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Agenda 07/27/2010 Item #10BAgenda Item No. 106 July 27, 2010 EXECUTIVE SUMMARY Page 1 of 138 Recommendation to approve the award of RFP 10 -5455, Management Services Contract, for the Collier Area Transit (CAT) Fixed Route and Paratransit Programs to Limousines of South Florida, Inc. /Tectrans, Inc. for an estimated annual amount of $6,092,167.00. OBJECTIVE: To award to Tectrans a contract to provide complete consolidated operations and management of both Collier County's fixed route and Paratransit systems in order to achieve better coordination of all public transportation services. CONSIDERATION: Requests for proposals # 10 -5455 "Consolidated Management Contract for the Collier County Fixed Route and Paratransit Systems" were solicited on March 15, 2010. Notifications were sent to 286 firms and 49 packages were downloaded. Five proposals were received by the closing date of April 14, 2010 and one firm withdrew before the presentations were held. Four proposals were evaluated and ranked by a selection committee are as follows: 1. Tectrans, Inc. 2. McDonald Transit Associates, Inc. 3. MV Contract Transportation, line. 4. Nationwide Transportation Systems, Inc. By consensus of the selection committee, the recommended management firm for award is Tectrans, Inc. The resulting contract is intended to be for three (3) years with two (2) one (1) year renewal options. It is anticipated that further modifications will take place throughout the contract term to provide for added or adjusted transit routes. Subsequent to the public announcement of the staff award recommendation, the Purchasing Department received a formal written protest filed by legal counsel on behalf of McDonald Transit Associates, Inc. A copy of that protest and the Purchasing Director's decision regarding the protest are enclosed with this executive summary. Prior to the presentation of the award recommendation and the formal protest by McDonald Transit Associates, it was learned that a scoring error had occurred with one of the selection committee members' score sheet. Accordingly, the selection committee was subsequently reconvened on June 28, 2010 to address the issue. The committee deliberated in public and heard comments from three of the firms competing for the contract. Based on the information presented and discussed publicly, the committee unanimously agreed to retain the same rankings as originally recommended. FISCAL IMPACT: The estimated contract amount for FYI 0/11 for the Fixed Route and Paratransit Programs is $6,092,167. Funding for this contract is budgeted in Transit Funds 426 and 427 and Transit Grant Funds 424, 425, 428 and 429. The contract is supported by several sources of federal and state funding which includes, Federal Transit Administration (FTA) 5307 Grants recurring operating funds ($253,655), Florida Department of Transportation State Block Grant funds ($703,160), Trip & Equipment Grant funds ($587,433), ETA Section 5311 Rural Area Grant funds ($286,025) and Medicaid Funds ($507,266). The balance, after all grant funding is exhausted is supported with combined local funding from Gas Tax (313) and General Fund (001). Agenda Item No. 10B July 27, 2010 Page 2 of 138 LEGAL CONSIDERATIONS: The following are the legal considerations with respect to a bid protest The legislative intent in government procurement in Florida is there must be "fair and open competition," as "such competition reduces the appearance and opportunity for favoritism and inspires public confidence that contracts are awarded equitably and economically." Fl. Stat. Sec. 287.001. The award of a government contract must be in accordance with the local government's rules, policies and solicitation process. The award of a contract must be based on the criteria set forth in the bid documents. In keeping with the County's Protest Procedures, the Purchasing Director has issued a decision with respect to the protest by McDonald Transit Associates, Inc. You may, if you choose, adopt this decision, provided you find that (1) the proposed award is consistent with the County's purchasing policies, (2) that the award was based on the criteria set forth in the bid documents, and (3) that you find that the decision was not arbitrary, capricious, dishonest, or fraudulent. An arbitrary decision is one that is not supported by facts or logic. A capricious decision is one adopted without thought or reason or is irrational. The County's Protest Procedure, however, does not compel you to simply adopt or reject the Purchasing Director's decision. You may, if you wish, treat this as a de novo hearing. A de novo hearing is one in which you would hear the matter on your own, as if for the first time, and make the decision. Should you choose to do this, you will need to hear all of the bidders' oral and written presentations, then, based on the criteria set forth in the County's bid documents, award the contract yourselves. Should you choose to do this, you would need to bring the matter back for a full, advertised hearing. -JAK GROWTH MANAGEMENT IMPACT: Consistent with Objective 12 of the Transportation Element of the Growth Management Plan. RECOMMENDATION: That the Board approves awarding the contract to Tectrans, Inc. to provide complete consolidated operations and management of both Collier County's fixed route and Paratransit systems in order to achieve better coordination of all public transportation services; and authorize the Chairman to execute the negotiated contract after review by the County Attorney's Office. Prepared by: Yousi Cardeso, Administrative Assistant, Alternative Transportation Modes Agenda Item No. 10B July 27, 2010 Page 3 of 138 COLLIER COUNTY BOARD OF COUNTY COMMISSIONERS Item Number: 10B Item Summary: This item to be heard at 3:00 p.m. This item continued from the June 22, 2010 BCC Meeting. Recommendation to approve the award of RFP 10 -5455, Management Services Contract, for the Collier Area Transit (CAT) Fixed Route and Paratransit Programs to Limousines of South Florida, Inc. /Tectrans, Inc. for an estimated annual amount of $6,092,167. (Norman Feder, Growth Management Division Administrator) Meeting Date: 7/27/2010 9:00:00 AM Prepared By Yousi Cardeso Administrative Assistant Date Transportation Division Alternative Transportation Modes 6/9/2010 4:04:29 PM Approved By Brenda Brilhart Purchasing Agent Date Administrative Services Division Purchasing & General Services 619120104:34 PM Approved By Scott R. Teach Deputy County Attorney Date County Attorney County Attorney 6/1012010 3:49 PM Approved By Rhonda Cummings Contracts Specialist Date Administrative Services Division Purchasing 8 General Services 6/10/2010 3:54 PM Approved By Norm E. Feder, AICP Administrator - Transportation Date Transportation Division Transportation Administration 611 0/201 0 4:25 PM Approved By Lisa Taylor Management/Budget Analyst Date Transportation Division Transportation Administration 6/10/2010 4:37 PM Approved By Nick Casalanguida Director - Transportation Planning Date Transportation Division Transportation Planning 6/1012010 4:44 PM Approved By Michelle Edwards Arnold Director - Alt Transportation Modes Date -^ Transportation Division Alternative Transportation Modes 6/10/2010 4:46 PM Approved By Agenda Item No. 1013 July 27, 2010 Page 4 of 138 Natal! Betancur Administrative Assistant Date Transportation Division Transportation Road Maintenance 6/10120104:48 PM Approved By Steve Carnell Director- Purchasing /General Services Date Administrative Services Division Purchasing & General Services 6/1112010 7:31 AM Approved By Jeff Klatzkow County Attorney Date 6111/2010 3:05 PM Approved By OMB Coordinator Date County Manager's Office Office of Management & Budget 7/15/2010 4:16 PM Approved By Therese Stanley Manager - Operations Support - Trans Date Office of Management & Budget Office of Management & Budget 7/15/2010 5:40 PM Approved By Leo E. Ochs, Jr. County Manager Date County Managers office County Managers office 7/1812010 3:50 PM Agenda Item No. 10B July 27, 2010 Page 5 of 188 Patrick G. White May 27, 2010 Of Counsel pwhite@porterwright.com Board Certified in City. County, and Local VIA HAND DELIVERY Government Law Porter Wright Mr. Steve Carnell Morris B Arthur LLP purchasing Director 9132 Strada Place, Third Floor Naples, Florida 34108 -2683 Collier County Administrative Services Divisions, Purchasing Direct: 239 -593 -2963 and General Services Fax: 239 -593 -2990 Toll free 800 -876 -7962 3301 Tamiami Trail East, Bldg. g� www.porterwright.com Naples, FL 34112 porterwright Re: Formal Written Protest of McDonald Transit Associates, Inc., of a Recommended Contract Award CINCINNATI CLEVELAND COLUMBUS Dear Mr. Camel[: DAYTON NAPLES This law firm represents McDonald Transit Associates, Inc. (MTA) WASHINGTON. OC concerning its Formal Written Protest relating to the recommended award of Collier County RFP 10 -5455 to Tectrans, Inc. (TECTRANS). Enclosed you will please find for filing an original and one (1) copy of MTA's timely filed "Formal Written Protest of Recommended Contract Award for Management Services Contract for the Collier area Transit (CAT) Fixed Route and Paratransit Program, Collier County RFP 10 -5455. We would respectfully request that this law firm and MTA be provided, in writing, advance notice of the date and time of any meeting, or hearing set, convened, scheduled or established to consider this timely filed Formal Written Protest, with such written notice being provided to both parties not less than two (2) business days in advance of said meeting or hearing. In addition, as outlined within the Formal Written Protest, because not all of the public records, documents, and materials requested from Collier County have been provided pursuant to a public records request, MTA reserves the right to amend and supplement the Formal Written Protest once additional materials are provided. Please provide written acknowledgement that this Formal Written Protest has been timely filed and received by the Purchasing Director of Collie) County, and should you have any further questions please do not hesitate tc contact me. r _ Patrick G. White PGW:ag NAPLES /583646 vol Agenda Item No, 1013 July 27, 2010 Page 601`138 FORMAL WRITTEN PROTEST OF MCDONALD TRANSIT ASSOCIATES, INC., OF A RECOMMENDED RFP- CONTRACT AWARD DATE: May 27, 2010 1. NAME AND ADDRESS OF COUNTY AGENCY AFFECTED AND THE PROPOSAL NUMBER AND TITLE: Administrative Services Division, Purchasing and General Services 3301 E. Tamiami Trail, Building G, Naples, Florida 34112 and Transportation Division, Alternative Transportation Modes (ATM) 2885 S. Horseshoe Drive Naples, Florida 34104 Collier County RFP 10 -5455 also described as " Management Services Contract for the Collier Area Transit (CAT) Fixed Route and Paratransit Program." 2. NAME AND ADDRESS OF PROTESTING PARTY McDonald Transit Associates, Inc. 3800 Sandshell Suite 175 Fort Worth, Texas 76137 3. STATEMENT OF DISPUTED ISSUES OF MATERIAL FACTS. McDonald Transit Associates, Inc. (hereinafter "MTA "): a. Disputes and contests that TECTRANS, Inc. (hereinafter "TECTRANS ") properly qualifies as the highest ranked recommended entity as set forth in RFP 10 -5455 "Management Services Contract for the Collier Area Transit (CAT) Fixed Route and Paratransit Program, and the Collier County Purchasing Policy," hereafter the RFP. b. Disputes and contests that TECTRANS has demonstrated prior public transit experience sufficient to warrant the overall first place ranking made by the County's appointed selection committee (Committee). C. Disputes and contests that TECTRANS has adequately demonstrated the Page 1 of 11 Agenda Item No. 1013 July 27, 2010 Page 7 of 138 RFP requested evidence of Disadvantaged Business Enterprises (DBE) to warrant the first place ranking made by the Committee. d. Disputes and contests that the Committee and Collier County have complied with the Federal Transit Administration's guidelines and requirements for procurement,' specifically including, but not limited to, adhering to stated evaluation factors and their relative importance, as set forth in the subject RFP. e. Disputes and contests that the Committee and Collier County have complied with the Federal Transit Administration's guidelines and requirements for procurement, specifically including, but not limited to, adhering to the County's stated evaluation method specified in the subject RFP. f. Disputes and contests that the responsive party for the RFP was TECTRANS, when in fact, the contract, if awarded, would be signed and /or operated by the entity "Limousines of South Florida, Inc." g. Disputes and contests that TECTRANS complied with the RFP and other procedural requisites as to material disclosures in that TECTRANS failed to disclose a personal bankruptcy of one of its principal team members, and thus, improperly certified the same as part of its proposal. h. Disputes and contests that TECTRANS complied with the spirit and intent of prohibitions against lobbying and related guidelines for the RFP's as one of their team members approached a key MTA officer about prospective employment opportunities with its competing organization. 