subgrant or contract) at any

tier to any party which is debarred or suspended or is otherwise excluded from or ineligible for

participation in Federal assistance programs under Executive Order 12549, “Debarment and

Suspension.” Therefore, by signing and submitting its bid or proposal, the bidder or proposer certifies

as follows:

The certification in this clause is a material representation of fact relied upon by the San Francisco

Municipal Transportation Agency ("SFMTA"). If it is later determined that the bidder or proposer

knowingly rendered an erroneous certification, in addition to remedies available to the SFMTA, the

Federal Government may pursue available remedies, including but not limited to suspension and/or

debarment. The bidder or proposer agrees to comply with the requirements of 2 CFR Parts 180, Subpart

C and 1200, Subpart C while this offer is valid and throughout the period of any contract that may arise

from this offer. The bidder or proposer further agrees to include a provision requiring such compliance

in its lower tier covered transactions.