4. CONCISE STATEMENT OF THE ULTIMATE FACTS ALLEGED AND OF ANY RELEVANT RULES, REGULATIONS, STATUTES, AND CONSTITUTIONAL PROVISIONS ENTITLING THE PROTESTING PARTY TO RELIEF. On or about March 15, 2010, Collier County RFP # 10 -5455 was advertised, (see Exhibit A, RFP #10 -5455 Legal Notice, attached hereto)? The RFP was prepared ' The Federal Transit Administration requirements are adopted as part of the RFP in Section 30., thereof, entitled, "INCORPORATION OF FEDERAL TRANSIT ADMINISTRATION (FTA) TERM." Z Given that the RFP and its six addenda are a matter of public record, and are quite voluminous, MTA has elected not to include a complete copy of those documents, as they are otherwise readily available. Page 2 of 11 Agenda Item No, 10B July 27, 2010 Page 8 of 138 based upon a precise checklist of items, which stated on page one that the RFP was to be prepared in a manner so as to "[d]etermine evaluation criteria and point value," and thereafter, at the bottom of the same page was noted "FTA," indicating that because federal transportation dollars were to be used in the awarded contract that the Federal Transit Administrations (FTA) requirements were to be complied with by the RFP process. See Exhibit B, attached hereto, RFP PREPARATION CHECK LIST (RFP Checklist). Thereafter, on or about March 26, 2010, a non - mandatory, pre - proposal meeting was held, attended by MTA representatives, among other potential proposers. A series of six addenda to the RFP were thereafter promulgated. On or about April 7, 2010, the proposal window closed, the RFP proposals were thereafter due and MTA timely submitted its proposal for the RFP; the proposal of MTA is attached hereto as Exhibit C3 Afterward, on or about April 28, 2010, pursuant to an April 27th REVISED Presentation notice to Proposers for the RFP, attached hereto as Exhibit D, notice was given of changes to the scope of the "presentations," including a change in the time allotted, number of team members allowed, and of a "Question & Answer (Q &A) period" to address how the proposer's fee proposal was developed. Proposers were cautioned in the notice that the presentations were to be "oral," and any display items were to be limited. In addition, the Project Manager was to be the primary presenter and the other team members were there to assist in just the Q &A half of the presentations. These requirements were followed by MTA, but were not adhered to by TECTRANS. Of particular note at this portion of the RFP award process is the fact that nothing in the RFP or this REVISED notice ever gave any indication to proposers that any weight at all would be given to the presentations as one of the factors leading to scoring and ranking of a short list of firms, nor were any "evaluation criteria and point value" specified for presentations at all, as the RFP Checklist indicated would be the case. MTA was familiar with many other FTA - based ° RFP's that they had successfully 3 Due to the detailed nature of the MTA proposal, only a portion thereof is provided comprising the substance of MTA's responses to the scoring criteria and factors set forth in the RFP and its six addenda. See, FTA Circular C 4220.1 E, pertaining to Competitive Proposals, which specifies that an agency's procurement procedures must specify all evaluation factors and their relative importance, and establish a specific method to be used (emphasis added by italics). Page 3 of 11 Agenda Item No. 10B July 27, 2010 Page 9 of 138 competed for across the nation where such factors were expressly included as part of the evaluation scoring process and such presentations were given a specified weight and proposers were evaluated accordingly. Thus, MTA had no basis to conclude that a proposer's presentation would effect the outcome of the scoring and ranking. Lastly, none of the participants were sworn or under oath, and thus, unlike the attestations and assurances required to be made by the proposers of the responsive proposals to the RFP, such statements before the Committee could not be given the equal weight as competent or substantial evidence as the written proposals themselves. On or about May 10, 2010, the five member selection Committee met along with representatives from three (3) proposal respondents to the RFP. During the substantive portion of the meeting each of the Committee members alluded to how the prior presentations had effected their ranking, and even though MTA scored very high across the board, there were many comments about how their presentation had not been as compelling or good as others, particularly TECTRANS .5 In fact, to one committee member it suggested that MTA did not want the contract as badly as the other proposers. Thereafter, during what was stated as a period of "public comment," the respective proposers were then given an opportunity to "comment," as there were no members of the general public in attendance. These "comments" in reality turned into a further final opportunity to address Committee member concerns expressed during the immediately preceding score sheet review process. Thus, even those "comments" were given weight and became part of the final ranking of proposers, even though never made an express part of the evaluation and scoring criteria. Although MTA was ranked second overall, to many Committee members it was the TECTRANS presentation that gave them the narrow edge. On or about May 20, 2010, MTA timely filed its Notice of intent to Protest, a copy of which is attached hereto as Exhibit E. Although TECTRANS's proposals appears to evidence personnel with "50 years e The Committee member comments were derived from an audio recording provided to MTA as part of its public records request. a See page 56 of the TECTRANS proposal attached hereto as Exhibit F, for its Vice President of Government and Industry Relations. Page 4 of 11 Agenda Item No, 10B July 27, 2010 Page 10 of 138 of experience" in fixed route transit, TECTRANS's experience, being provided through its "operating entity," Limousines of South Florida, Inc. (Limousines), is actually primarily in the business of managing cab and charter busses, not applicable to public transit industry management that requires many other skills possessed by MTA. Limousines, upon MTA's information and belief, is owned by TECTRANS, who in turn is owned by "Huron," an entity that to MTA's best information and belief, has never been involved in public transit. Certainly, TECTRANS can not claim that Limousine, its "operating entity," has ever won a contract award similar to the services sought under this RFP, while MTA has won and successfully provided fixed route and paratransit service to no less than thirty-two such locales. In fact, of those, MTA has won the "Best Transit System in North America" award seven times — while neither Limousines nor TECTRANS have ever won such an award. In further contrast, MTA is owned 100% by transit professionals and transit providers, who, if its parent transit organization is considered, serve over 12 million users per day, while at best based upon MTA's information and belief TECTRANS serves less than 100,000 per day. Although TECTRANS claims to be a public transit firm, they are essentially as to its proposed "operating entity" more of a cab firm with electronic ticketing. Thus, upon information and belief, MTA asserts that TECTRANS did not warrant its first place ranking by the Committee as TECTRANS's claims of relevant public fixed route and paratransit experience are misleading and over - inflated. TECTRANS has not adequately demonstrated in its proposal the type of evidence upon which the Committee could reasonably rely to reach its first place ranking. The RFP requested evidence of Disadvantaged Business Enterprises (DBE) efforts, TECTRANS's response was solely limited to the following information in its proposal provided herein verbatim as it was presented in its proposal: DBE participation Collier County Goal — 6% Tectrans is always looking for and interfacing with subcontract providers of services for public transit management locations. Whether the service is cleaning supplies, printing needs, supplemental uniforms, accessories for uniforms such as name badges, tags, name plates, office supplies, or towing vendors, we will strive to achieve the county goal and will review the state registration website and even assist local businesses to in the registration process with the State of Florida designated representative. Page 5 of 11 Agenda Item No. 10B July 27, 2010 Page 11 of 138 By contrast, MTA provided fourteen (14) pages of documentation of its proven efforts in this regard, including a "Disadvantaged Business Plan. "' And unlike TECTRANS, which upon MTA's information and belief does not appear to have any minority personnel in its team, MTA has minority personnel on its primary direct team of service providers. These obvious and significant differences make evident that TECTRANS did not warrant the first place ranking made by the Committee as to DBE efforts demonstrated in their RFP response. Florida law is clear in that local governments must adhere to their defined procurement processes in making contract awards, even when based on RFP's. The failure of an agency to follow its own bid specifications and procedures is an arbitrary and capricious act. See, Coin Laundry Equip. Co. v. Univ. of West R., 1996 WU060244 (1996)(an administrative agency case) . Here, the Committee failed to follow and apply the RFP criteria specified for points and ranking, added unstated criteria based on matters raised in the presentations and public comment period, and thus, arbitrarily re- weighed the scores in various categories on their final ranking scorecards. While a public authority generally has wide discretion in the award of public contracts, that discretion cannot be arbitrary or capricious. City of Pensacola v. Kirby, 47 So. 2d 553 (Fla. 1950) held that: " ... the law does require that where discretion is vested in a public agency with respect to letting public contracts on a competitive basis, the discretion may not be exercised arbitrarily or capriciously but must be based upon _. ' See attached Exhibit G, comparing and contrasting the quality and substance of the respective responses to this critical RFP item. Page 6 of 11 Agenda Item No. 10B July 27, 2010 Page 12 of 138 facts reasonably tending to support the conclusions reached by such agency." See also, City of Miami Beach v. Klinger, 179 So.2d 864. The award of a contract in a procurement is invalid if it is arbitrary or capricious. See, Liberty County v. Baxter's Asphalt & Concrete, Inc. 421 So.2d. 505 (Fla. 1982); and City of Sweetwater v. Solo Construction Corporation, 823 So.2d 798 (Fla.3rd DCA 2002)(under competitive bid processes, a public authority may not arbitrarily or capriciously discriminate between bidders, or make the bid based upon personal preference). Where discretion is vested in a public agency with respect to letting public contracts on a competitive basis, the discretion must be exercised based upon clearly defined criteria and may not be exercised arbitrarily or capriciously. See, City of Sweetwater, supra. The discretion must be based upon facts reasonably tending to support the conclusions of the agency. See, Culpepper v. Moore, Fla. 40 So.2d. 366; and Willis v. Hathaway, 95 Fla. 608,117 So. 89. Thus, although a governmental agency has discretion, it cannot act arbitrarily and capriciously. See, Willis v. Hathaway, 117 So. at 95; Cepeletti Brothers, Inc. v. State Dept. of General Services, 432 So. 2d 1359, 1363 (Fla. 1 st DCA 1983); and Wood - Hopkinds Contracting Co. v. RojerJ. Au & Son, Inc., 354 So. 2d 446 (Fla. 1st DCA 1978). The discretion exercised by the Committee was not based on the materials and proposals submitted, but rather on the presentations and on additional new information stated to be part of the "public comment' portion of the final Committee ranking meeting held on May 10d'. MTA, well beforehand, was lead to believe only an 'oral' presentation on April 27th for a "Q &A" on just points of clarification alone were to be made, not on any other information that was not requested nor required. Certainly, MTA had no basis to believe these unstated Page 7 of 11 Agenda Item No. 106 July 27, 2010 Page 13 of 138 "factors" could thereafter alter the final rankings made by Committee members. The unquantifiable and not previously disclosed weighting given to the "presentations" and "public comment" effectively gutted the many hours of work and multiple documents provided by MTA to afford the Committee great detail in all of MTA's responses to each area of inquiry for the expressly stated criteria for consideration. MTA was not advised that effectively a "second bite of the apple" would be given to the RFP respondents by the Committee that could, and here impermissibly did, influence the scored, written rankings to be made based on independent Committee member evaluations as set forth in the RFP. In addition, although MTA had available a summary handout at the presentation meeting on or about April 28th, they only brought two "presenters," the corporate President, Robert Babbitt, and the local CAT operations General Manager, Carlos Rivera. By contrast, the Committee was clearly swayed by the four representatives of TECTRANS that were present. Thus, the Committee, through no fault of its own, thereafter at its May 10th meeting, concluded this evidenced that TECTRANS "wanted the contract" more than MTA and impermissibly weighed its scoring accordingly. As a result, arbitrary and unstated criteria lead to a higher ranking of TECTRANS by the Committee than the expressly stated and properly considered factors of the RFP (required by the FTA) otherwise warranted. The county's Committee relied on the presentations and answers to questions in areas of inquiry unrelated to the stated written criteria in the RFP that all proposals were required to follow. Thus, the Committee's first place ranking of TECTRANS in this case did not rest upon material facts reasonably tending to support the conclusions _. reached by the Committee, i.e., there was in effect a "re- ranking" of the responsive Page 8 of 11 Agenda Item No. 1013 July 27, 2010 Page 14 of 138 proposal by MTA to second place. The ranking of TECTRANS in first place is not supported by competent and substantial evidence, constitutes an abuse of discretion, and reflects an arbitrary and capricious conclusion reached by the Committee. Accordingly, although through no apparent intention of the Committee members, MTA asserts that the Committee's actions violated the RFP criteria for selection and the over- arching FTA circular cited above, and thereby constituted an abuse of discretion leading to a result that was both arbitrary and capricious. Although the TECTRANS proposal indicates by the signature of Mr. Brian Sullivan, TECTRANS's Chief Marketing Officer, that the responsive party for the RFP is TECTRANS, when upon MTA's information and belief, the contract, if awarded, would be signed and /or operated by the entity "Limousines of South :Florida, Inc.," (Limousines)8 as TECTRANS has no fictitious name or other affiliation in Florida, although its RFP proposal claims it is doing business as, i.e., "dba" as Tectrans in the State of Florida.9 Although each Proposer was required to declare if any principal had declared bankruptcy, and TECTRANS so affirmed such alleged fact in its proposal,10 public records obtained by MTA under its information and belief indicate that the bankruptcy of one of their principal team members in 2009 was not disclosed." This material non- 9 See for example, pages of TECTRANS's proposal for the RFP numbered as part of the RFP 43, 47 - 49, and pages of the proposal numbered 132 — 134, 140 -141 (RFP page 33), and 148 (RFP page 39), indicating that Limousines would be the "operating entity,' even though many certifications and other required signatures are made by TECTRANS as "dba." These facts are evidenced by Exhibit H, attached hereto, being printouts of successive pages of the Florida Secretary of State's Division of Corporations" database listing all entity's using fictitious names in the state 10 See, excerpted page 53 from the TECTRANS proposal, attached as Exhibit I, being also its proposal page numbered 63. See, Exhibit J, being a copy of a petition and discharge from bankruptcy filed by Mr. Ronald Kay McElhose. Page 9 of 11 Agenda Item No. 10B July 27, 2010 Page 15 of 138 compliance with a key requirement of the RFP and the Purchasing policies that implement it, on its own warrants disqualification of TECTRANS from consideration as a responsible RFP proposer. Lastly, upon information and belief, MTA asserts that TECTRANS's president appears to have been previously employed as a senior executive at Laidlaw during its filing of, and proceedings held, under bankruptcy, which appears to have been the proximate cause of that company's stock to be greatly devalued .12 This fact was also not disclosed, and MTA asserts on information and belief that the RFP requirements mandated such disclosure. These facts, combined with the approach of MTA's General Manager by a senior executive of the TECTRANS team who is part of the Limousines "operating entity" during the pendency of the RFP proposal process seeking to have MTA's employee become their employee is grounds for disqualification of TECTRANS for material non- compliance with the sprit, if not the letter, of the many local, state, and federal prohibitions against "lobbying." 13 5. DEMAND FOR RELIEF. Based upon all of the foregoing, MTA respectfully requests and demands that: A. The recommendation of the Committee to recommend award of RFP 10- 5455 "Management Services Contract for the Collier Area Transit (CAT) Fixed Route and Paratransit Program," to TECTRANS, be reversed and rescinded by the Purchasing Director, and MTA be placed in first consistent with the only written rankings of the proposals received and for TECTRANS's above - stated irregularities and non- compliance with disclosure requirements in their submitted proposal; and that the t2 See printout of related news story, attached hereto as Exhibit K. 13 Due to the obviously sensitive nature of this assertion, which can be verified via affidavit, the names of those directly involved have not been stated. Page 10 of 11 Agenda Item No. 10B July 27, 2010 Page 16 of 138 Board of County Commissioners thereafter award RFP 10 -5455 to MTA as the next highest ranked responsible proposer, and enter into negotiations for a contract with MTA for said RFP and project. B. In the alternative, that the Purchasing Director direct Collier County staff to reconvene a selection committee and ensure that only the RFP -based criteria are relied upon to recommend a shortlist of ranked firms to the Board of County Commissioners, such that MTA has a reasonable opportunity to be awarded RFP 10 -5455 "Management Services Contract for the Collier Area Transit (CAT) Fixed Route and Paratransit Program." 6. OTHER INFORMATION DEEMED TO BE MATERIAL TO THE ISSUE As of the date of the filing of this Formal Written Protest, MTA has not yet been provided all of the public records that it has requested from Collier County relating to RFP 10 -5455, see Exhibit L, attached hereto 14. As such, MTA reserves the right to amend and supplement its filing and this Formal Written Protest upon the receipt of additional materials provided by Collier County pursuant to said public records requests. Respectfully submitted by MTA through its undersigned counsel to the Collier County Purchasing Director on May 27, 2010. By Patrick G. White Florida Bar No.: 887651 Porter, Wright, Morris & Arthur LLP 9132 Strada Place, Third Floor Naples, Florida 34108 Pwh ite (a) po rterwrio h t. co m Office: (239) 593 -2900 Fax: (239) 593 -2990 t4 None of the a -mails sought as public records have been rovided, and p given the relatively brief time period to request, have the County compile and provide the records, and then for MTA and its counsel to review all of the materials provided, while at the same counsel for MTA was required to prepare this formal written protest, said counsel is not assured that all other public records have been provided as requested. NML /58)90]r02 Page 11 of 11 Agenda Item No. 10B July 27, 2010 Page 17 of 138 EXHIBIT "A" Co 'tB7" y Ad nirustra0ve Services Division Purchasirg Legal Notice Sealed Proposals to provide Management Services Contract for the Collier Area Transit (CAT) Fixed Route and Paratransit Program will be received until 3:00 p.m., Naples local time, on April 7, 2010 at the Purchasing Department, Purchasing Building "G, Collier County Government Complex, 3301 Tamiami Trail East, Naples, Florida 34112. RFP # 10.5455 - "Management Services Contract for the Collier Area Transit (CAT) Fixed Route and Paratransit Program" It is the intent of the County to award one contract for management services to be provided and shall include, but not be limited to the following: • The Collier County fixed route bus transit program, known as Collier Area Transit (CAT), is seeking a qualified firm to provide planning, operations, and management of fixed route transit services. • Collier County is seeking a qualified firm to plan, operate, and manage CAP paratransit services including: Americans with Disabilities Act (ADA), Transportation Disadvantaged (TD), and Senior/ Non - Emergency medical transportation services. A non - mandatory pre - proposal conference will be held on March 26, 2010, commencing promptly at 10:00 am, and will be held in the Purchasing Department Conference Room, 3301 Tamiami Trail East, Building "G ", Naples, Florida 34112. There are limited options for calling in via teleconference — p /ease email a request to register (b rendabrilharf(lcollieroov.net) If this pre - proposal conference is denoted as "mandatory", prospective Vendors must be present in order to submit a proposal response. All statements shall be made upon the official proposal form which may be obtained on the Collier County Purchasing Department E- Procurement website: www.colliergov.net/bid. Collier County does not discriminate based on age, race, color, sex, religion, national origin, disability or marital status. BOARD OF COUNTY COMMISSIONERS COLLIER COUNTY, FLORIDA, BY: /S/ Stephen Y. Came[], C.P.M. Purchasing & General Services Director This Public Notice was posted on the Collier County Purchasing Department website: www.colliergov.nett purchasing and in the Lobby of Purchasing Building "G, Collier County Government Center on March 15, 2010. FufMaaN OepAwl- 3301 Taman Trail East • Naples. Fbr& 34112 • w .wl*MwneVpurchnng RFP 10 -5455 • EXHIBIT "B" Agenda Item No. 10B July 27, 2010 Page 18 of 138 Cou>Kty RFP PREPARATION CHECK LIST Agent RFP#• 10 Check as Task Description Applicable Received Scope of Services from requesting agency e goal or desired oyyd�come of the RFP is: -The business objective is: QEp3i ITB justification: Estimated annual e ti– m It~ S New solicitation or soli itatio If re solicitation, identify previous solicitation e, number and a nded : Clear) defined scope of services including tasks and required deliverables Required licenses, permits, or certifications identified (Consult with Project -Manager and/or apklicable County agency) Any grant compliance requirements Anticipated schedule or timetable identified Bud eta and/or special funding considerations identified . Connected with capital project: Yes LJ No, Project M If connected with a capital project, identify the project number in the RFP title Identify other departments that may use this RFP, and if there are other departments, have they been contacted: ❑ Yes o Proper RFP format determined: ❑ CCNA 7&9ther Consultant Services ❑ Project Specific CM @ Risk ❑ Software Acquisition ❑ Fixed Term ❑ Other (Explain) Consult with Contract Specialist regarding contractual requirement. Formal contract: ❑ Yes ❑ No Contract format WO Driven ❑ Purchase Order Driven ❑ Contract Specialist Signature: Determine evaluation criteria and point value Determine required submitt cri tions based on evaluation criteria Determine award clause ingl ultiple, primary/secondary) if multiple, state the desired number, if primary7s—econdary, state when the secondary will be utilized. 1 ' ) G/ Acquisitions/ AgentFonnsandLet teWRFPPmpamtlonCheckist Revised: 8=9 Agenda Item No. 10B • • July Page 19 9 of f 138 138 Check as A 1leable Task Description Determine steps in evaluation process: CNA Non -CCNA Other (Explain) Vendor qualifications form with relevant categories Conflict of Interest clause with signature line l Initial tern and renewal option clause Escalation/De- Escalation clause Selection Committee memo for County Manager's approval. (Purchasing Agent shown as non-voting member Applicable dates consistent throughout document Purchasin Technician consulted on dates Pie- Proposal Meeting: Yes No. If no, explain: Conference Room reserved for all applicable meetings Bonds required: roposal erfonnance a ment i— Insurance Requirements Use matrix and/or consult Risk Pro oser's Checklist denoting all required submittals Legal Advertisement Page - Pro poser's Non-Response form Prospective proposer lists: YS Supplied by requesting agency om previous solicitation, d applicable Internet research Declaration Page for signature and additional vendor contact information Local Vendor Preference Affidavit �'- Immigration Affidavit G/ Acquisidons/ AgentFortnsandLetter ,/RFPPreparadonCheddist Revised: =0109 Agenda Item No. 10B July 27, 2010 EXHIBIT "C" Page 20 of 138 ,ff J McDonALD TRAIISITASSOCIATES, inn. 3800 SANOSHEa.t. SU1rE 178 FORr WORTH, TEXAS 75137 (817) 232.8351 • (8171 232-NW FAX April 8, 2010 Collier County Board of County Commissioners Attn: Brenda Brilhart, Purchasing Agent Purchasing Department, Building "G" 3301 Tamiami Trail, East Naples, Florida 34112 Re: RFP 10 -5455 "Management Services Contract for the Collier Area Transit (CAT) Fixed Route and Paratransit Program " Dear Ms. Brillhart: McDonald Transit Associates, Inc. is pleased to offer our services to Collier County and look forward to continuing our long and successful relationship with the County. McDonald Transit shall perform, under the provisions of this contract, to not only meet but also exceed the expectations of the operation of the Collier Area Transit. McDonald Transit was founded in 1 972 and incorporated in the State of Texas by Mr. Alton McDonald, a nationally recognized leader in the transit industry. Our contact person for the team/proposer is Mr. Robert T. Babbitt, President. Information on our firm is below. McDonald Transit Associates, Inc. 3800 Sandshell Drive, Suite 175 Fort Worth, Texas 76I37 (817) 232 -9551 (817) 232 -9560 (fax) Email: mcdtOmcdonaldtransitcom bbabbitt(a.mcdonaldtransitcom Website: www.mcdonaidtransit.com Federal Employer ID: 75- 1626932 The underlying philosophy of our firm in managing and operating urban public transit is grounded in the philosophy that each system is a public service that must be responsive to the unique community it serves. Effective management must be responsive to: Users and potential users, by providing convenient, reliable, safe, and attractive service; Taxpayers, who support the system whether or not they use it, by returning value for each public dollar expended; The community, by facilitating mobility, improving air quality, and easing traffic congestion; Agenda Item No. 10B July 27, 2010 Page 21 of 138 Collier County Board of County Commissioners April 8, 2010 Page 2 Policy makers, by providing professional and technical information and data necessary for decision making; Funding agencies, which must allocate limited resources, by insuring realistic financial planning and fiscal responsibility; and Employees, by providing compensation and working conditions conducive to a professional and well motivated workforce (while maintaining proper stewardship of tax funds). Our proposal is based on this philosophy. We will to work to enhance a long -term partnership with the continuing goal of providing excellent service. Collier County will not only have an exemplary on -site management team, but will also have the experience, advice and active help of the principals of our firm and the international resources of the RatpDev Group. Our proposal is described in detail in the next sections. Our approach can be summarized as follows. Our service is focused on the delivery and quality assurance. Mr. Rivera is a "hands on" manager who has spent significant amounts of time out of his office in the field and working with customers and Collier County. He has developed rapport with the supervisors and operators to insure an organization driven by a personal commitment to safety and customer service. You will have the personal attention of Mr. Ken Fischer, an experience Florida transit professional who has led our efforts in Collier County for years. McDonald Transit and RaptDev support resources also will be brought to bear to insure continuous improvement and high quality. We will continue to use subcontractors to deliver paratransit service. We plan to use at least the following subcontractors: 1. TLC, Naples 2. Jorge Barreto, Naples 3. Fierce Transportation, Fort Myers 4. Caring Hearts Prescribed Pediatric Care Center, Inc., Naples S. Liberty 123, Naples 6. SNL, LLC, Naples Thank you for this opportunity. We certify that McDonald Transit will accept any awards made as a result of the RFP and our enclosed proposal. Yours truly, i Robert T. Babbitt President and CEO Agenda Item No. 10B July 27, 2010 Page 22 of 138 • ♦ • I I's L01 • Operating Philosophy Pro�7dr e brig) surnnr,rm glPruprncrr'.c rprrdlin} philus o)r%fr. Our operating philosophy is that each transit system is a unique public service that must be responsive to the unique community it serves. McDonald Transit's philosophy and tools are tested in the real world every day. Key elements of our methodology for this philosophy include: Careful matching of management personnel to each specific assignment, Supporting and monitoring the on -site management team with the professional headquarters staff, several of whom have managed one or more transit systems, Tailoring McDonald Transit policies and procedures to fit the unique requirements of each community, • Working closely with staff to clearly define goals and objectives, • Continually tailoring services to meet changing travel patterns and demands, based on public input, • Building coalitions which integrate transit into the community infrastructure, Developing specific work plans to achieve established objectives, and Measuring and reporting performance against established goals. This methodology is implemented with a focus on the fundamental basis of good public transportation: responsiveness to travel demand, on -time performance, fleet reliability, safely, courtesy, and public awareness. To implement this philosophy, McDonald Transit has developed a set of standard operating procedures (McDonald Transit's Quality Assurance Plan), which is incorporated in our operations. Those procedures include but are not limited to the following: • Financial Management • Purchasing • Fare Collection • Budgeting • Human Resources • Training • Customer Input Equipment Needs • Perfonnance Standards • Customer Service • Service Monitoring • Maintenance • Payroll • General Accounting • Passes and Transfers • Management Information • Substance Abuse • Operations • Service/Route Design Service Policies • Run Cutting /Scheduling • Dispatching • ADA Requirements • Safety /Risk Management McDonald Transit's approach to ensuring high - quality, productive, and cost - effective service is designed to promote ever increasing levels of performance in operations, communications, vehicles cleanliness, personnel appearance, safety, and maintenance of the fleet. Developing and maintaining high levels of performance require careful monitoring, accurate data, prompt review of that data, and remedial action based in sound training practices. Collier County Board of County Commissioners Tab 2: Plans and Procedures Agenda Item No. i July 27, 0� Page 23 of 1 r i �illcDrintllrt is��r> -oat 8isstsc:at�its.Irtr.. Contractor's Requirement 11 pride it hri,y m ntman, of lane proposer in(endv lo .101111 requirements in thi.v RHl Fulfilling the requirements of this RFP will be accomplished in the following manner. First, we will provide a high quality, on -site team to manage day -to -day operations. McDonald Transit will provide continuous oversight of the team by monitoring the performance of the Collier County fixed route and paratransit service. Performance measurements of ridership, revenue, safety, and resource utilization are tracked and compared with historical performance, stated goals, performance, and industry standards. This oversight and quality assurance is led by a Managing Director who will be the personal "face of the Company' to Collier County. The Managing Director is a frequent visitor and provides immediate help and supervision for the resident team. The local manager is in frequent contact with their Managing Director through telephone, facsimiles, and Email. The Managing Director will conduct frequent on -site reviews of operations and will utilize corporate resources to address a variety of issues and challenges. Performance trends also are monitored at McDonald Transit headquarters to "back stop" the local team and Managing Director and to insure that prompt remedial actions may be taken to avoid potential problems. As part of the corporate quality control program, a regular on -site review is conducted on each McDonald managed transit system. The review compares local policies and procedures to accepted best practices in the industry and at McDonald Transit systems. A post review report is prepared and submitted to the client. It includes recommendations for changes, and improvements or potential implementation of new technological advances. Headquarters staff coordinates networking among all managers so that each manager keeps current with changing government regulations and requirements, as well as industry trends and innovations. The involvement and support of corporate personnel in agency operations is a corporate standard. McDonald Transit's Quality Assurance Plan is included in the Attachment Section of our proposal which is located on the Attachment CD. McDonald Transit's approach to ensuring high- quality, productive, and cost - effective service is designed to promote ever increasing levels of performance in operations, communications, vehicles cleanliness, personnel appearance and safety. Operations Ou(linr the nredurdalogr (hat 1'rnposrr' Off use to "»sure quality control of the an -street uperarion, including fran.ek•r. renter•. 1 his is (u include an -tints perlimnuntcr, operaunrs' ud /tenets a• (u rtdecc and regulations, maintmarry I'Awle evr/wng,ty. ter ql ew'a rchirh•s (o minirttize h,.sv of sen•iu e..4114 requirements, and rusunnrr sen•ire. Methodology Implementation of our philosophy and approach rely on proven policies and procedures to ensure quality control in all aspects of service. These are detailed below. On -Time Performance Frequency and dependability of service are the two cornerstones necessary to ensure the success of any transit agency. The dependability of transit service is based in turn on the reliability of the fleet and whether or not we run on time. On -lime performance is an essential element of quality service. Collier County Board of County Commissioners Tab 2: Plans and Pmcedwes Pa; Agenda Item No. 10B July 27, 2010 Page 24 of 138 Time checks will be performed frequently during the day with drivers as they perform their work. Radio checks will be initiated by drivers at time check points and recorded by dispatch. Random radio checks will be made during normal working hours by dispatch (unannounced). Additional random time checks will be made by road supervisors, in the field, on a daily basis. All time check data will be logged and reviewed on a daily basis. Drivers who are off schedule will be counseled by supervisory and/or training staff with the emphasis placed on assisting that driver to perform regular work in accordance with the published schedule. Road Supervisors are responsible for the direct supervision of operators on the street and are responsible for insuring an adequate level of on -time performance is maintained at all times. The NTD random trip process is used to determine which routes and trips are to be sampled. An adequate level of on -time performance is defined as 98% or greater based on a minimum of 60 random observation checks conducted on a weekly basis. A minimum of one Road Supervisor is scheduled on duty for all regular hours of operation. Time check documentation is delivered to the General Manager at the end of each shift for analysis and employee counseling, as needed. Though years of operating experience, McDonald Transit has developed proven systems for monitoring, evaluating and improving operations. These include all areas of operations with critical emphasis on safety, customer satisfaction and security. Examples of some of these policies and procedures follow: Orr- street Operations: Fixed Route and paratransit operations will be supervised and monitored during all hours of service. The Road Supervisor is responsible for providing on- street supervision daily during peak periods and at random times during all service hours. Duties in the field include: Assist customers Monitor service and service conditions • Monitor operator performance in performance of daily trips • Report and/or correct problems • Assist and counsel operators • Supervise activities at accident scenes Monitor on -time performance Schedule adherence, and on -time pullouts and reliefs will be assured through procedures, which include: • Adequate pay time allowed between report time at the operations office and pull out time from the transit lot • Company transportation provided to relief points • Monitoring each pull out and relief by senior staff Close radio communication between the dispatcher and operators on route Adequate relief operators on hand to cover unavoidable miss outs Progressive discipline for miss outs leading to termination if behavior is not corrected. Collier County Board of County Commissioners Tab 2: Plans and Procedures Agenda o 0. July 27, 011 Page 25 of 13? rpoiluldir iasit �u�iul�s,Inc Suroeillance of Work On duty Road Supervisors will each be assigned a supervisory vehicle equipped with a radio for their use on shift. Each supervisor will have ready access to scheduling information, employee rosters, current work assignments, current overtime records, time check point times, standard forts,) and training records. McDonald Transit will examine the feasibility of having at least one (l) supervisory vehicle equipped with a radar gun and video camera similar to those in use by various law enforcement agencies. Road Supervisors will spend the majority of their work hours in the field observing, assisting and supporting the operators on shift. Road Supervisors will be expected to conduct random "supervisory ride alongs ", unannounced random field checks and respond to all situations as required. The goal is to ensure on -time performance, safe operation, and exemplary customer relations. Equally important Road Supervisors are tasked with identifying areas where an operator or operators may need additional training. In particular, Road Supervisors will be expected to identify, record and manage instances of driver behaviors: Leaving check points on time • Exhibiting safe driving patterns • Observing traffic laws Using proper driving protocol (calling out the passenger stops, collecting fares) • Practicing safe driving habits (driving with a seat belt, proper interaction with passengers, proper radio communication) • Adherence with the mandatory uniform/appearance policies Maintenance Vehicle Exchanges attd Extra Vehicles Vehicle exchanges with the maintenance department are coordinated through the dispatch office. Fleet maintenance identifies which vehicle is ready for reinsertion to the active fleet. Dispatch arranges for deployment of the vehicle. Similarly, those service interruptions which require a substitute vehicle are guided by the dispatch office. Each vehicle exchange is done at a safe location and in a manner which minimizes customer inconvenience. Collier Area Transit will continue to request a spare ratio of 20 %. Assuming the 20% spare ratio is available from fleet maintenance and vehicle procurements in progress, we will keep one extra bus and one extra minibus available for ninety second in service. This is accomplished by conducting an advance pre- trip inspection and verifying all systems, including air conditions and wheelchair lifts are ready for operation. ADA Requirements McDonald Transit has developed a standard Bus Operator Training program, which is included in the McDonald Transit Safety Program). Collier Area Transit has modified the standard training program to mirror local market conditions and to more closely reflect the expectations for excellence envisioned by the Collier County. The Bus Operator and Mechanic Initial and On -Going training programs contain (at a minimum) the following elements: The training program (which consists of a minimum of 160 total hours) includes classroom instruction, behhtd- the -wheel training (under the supervision of a qualified instructor) and in service training. Collier County Board of County Commissioners Tab 2: Plans and Procedures I i I hies )Intel lrcln ilffislidaifs, ttic. Agenda Item No, 10B July 27, 2010 Page 26 of 138 • The training program provides formal retraining measures, including criteria for determining the success of retraining efforts. A qualified instructor or supervisor wiU evaluate each operator employed by Collier Area Transit System at least once every six months, including in- service evaluation and license/medical certificate checks. Each operator will receive eight (8) hours of annual re- training as part of our standard training program. All vehicle operators will receive sensitivity training with regards to working with individuals with disabilities All vehicle operations personnel will be trained in the assisting of mobility limited passengers. o Operation of the wheelchair life equipment o Wheelchair tie -down procedures o Wheelchair lift standee policies o Operation of bus kneeling feature o Public address system o Boarding and securing of the mobility devices o Service animal regulations o First Aid, CPR and sensitivity and awareness of a variety of disabilities and the medical symptoms or risks associated with the mobility impaired passengers All vehicle operators are required to successfully complete the defensive driving course. The program will include training in personal safety inclusive of theft/robbery prevention, violence in the workplace and assault prevention. Qualified instructors will be required to have a safe driving record, at least two years of professional driving experience and a demonstrated ability to provide high quality customer service. Customer Service McDonald Transit takes a systematic approach to customer service. It begins by establishing a customer focus in all employees. All employees are made aware that their first purpose is to serve the customer. Training is implemented to strengthen the customer service focus. The initial bus operator training and orientation program includes a strong service message. All supervisors are exposed to customer service training. if needed and allowed by the budget, a special in house customer service course is provided for all employees. Good customer service is modeled by supervisors and managers. All employees, including the General Manager, are involved with customers. This ranges from phone answering to regular bus riding to assisting customer directly during special events. If an organization is to live for the customer, it must meet customers and understand their needs. This approach facilitates that interaction and is supplemented by ongoing market research. Customer Complaints Customer relations are the cornerstone of success to any business — public transportation included. All employees staffing the call center will be well- versed in effective customer communication and trained in sensitivity issues in order to meet the needs of the ADA/paratransit customer base. A focus on the customer is a key ingredient of all McDonald Transit managed systems. Responsive handling of customer complaints can be a real opportunity to establish a positive image of the system with the customer and provide learning and guidance to front line employees. Our handling of a complaint begins with a total openness to the customer. We make it easy for the customer to contact us. We train Collier County Board of County Commissioners Tab 2• Plans and Procedures Agenda Item No. 10B July 27. 2010 Page 27 of 138 i �III�eDtllltfdt[ af�llsii�E';°.11calii�s,Fll�. _J every employee who has routine customer contact andlor phone answering responsibilities in procedures for recording and responding to complaints. Each complaint is documented and entered into a tracking system. The Company researches the complaint with the involved employee and re-contacts the customer with an explanation and apology as appropriate. This research can lead to changes in procedures or policies that improve service for the calling customer and the system as a whole. Depending upon the nature of the complaint, the customer also may be offered some form of complimentary service or discount as a good will measure. The goal is to have the customer come away with a positive experience that satisfies their concerns, demonstrates a caring attitude on the system's part and reinforces the customers desire to continue using the transit system. A monthly report on complaints is prepared that categorizes complaints (and compliments) by type and provides trend data. The report also shows how long it took to resolve the complaint. The report is circulated to all department heads and the senior management team. One of the most powerful parts of this process is to use the complaint, in a constructive way, to improve employee performance. Each complaint is discussed with the affected employee by his or her direct supervisor. The complaint and employee's explanation are kept in the employee's personnel file. Most of these conversations are gentle reminders of how best to meet customer expectations. In some cases the employee's behavior may warrant discipline to reinforce the improvement message. Dispatching and Supervision /'r•nrklr praposrd m hcduh•s.lor Ai.grut(hing, and snpi•n•iviun Jin• that xed mule and parurrtnrsit sen•icrs and dtvrasv Gon* rhrsr at irides evil/ he mainte fined tha ing all semcc hears. The dispatcher is the "brain" of the operation. The dispatcher is responsible for communicating information to bus operators regarding transfers, route and schedule alterations, in- service mechanical failures, accidents, passenger problems, and all other schedule interruptions; coordinating and verifying daily assignment of personnel for regular shift, replacement or re- assignment; accurately completing all required daily reports including incident/occurrence reports; and developing and communicating alternate routes in case of road construction or other road blocks. Dispatch coordinates with the maintenance division for daily bus assignments and to ensure the release of vehicles scheduled for maintenance or repair. A dispatcher will be on duty during all hours of fixed route operation and a paratransit dispatcher will be on duty during the hours detailed in the paratransit scheduling to follow. Daily schedules are compiled by the dispatchers and reviewed by both the Dispatch Supervisor and dispatchers to assure efficiency and accuracy. Daily trip sheets are then prepared and drivers and revenue vehicles assigned to provide the service the following day. Road Supervisors and the dispatchers/Supervisor carefully monitor each days work to ensure service to eligible ADA clients is prompt and to make adjustments as required accounting for cancellations, no shows and to ensure service is delivered within the proscribed "window' for pick -up. Additional vehicles and drivers are added when necessary to ensure quality service to the citizens of Collier County. Collier County Board of County Commissioners Tab 2 Plans and Procedures Agenda Item No. 108 July 27. 2010 Page 28 of 138 The schedules we plan to use for dispatchers and road supervisors are as follows: Sunday Report Off OIT 11:30 am 4:00 am Off Of" Of 8:30 pm 1:00 pm Monday Report of( 3:40 am 12:30 pm 3:45 am Off Off 2:40 pm 9:30 pm Tuesday Report 3:40 pm Off 12:30 pm Off 12:40 pm Of 9:30 pm Wednesday Report 3:40 pm Off 12 :30 pm Off 12AOpm Of 9:30 pm Thursday Report 3:40 pm 6:00 am 12:30 pm Off 12:40 pm 5:00 pm 9:30 pm Friday Report 3:40 pm 10:30 am Off Off 12:30 pro Off 12;40 pm 9:30 pm Of Of Saturday Report 3;40 pm 10;30 am Off Off 3:45 am Off 12:40 pm 9:30 pm Of Of Sunday Report Off Off 4:00 am Off Off Off 1:00 pm Monday Report 3:45 am Off I 12:30pm Off 12:45 pm Off 9:30 pip Tuesday Report 3:45 am 12:30 put 1 Off Off 12:45 pm 9:30 pm Off Wednesday Report 3:45 am 12 :30 pm Off Off 12:45 pm 9:30 pm Off Thursday Report 3:45 am 12:30 pm 9:00 am PARA Off 12AS pm 9:30 pm 6:00'pmPARA Friday Report 3:45 am 12:30 pro 8;00 am Off 12:45 pm 9:30 pm 5:00 pn! Saturday Report Off Off 12:30 pra 3:45 am Off 9:30 pm 12:45,pm' Collier Courtly Board of County Commissioners Tab 2: Plans and Procedures Agenda Item No. 10B July 27, 2010 Page 29 of 138 Sample Reports Submit report samples and furors additssiug all a.%pec'ts ul the nperatiuns, including drivers' pre- ti ip a l post -nrip inyrec tiunc, ort tirrrr perkn•euuu e chec ks, mouirurilig of oprrutora' peryurrnunrr, dispaith lugs, daih rrpc•rativas rx Jk?ta, and 1- chicle assicnntrnts. Reports used for all aspects of operations include, but are not limited to: • Bus Assignment And Mileage Sheet ■ Daily Log ■ On Time Performance Sheet • Operator Evaluation Report • Daily Report Of Employees • Daily Service Hours Report On Time Performance — Fiscal Year By Route ■ Customer Service Statistics ■ Daily Report Of Operations • Ridership • Drug And Alcohol Test Type Report • Drug And Alcohol Testing MIS Data Collection Form • Service Report Collier County Board of County Commissioners Tab 2• Plans and Procedures Suuday Report 11:30 am FR Off 8:30 pm FR , Monday Report 8:30 am Off 5:30 pm Tuesday Report 9:30 am Off 6:30 pm Wednesday Report 9:30 am Off 6:30 pm Thursday Report Off Off Off Friday Report 930 am Off 630 pm Saturday Report Off Off Off Sample Reports Submit report samples and furors additssiug all a.%pec'ts ul the nperatiuns, including drivers' pre- ti ip a l post -nrip inyrec tiunc, ort tirrrr perkn•euuu e chec ks, mouirurilig of oprrutora' peryurrnunrr, dispaith lugs, daih rrpc•rativas rx Jk?ta, and 1- chicle assicnntrnts. Reports used for all aspects of operations include, but are not limited to: • Bus Assignment And Mileage Sheet ■ Daily Log ■ On Time Performance Sheet • Operator Evaluation Report • Daily Report Of Employees • Daily Service Hours Report On Time Performance — Fiscal Year By Route ■ Customer Service Statistics ■ Daily Report Of Operations • Ridership • Drug And Alcohol Test Type Report • Drug And Alcohol Testing MIS Data Collection Form • Service Report Collier County Board of County Commissioners Tab 2• Plans and Procedures iI f F Railuld Tralisif d13 frt:�tiiES, Jllc. Request For Schedules Daily Bus Inspection Supervisor's Supplemental Report Examples of these reports and related forms are included in the Attachment CD. Safety Agenda Item No. 10B July 27, 2010 Page 30 of 138 Provide devrription ,ITropa.vcr s .S }.ctrm Saliul Pruurmu 131,111 (S'.SIT), in<luding tic ridenr prerrrnion: road. equipat"In and .fat ititr munirat'ing: r•mergrnr,r pre arrat rnz wid at rridenr it,Tonse, inrectigation. and re polling pru, vdtars. The safety of the public, our passengers and personnel is our first priority. All personnel receive extensive initial and on -going safety training. Employee involvement in all safety programs is encouraged (accident review committee, check rides and safety meetings as examples). Safety at McDonald Transit's system is a team effort focused on developing and maintaining safe practices. McDonald Transit takes a holistic approach to risk management and safety in the firm belief that all members of the organization, not just the bus operators, must contribute to the safety of employees, passengers, and the general public. Elements of our successful safety and loss control program include: Safe Revenue Vehicles: Safe vehicle operation begins with specifying and procuring revenue vehicles, which are inherently safe in terms of maneuverability, operator vision, braking power, etc. Safe Operating Routes and Schedules: Safety is built into routes and schedules through such techniques as allowing adequate operating time, minimizing left -hand turning movements, and avoiding dangerous intersections when possible. Route safety may be enhanced through capital improvements, such as increasing curb radii and street widening. Safe Working Environment: Safety in transit shops and offices is promoted by demanding a high level of cleanliness and physical order, by providing safety devices such as eye goggles and hard hats and enforcing their use, by publishing written safety rules and reminding employees of safety through posters and bulletins, and by working closely with safety inspectors provided by the workers compensation insurance carriers. .Screening of Joh Applicants: Initial screening assures all new hires have a proven record of safety with regard to driving and job associated physical and mental abilities. The preemployment physical assures that each employee is physically fit and free of chemical dependency. Applicants must pass the Department of Transportation (DOT) physical including drug screening and have a Department of Motor Vehicles record clear of moving violations for three years. Safety Oriented Training: The bus operator training program emphasizes prevention of accidents through attentive and defensive driving, claims reduction through proper handling of passengers after an accident, effective use of radio communications, obtaining witness references, monitoring the accident scene, and completing thorough accident reports in a timely manner. Proper safety procedures are reinforced at regular safety meetings. Detailed Documentation and Review of all Accidents and Incidents: Accurate data collection and analysis is essential to effective risk management. Through identification of problem areas and trends, corrective measures are applied through adjustments in training program, retraining of individuals or Collier County Board of County Commissioners Tab 2: Plans and Procedures Agenda Item No. 106 July 27, 2010 Page 31 of 138 .� f � � {�dl�.'ritlr�lrt iral�s;tFdssr��ia���,lilf. groups, special emphasis on safety meetings, and avoidance or removal of physical hazards and conditions. Employee Involvement: Employee peers are included in accident review committees. They participate in the review and classification of accidents, and in suggesting improvements and safety programs. Positive Reinforcement: Accident free performance is reinforced with awards and recognitions. McDonald Transit is the leader in negotiating cash safety incentives into labor agreements. Individual Counseling and Retraining: Special counseling and retraining are conducted as needed, based on accident data analysis and continuing observations of operators on the job by supervisors, safety instructors, and independent professional checkers. Progressive Discipline: While monitoring, counseling, and retraining are aimed at helping operators acquire and maintain safe performance, progressive discipline, eventually leading to possible termination of employment, is utilized for preventable accidents and unsafe acts if attempts to modify behavior are not successful. F,fficient Vehicles: McDonald Transit systems are pioneers in the use of smaller vehicles and alternative fuel power systems. We operate traditional diesel, clean diesel, CNG, propane, biodieset, and electric vehicles. Accident Prevention In addition to the Safety Plan elements, the entire organization is focused on safety. Our record is exceptional. The daily steps which insure success include: • There is a written, up -to -date Safety Program, including: • General Policy • Vehicle Operator Safety Rules o Maintenance Safety Rules • General Safety Rules • Safety Officer • Supervisor's Role/Accident Scene • Hazard Communication Program • Compliance with the Occupational Safety and Health Act of 1970 • Agency performs a trend analysis of its accident experience at least annually covering a period of at least, the last three years. • Employees are reminded of safety importance through posters and other media. • Accident records include detailed investigation, review, and follow -up actions. • Accident review committees are used to allow peer review of accident (including on-the-job injuries) preventability. • Accident free performance is reinforced with awards, recognitions, and cash incentives. • Preventable accidents and unsafe acts result in progressive discipline, eventually leading to termination of employment, if attempts to modify behavior are not successful. • A safety record of no more than 3.1 accidents per 100,000 miles, and 1.3 preventable accidents per 100,000 miles, will be maintained. • Accident data are gathered and reported on: Collier County Board of County Commissioners Tab 2 Plans and Procedures Page 10 Agenda Item No. 10B July 27, 2010 Page 32 of 138 o Collision accidents o passenger accidents • preventable collision accidents • preventable passenger accidents • miles between accidents • miles between preventable accidents • accidents by time of day • accidents by day of week • accidents by operator • accidents by route • accident by location (i.e. passenger stop, intersection) • on-the-job injuries • on-the-job injuries by type of injury. • Accident data is compiled into reports which compare current year accident data to same period previous year and graphically depicted for ease of use. • Through identification of problem areas and trends, corrective measures are applied through adjustments in the training program, retraining of individuals or groups, special emphasis on safety meetings, and avoidance or removal of physical hazards and conditions. • Conduct monthly workplace safety inspections, and correct unsafe conditions in a timely manner. • On-the-job injuries are reported in a timely manner. • All accidents and accident trend analysis records are reviewed quarterly by the Managing Director with the General Manager. Accident /Incident Reporting and Investigation Enwlovee Inhuy Reportine All accidents involving company employees will be forwarded immediately to Operations Department supervisory personnel and the insurance company claims department (unless self - insured). Employee Repor[ Employees who sustain injuries in a job - related accident must report the injury to a supervisor immediately whether or not medical treatment was given or time was lost from work. The supervisor will instruct the employee to complete an Employee's Report of Injury form as soon after the accident as practical. The form must be filled out completely and accurately, including: • Name, current residence, address, and telephone number. • Precise description of the location where the accident occurred. • Exact description of the injury, including the part of the body injured. • Detailed description of how the accident occurred. • Thorough description of any machinery, tool, or equipment involved in the accident. Supervisor Repot r Supervisors are responsible for completing a Supervisor's Report of Injury form immediately following notification of the injury by the employee. The form must be filled out completely and accurately, including: Name and address of attending physician or medical facility. (If no medical treatment is administered, record "none'). Name and address of all witnesses and other employees present at the time of the accident (if any). Last date the employee worked prior to disability caused by the injury. Collier County Board of County Commissionem Tab 2 Plans and Procedures Page 11 Agenda Item No. 10B July 27, 2010 Page 33 of 138 � r ���t.i9rnlald'Trnrlsil ils4uritlCl:s, irlt. Supervisor Follow-yo Report Following a full investigation of the accident in which the employee was injured, the supervisor must complete a Supervisor Report of Injury Follow -up Fortin. The form must be filled out completely and accurately, including: • Date the employee returned to work. • Exact cause of the accident. • Steps taken to eliminate the act or condition that caused the accident. All employees who miss work as a result of a job - related injury must present a written medical release from the attending physician to their immediate supervisor prior to, or upon, return to work. Vehicle Accident Reporting Any employee involved in a vehicle accident while operating company -owned vehicles or equipment, or in a private vehicle on company business, must report the accident to his or her supervisor immediately. Failure to report an accident immediately or any attempt to conceal or misrepresent the facts of an accident shall be cause for immediate dismissal. In the event of an accident operators should: Sit And Remain At The Scene Operators should remain at the scene until told they may leave by a company official. They should not move the vehicle from the point of collision until instructed to do so by a police officer or company official, unless there exists a clear safety hazard for the passengers on board or for other motorists. The vehicle's emergency flashers should be illuminated immediately. Render Assistance To The lrriured In the event of personal injury to either a passenger or a person outside the bus, operators should render assistance to the best of their ability. Operators should not render fast aid unless they have been trained to do so and should not move an injured person except to avoid danger or further injury. Operators should not ignore anyone's claim of injury regardless of their own opinions about the validity of the claim. They should note and report any statement of any person who claims to be injured, their own observations, and the comments or observations of others concerning these injuries. Operators should never tell persons claiming injury or damage they will be contacted by the company. Report To The Dispatcher By Radio Operators should report the accident and any injuries immediately to the dispatcher by radio. The dispatcher will contact a supervisor, the police, and call for an ambulance, if needed. If the radio is inoperative, operators should ask a non - injured passenger or another motorist to rail the police and/or the Transit Service office. Protect Passengers From Further In if the accident occurred in a location where another vehicle could become involved due to a blind curve, etc., operators should set out four reflective triangles or flares, or seek assistance from someone on the scene to flag down approaching vehicles. The bus should be evacuated only if the passengers are endangered by remaining on the bus. Operators should count the passengers on the bus at the time of the accident. Occasionally, a passer -by will attempt to get on a bus at the scene of an accident and claim to be injured. Ghw Information Only to the Appropriate .4whorhies Operators should make no statements about the accident either at the scene or at any time to anyone other than the police and authorized company personnel. Collier County Board of County Commissioners Tab I Plans and Procedures Page 12 Agenda Item No. 10B July 27, 2010 Page 34 of 138 Observe 77ie Scene Operators should observe everything around the scene of the accident, survey all injuries and damages, and make notes of their observations and any evidence they notice. Some information for the accident report can only be obtained at the scene. Secure INinresse Operators will be responsible for distributing Courtesy (Witness) Cards to passengers and persons on the street. When approaching witnesses, operators should request their name and address quietly and courteously. In securing witnesses either on the street or in the vehicle, operators should never ask, "Did you see the accident ?" Instead they should pass out the Courtesy Card and say, "The Company requires me to get the names of ALL my passengers (or all persons in the near vicinity of the vehicle). May 1 have your name and address please ?" Many times persons who did not see the accident happen can nevertheless give valuable information pertinent to the cause or result of the accident. It must be indicated on each Courtesy Card whether the witness was a passenger in the company vehicle, the other vehicle involved, a passenger or driver of some other vehicle standing on the street or in the vicinity of the accident. Wait For Hela Wait for the arrival of the police, ambulance requested, and supervisor. Report To The SuperrisorAt The.Scene When a supervisor arrives on the scene, operators shall follow their instructions exactly and address any questions or comments only to him or her. Operators shall only answer questions from the police, company officials, or a properly identified investigator from the insurance company. Operators shall not discuss an accident with anyone other than the appropriate authorities. In no instance shall operators involved in an accident contact any of the parties involved in order to discuss the occurrence. If operators are injured, such injury must be reported and the proper forms filled out promptly for an on-the-job claim to be valid. Cornpletc All Accident Revorihw Forms The employee will be responsible for accurately completing all accident reporting fors as soon as possible following the accident, but no later than the end of the day. If the employee is unable, due to injury, to complete the accident reporting form on the day of the accident, the supervisor who investigated the accident will complete as much information as possible and follow -up with the employee to complete the for as soon as practical. Accident Investigation A manager or supervisor will respond immediately to every accident reported. Once on the scene, the investigator will be responsible for: providing assistance to injured employees and/or passengers, coordinating the investigation with responding emergency personnel, gathering information that will lead to a decision of preventability and assisting the bus operator in the distribution and collection of courtesy cards. Following the accident, the investigation supervisor or manager will complete an accident report, including comments gathered from the bus operator and witnesses. General Manager will be responsible for securing a copy of the police report to attach to the accident report. Accident Review All vehicle accidents (whether or not injury results) will be reviewed and a determination of accident preventability will be made independent of the police officer's determination; regarding the issuance of a citation(s). Preventability is defined by the National Safety Council guidelines which state that a preventable accident is one in which the driver fails to do everything reasonably possible to avoid the accident. All work - related accidents will be determined to be preventable or non - preventable after a complete investigation. Collier County Board of County Commissioners Tab 2 Plans and Procedures Pace 13 Agenda Item No. 10B July 27, 2010 Page 35 of 138 �1LlgidfSlCjC�fl6L516135i7LdlliE 'S,tIG. An Accident Review Committee made up of supervisory personnel, maintenance personnel (for vehicle accidents only), and one or more of the operator's peers, will review the facts of the accident and rule it either preventable or non - preventable. Following review by the Accident Review Committee, all pertinent records or documents will be submitted to the employee's immediate supervisor who will take remedial action, when needed, to improve the employee's safety attitude and performance. The employee will be advised of the facts and circumstances considered during the review process and of the findings upon which the accident was determined to be preventable or non - preventable. A copy of the findings will be placed in the employee's personnel file. Hazard Identification /Resolution Process Our team identifies and resolves potential hazards through on -site inspections and the establishment of safety committees. An on -site inspection of transit system facilities will be conducted annually using a Safety Inspection Form. Reports of inspections will be submitted to the General Manager who will analyze the results and develop an action plan for implementing needed improvements. For any hazards that cannot be immediately corrected, a target date will be set based on the probability and severity of an injury resulting from the hazard. Outstanding uncorrected hazards will be reviewed and their correction progress monitored and reported monthly to the General Manager. Quarterly inspections of transit system facilities will be conducted by the General Manager. In addition, upon the request of an employee or supervisor, the General Manager will conduct an inspection of specific work areas to detect and act upon potential unsafe conditions or unsafe procedures to assure employees of management's continuing interest in correcting safety deficiencies. In addition to the facility inspections, we will establish safety committees to identify potential hazards and develop creative solutions for eliminating and/or mitigating the risks. In addition to supervisory representatives, the committee will be made up of employees from all areas of the transit system including operations, maintenance, and administration. Safety Committee members will meet at least one time quarterly. Committee members will: regularly review company safety policies and procedures and make recommendations for improvements and review and comment on facility inspection forms, accident statistics, and accident trend analyses. Emergency Response Plarntiitg/Coordirtatioit /Training Transit personnel will work hand in glove with emergency personnel in the area to design emergency policies and procedures that will mitigate the impacts of accidents. Plans developed will include identification of responsibilities and response needs, coordination with outside agencies, and emergency drills as part of a training program. Emergency Response Procedures will be distributed to all personnel, and reviewed and revised as needed at least one time annually. Safety Incentive Program McDonald Transit encourages accident free performance and safety improvement with awards and recognitions. Rewards are given for no reportable accidents and no Workers' Compensation claims, safety performance improvement and safety solutions and suggestions. Collier County Board of County Commissioners Tab 2: Plans and Procedures _.. Page 14 Agenda Item No. 10B July 27, 2010 Page 36 of 138 Emergency Preparation The security and emergency management plans are an integrated system security program, including regional coordination with other agencies, security design criteria in procurements and organizational charts for incident command and management systems. Security responsibilities are defined and delegated from senior management through to the front line employee. All operations and maintenance supervisors, forepersons, and managers are held accountable for security issues under their control. Security orientation or awareness materials are provided to all front -line employees and ongoing training programs on safety, security and emergency procedures by work area are provided. Periodic reviews of security policies and procedures are conducted. Tabletop and functional drills are conducted. Exercises are coordinated with regional emergency response providers. Protocols in the form of a plan have been established to respond to the Office of Homeland Security Threat Advisory Levels. The security plan contains specific response measures for each of the seven threat advisory levels. Storm Emergency Plans McDonald Transit/Collier Area Transit provides hurricane preparation to team members starting in spring of each year. In large storms, transit systems are used to move people to shelters, and to provide service as long as possible to allow the transit dependent population the opportunity to obtain supplies. McDonald Transit/Collier Area Transit operates under the philosophy of "We will run service as long as we can, and will resume service as soon as conditions allow." The pre-storm plan action steps include, but are not limited to: • Contacting each employee. • Purchasing and securing water, ice, and snacks for use as employees return to work. • Staying in contact with Collier County Director, Senior Planner and EOC. • Coordinating information to public through Colter County Department Director, Senior Planner and EOC. • Notifying FDOT and FTA of status. • Ensuring fuel availability. • Ensuring tire chemical is in stock. • Reviewing communications; 1) telephone lists, and 2) radio back -ups • Locating two alternate site locations. • Relocating fleet if necessary • Following Collier County's IT protocols (enclosed) for hardware and software. Back -up Collier Area Transit computer files. The Post -Storm Emergency Plans are: • Staying in contact with Collier County Department Director, Senior Planner and EOC. • Assessing facilities and fleet • Assessing road conditions • Assessing need to operate from alternative site • Watching for staff and employee stress. Provide as much rest, information and support to staff as possible Collier County Board of County Commissianers Tab 2: Plans and Procedures Pape 15 Agenda Item No. 0: July 27, 00 Page 37 of 138 i l�'Ic�Jaltr���i It�aa�i�' #�ss�cir�at;�, �rtc, Assessing need to use tire chemical Notifying FDOT and FTA of status Return to normalcy as soon as possible. Federal Drug and Alcohol Testing Program Indirare hall Proprnrr gill I eanph n'ith all rryuirenu•ntc I iaring lu thr• Foilctal Drug and Ah uhul Testing Program and Amrric am rcith Dixahilitie. d< I. All employees will be required to pass both a drug and alcohol test prior to employment with McDonald Transit. All drug and alcohol testing will be done by DOT certified collection site(s) and laboratory(s), McDonald Transit will work with the Collier County's staff to identify locally appropriate certified sites. In all cases, proper chain -of- custody guidelines will be followed and DOT requirements will be met. McDonald Transit will implement a DOT compliant drug and alcohol testing program based on random selection process generated by a DOT approved computer software and administered by a third party. ADA compliance practices are discussed in the Operations section above. McDonald Transit systems consistently receive favorable findings on their FTA Triennial Reviews for both Drug and Alcohol Programs and ADA compliance. The McDonald Transit System Safety Program Plan has been included on the Attachment CD. Customer Service Dewribe ructomrr Berl it Inaerum. inchtding reyronding ro I IISIO MIO imprirircc Will <nnr rrna, trarkirrg and rr/rnrting I ow erne, and devAll irte rnrrerrire ardour huced un feceilrac k. Customer satisfaction must be treasured on an on -going basis. A number of mechanisms can be used to gauge the level of customer satisfaction including on -board passenger surveys, passenger focus groups, complaint/compliment monitoring, customer feedback cards placed on buses, etc. The information obtained through these mechanisms will be used to improve the delivery, safety and dependability of the service. Tracking and Reporting Concerns McDonald Transit/Collier Area Transit will keep a log of all complaints and comments received from the public. All letters received either complaining, complementing or commenting on Collier Area Transit service will be retained on file and copies delivered to Ms. Michelle Arnold within two working days of receipt detaining Collier Area Transit's response. We have created email access versions of customer reaction for two of our clients and will do so for Collier if requested, at no fee, Our Collier Area Transit learn will continue to use customer feedback as a tool in retraining employees and correcting problem behavior by employees or subcontractors. Our analysis of quarterly communication forms the basis of changes in quality assurance field supervision also. Customer Feedback Procedures While McDonald Transit strives to provide superior service to its customers through high quality training programs, customer - oriented policies and procedures, and a daily commitment to excellence in the delivery of service, constructive feedback from customers is always welcome. When the actions of Collier County Board of County Commissioners Tab Z: Plans and Procedures Page 16 Agenda Item No. 10B July 27, 2010 Page 38 of 138 McDonald Transit or its employees fail to measure up to the expectations of customers, every effort will be made to listen to the customer's concerns and make adjustments where needed. McDonald Transit has established a process whereby customers can provide feedback to the organization so customer service issues can be identified, addressed and/or corrected in a prompt fashion. Customers can provide feedback through a number of ways including telephone, emails, letters, or face -to -face meetings. At all times, McDonald Transit employees are expected to be compassionate and understanding when dealing with customers. Employees should strictly adhere to the following customer service best practices when dealing with customers: • Greet customers in a friendly manner. • Smile (even on the telephone, a smile makes a difference in the tone of the employee's voice). • Listen and be courteous. • Make eye contact when both speaking and listening. • Use a pleasant tone of voice. • Educate customers about departmental services, policy, and procedures without becoming confrontational or rude. • Offer alternative solutions when possible. • Apologize for McDonald Transit's failure to meet the customer's expectations - --even if those expectations appear to be unrealistic. • Encourage the customer to contact the agency again if the problem reoccurs or is not corrected to his or her satisfaction. • Provide the customer a complimentary one -way ticket as a means of saying "thank you' for the feedback. Every effort will be made to correct service delivery problems reported by customers. When customer feedback is received by McDonald Transit staff: 1. The person receiving the customer feedback will document the comments on a Customer Comment Form and immediately forward the form to the General Manager. 2. The General Manager or his/her designee will investigate the circumstances that led to the customer comment, including the name of the employee(s) involved. 3. The General Manager will provide a response to the customer by phone, email, letter, or in a face - to -face meeting within 48 hours from the time the comment was received. 4. When necessary and appropriate, the employee involved in the incident(s) will be complimented, counseled, and/or disciplined. 5. Responses to the customer, including date and time of response, will be documented on the Customer Comment Form. 6. All Customer Comment Forms will be filed by year and kept for a minimum of three years. The General Manager will prepare a monthly customer comment report no later than the 15W working day of the month. The report will include the number of customer comments received: • by type (employee behavior /attitude, safety, route timeliness, vehicle/facility cleanliness, passenger comfort, other) • for the month • for the month compared to the same month the previous year Collier County Board of County Commissioners Tab 2 Plans and Procedures Pace 17 Agenda Item No. 10B July 27, 2010 Page 39 of 138 year -to -date year -to -date compared to the same year -to -date period the previous year Fare Sales Program Orrdinr nrnrcii Jnre .ede> program, including wh, of it an.cit fit krtc am! pascr•.c ra thr pubfir and engducers. The goal of the transit fare sales program is to provide convenient access to bus passesftickets for passengers: the higher the number of sales outlets, the greater convenience to passengers. Grocery stores, government buildings, banks, and credit unions are particularly good locations for sales outlets. Servicing sales outlets is labor intensive, so the need for convenience should be balanced with the time necessary to service the outlets. It is important to create a target minimum threshold for sales at each passhieket sales outlet. In addition to offering passes/tickets for sale, the outlets are encouraged to provide space for Collier Area Transit route and schedule information. Collier Area Transit has a fare and pass sale program in place. It will be continued and enhanced. In addition to collecting cash fares, operators sell most passes directly to customers on the vehicles. Marco Island Express passes are not sold on the vehicles but handled though the office or sold by staff directly to hotels. All passes also are available at the transit office. There is thorough security and daily receipt reconciliation process in place to insure that pass sales are accurate. This process is enhanced with random checks of pass sale activity. CAT is currently working with the County and planning implementation of a customer service representative sale of passes at the permanent transfer location at the Government Center. Customer Service Program Delineate horr cu%funfe, rill be nunritowel In ensure ncc delis -on yj a hjr:h qr« litr .crn'irc. Monitoring of customer service is an integral part of managing the transit system. In several other sections of this Tab we described activities that ensure delivery of a high quality service. These include but are not limited to: • Service monitoring by dispatchers and street supervisors • Reporting on on -time performance • Response time criteria for getting information back to customers • Training in customer service • Evaluation of customer service in our quality assurance reviews • Regular reporting on trends in customer complaint and effectiveness in response • Customer focus throughout the organization • Personal involvement of top management in the process These are the detailed techniques that are used to assure that customer service is the prime focus of the entire organization. Simply put, we monitor customer service by instilling it in all employees, making it a key part of their job, evaluating their performance using customer service metrics, evaluating the system as a whole for its commitment to customer service, assessing customer satisfaction and maintaining a dialog with the County on our performance in this key area. Collier County Board of County Commissioners Tab 2 Plans and Procedures Page I6 Agenda Item No, 1013 July 27, 2010 Page 40 of 138 Maintenance Prarid,• dtecrription a /Trupuser s tnr dint hill »reel the t'wu n '% Iegrnroneniy. fhe plan atuct III, lude the lidlonirk¢ traitring component: prrrentttrire r prngrarn. tnonituring a %rehic /e and cquipmew wpair%. rrir r onditioning and Grating nminrenunro and 1-1731111-117'(191'(1111, nprt wliced equipment prrrgrw n, part• inrrmon'. and it-cord Aerping and urte»mring sr..mnr. Datrrihe mrrhudologr to ensure qualilr runrrul ot)Gt- nruirrtrnancr pragrarrr. inrludiniL ensue!» q Iollanr -up of defixtnv inns. McDonald Transit is presenting an option to perform all vehicle maintenance. The processes described below would be applied to fixed route and paratransit maintenance. Staffing for the maintenance function is shown on the organization chart later in this section. McDonald Transit's approach to vehicle maintenance is one of a total commitment to the concept of preventive maintenance (PM). The goals of our PM program are to ensure that vehicles are safe to operate, reliable, clean, achieve the best performance at the least cost, and obtain their meximdth .use life. The success of our PM program results from strict adherence to a progressively detailed schedule of servicing, adjustments, and inspections based on predetermined intervals. In order for the PM program to be most effective, it must be �, designed for specific vehicles, incorporate all manufacturers' h4suFU' recommendations for servicing and repairs, and fit the vehicle's operating conditions. As the principles of PM are implemented, the number of emergency repairs will decline, the safety program will benefit, maintenance costs will be controlled, and schedule adherence and public relations will improve. In order to implement a sound PM program, procedures and checks are established at three levels: the bus operator, service personnel, and mechanics. Bus Opet•ator Pre -Tern /Past -Trio Inspections and Vehicle Condition Reports The bus operator is the key element in implementation of two critical components of the PM program: (1) pre -trip inspections, and (2) reporting of vehicle defects. We have established procedures whereby bus operators are trained to complete a checklist of inspections prior to operating a vehicle in public service. Pre-trip inspections are designed to detect problems in such areas as lighting, tires, and safety equipment before failures occur while the vehicle is in service. An additional responsibility of bus operators in the PM program is to monitor the operating condition of the vehicle. All defects are documented on vehicle condition reports, and corrective action is taken before the vehicle is returned to service. A copy of our inspection forms is included in the Maintenance Plan. Service Inspections A second level of the PM program is the inspection that occurs each time a vehicle is fueled, serviced, washed, and cleaned. While this process is taking place, an inspection is made of key components such as brakes, windshield wipers, lights, and tires. Any defects which are detected are repaired before the vehicle is placed in service. McDonald Transit's performance standards include: Maintenance plan is up -dated including the most recent vehicle and capital facility additions and contains: o All vehicle types, facilities, and ADA equipment. o A hazardous materials spill plan. Collier County Board of County Commissioners Tab 2: Plans and Procdures Pave 19 Agenda Item No. 10B July 27, 2010 Page 41 of 138 • Preventive maintenance procedures. } • A maintenance organization chart. • Procedures for repairing lifl equipment in accordance with ADA requirements. • A maintenance rule book that addresses specific standards of conduct relevant to the maintenance function has been issued to employees (a signed receipt is placed in each employee's personnel file). • Pre -trip inspections are performed by operators prior to each pull -out. • Forms are filled out and signed by operators. • Procedures are in place to notify maintenance department of defects. • Documentation is made of repairs, which occur before the vehicle is returned to • service. Forms are retained by day for at least three years. • Preventive maintenance is performed on all equipment within the timeframes recommended by the vehicle manufacturer. • Forms for periodic inspection on specific vehicle types are readily available to mechanics. • Forms include ADA equipment. • Inspection forms are filed with work - orders by vehicle. • Forms are properly completed and signed by the mechanic who performed the work. • Inspections are performed when due. • Regular oil sampling (in accordance with manufacturer recommendations) is used to predict power plant failure. • Documentation is made of service inspections that occur each time a vehicle is - fueled, serviced, washed and cleaned (brakes, windshield wipers, lights and 1 tires). Any defects which are detected are repaired before the vehicle is placed in • service. Seasonal inspections of air - conditioning and heating systems are conducted. • Vehicles without working climate controls, and ADA equipment, are removed from service as soon as possible. • Vehicles should be maintained to the highest level of cleanliness and good repair. o Free of trash and litter (trash can on board). o Hand rails, seats, walls, roof hatch, etc, are clean. • Interior railings, seats, trim, etc. in good repair. • No body damage or rust. • Advertising and/or sign frames in good repair. Ads have not expired, and are in good condition. • No graffiti is allowed to remain in or on the vehicle more than one day. • Engine and fuel doors are intact and closed properly. • No broken glass. • Engines are steam cleaned at each inspection (no buildup of grease). • All interior and exterior lights are functioning. • Shop should be kept clean to ensure safe and efficient work environment. • Floors are cleaned daily. • Tools not in use are put away. • Oily and soiled rags placed in proper receptacles. • Old parts and materials are disposed of in a timely and safe manner. • There are no leaking drums of oil and other materials. • Safety equipment is available (eye wash, back braces, safety glasses, first aid kit, fire extinguisher) and their use is enforced. Collier County Board of County Commissioners Tab 2: Plans and Procedures Page 20 Agenda Item No. 106 July 27, 2010 Page 42 of 138 Parts inventory should be maintained in an orderly and secure fashion to ensure fiscal accountability and efficient maintenance operations. • Written parts inventory procedures are maintained. • Parts costing more than a certain value, usually three dollars, and with a useful life of more than one year, are recorded on the accounting books and stored as inventory. • Kept in a secured location. • Good control over parts issued. • Kept in an orderly fashion (no empty boxes, litter, etc.). o Regular inventory reconciliations (adjustments less than 10 %) are documented at least annually, with spot checks throughout the year. • The inventory system is computerized. • Inventory system tracks use by bus number, signals when re- ordering is necessary, and provides a total inventory value that is linked to the accounting system. Warranty records should be effectively maintained to ensure maximum recovery of costs for parts and labor under warranty. • Written warranty claim procedures are in place. • A working agreement with the manufacturer that spells out procedures for advance approval of the work, the rates to be charged, the mark -up on parts, the method of payment, etc. is available. • Records of warranty claims are kept in an orderly manner. • Records contain documentation of payment received. • Parts (when requested by the manufacturer) are returned in a timely manner. Procedures should be in place to limit the negative impacts associated with the use of hazardous materials. • A written spill response plan is available. • Employees are trained in appropriate spill response. • Emergency phone numbers are posted in close proximity to areas where spills may occur. • Stored in labeled containers (EPA sticker). • Secured in a covered location • No leaking containers • Leak detectors are installed on fuel and lubricant tanks (evidence of tracking records is available). • Safety equipment is in place and operable (i.e. eye wash, shield on grinders, etc.) Effective procedures for responding to vehicle breakdowns are in place to minimize inconvenience to customers. • Breakdown procedures are in writing. • Spare revenue vehicles are kept available for immediate service during all hours of operation. • Roadcall forms are filled out and filed after documenting follow -up action by the maintenance department. Vehicle performance records are maintained. • Miles, repairs, fuel and oil usage, etc. by vehicle is consistently and accurately tracked. • Monthly vehicle performance report is prepared and used to spot potential vehicle problems. Collier County Board of County Commissioners Tab 2. Plans and Procedures Page 21 Agenda Item No. 10B July 27, 2010 Page 43 of 138 `. iltdonald Transit Assuciates ,Tnf., r Transit facilities, including passenger amenities (bus stop benches and shelters) are kept clean and in good repair. o Free of trash and litter. • No broken glass or benches. • No rust. • Advertising and/or sign frames in good repair, • No graffiti is allowed to remain more than one day. Road Call Procedures A road call is a major inconvenience for the customer and may be a critical factor in their decision making process about continued use of the service. We strive to avoid road calls through preventative maintenance; however, they do occur and must be handled efficiently. As soon as the dispatcher is notified of a road call, he/she dispatches either a supervisor or operator with a replacement bus to continue the trip and avoid customer delay. Our sub - contractor is then notified and sent to the scene to fix the problem only after first taking care of the passengers. A road call report is prepared. All road call reports are summarized in the daily report of operations and reviewed by the General Manager to spot trends and emerging problems and to ensure the Company's response was expeditious enough to avoid customer delay. Information from the report is analyzed and discussed with appropriate staff to address any performance or mechanical issues. Reports also are made available to operators so they can see how their concerns are being addressed. All road calls are summarized in a monthly report. Road call frequency is tracked as trend data and against agreed upon goals for excellence. Not only is it reported publicly, but road call frequency data is used internally as a motivation too] for employees. Reporting To ensure a successful maintenance program, we will maintain a maintenance management information system. Mileage records ensure that inspections and maintenance are performed on a timely basis. Major components are tracked to monitor abnormal failure rates. Individual vehicle records are maintained so any vehicle that is not performing to fleet standards is quickly identified for corrective action. Maintenance reports kept on each bus will provide: • make • model • serial number • license number • date received • date placed in service • life miles • vehicle repairs • preventive maintenance inspection reports • daily "vehicle condition" reports • work orders • tire data • inventory • rebuilds and major component replacements, including date and life miles at time of replacement/rebuild Daily and Weeklg, Maintenance Records Daily and/or weekly maintenance records to be prepared include, at a minimum: • daily vehicle condition reports • work orders for all preventive inspections, warranty repairs, and other vehicle repairs including materials, parts, and labor consumed Collier County Board of County Commissioners Tab?, Plans and Procedures Pa6E 72 Agenda Item No. 10B July 27, 2010 Page 44 of 138 roadcall reports including date, time, vehicle number, route number if in service, problem, and mileage on vehicle oil and fluid analysis records for designated intervals Monthly Management Reports Maintenance reports will be generated monthly to allow maintenance personnel to identify trends in the fleet. Monthly reports will include, at a minimum, for each vehiclelvehicle type: • fuel, fluids, and oil consumption • miles driven • average vehicle life miles • vehicle miles since last preventive maintenance inspection • vehicle miles since last engine rebuild • vehicle miles since last transmission rebuild • in- service road failures • ADA accessory equipment failures Inventory Levels and Control Maintenance records to be prepared shall include, at a minimum, vehicle history files by vehicle number which document all vehicle repair including warranty reimbursement, preventive/scheduled inspections and maintenance, parts usage, mnninghmscheduled maintenance, fuel and oil usage, and labor expended for each inspection and repair. All vehicle maintenance records will be accessible to Collier County personnel during planned or unannounced visits or inspections, and shall be made available on disk at the end of the contract period. Parts costing more than a certain value, usually three dollars, and with a useful life of more than one year, are recorded on the accounting books and stored as inventory. The inventory is secured and monitored by a parts clerk who issues parts and maintains the computerized perpetual inventory system. The system tracks use by bus number, signals when re- ordering is necessary, and provides a total inventory value that is linked to the accounting system. An annual physical inventory count verifies the accuracy of this total value. McDonald Transit's Maintenance Plan is included on the Attachment CD. Maintenance Dee rite appruna h m numiu+rnrq and 1 (pa iring atridrut danrngr. The details of monitoring and repairing accident damage are described as part of operations and overall vehicle maintenance above. To summarize: • Thorough procedures are implemented to report accident damage as it occurs • Operators are required to inspect their vehicles for damage before they are put into service • Supervisors monitor operator inspections to insure they are accurate and complete • Supervisors make random inspection of vehicle condition to catch anything that may have "fallen through the cracks" • Vehicles are taken out of service until the damage is repaired • Sufficient spare vehicles are maintained to allow for repair • McDonald corporate reviews assure that these procedures are being followed Collier County Board of County Commissioners Tab 2 Plans and Procedure _ Page 23 Agenda Item No. 10B July 27, 2010 Page 45 of 138 �lflcDnnaid transitfl5socialES,iriG. Servicing and Cleaning Uearihe the prolmsed plan Irrr" drill and periodic detailed c'h-oni»g, together with lit ifiv( itlist /ia' caeh Itpe al a leaning anJ srn'ici»g aprration, The phut %hould dcliartth• hills fhe appearance of tltr has,peer Trill he maintained. Vehicle cleanliness is critical to maintaining a positive public perception of the transit system. Patrons are far more likely to continue to use transit services if they are viewed as being well maintained and progressive, and individuals who have not yet taken advantage of public transportation will be more inclined to do so. McDonald Transit takes pride in the reputation earned for insisting upon the highest standards in vehicle maintenance and cleanliness. Daily vehicle cleaning will include: • Washing and scrubbing of the full exterior, wheels, fuel -fill area • Scrubbing of oil or other excessive residue off the rear end, and inside of all windows ■ Dusting or vacuuming of all seats, dashboard, stanchions, and exposed surfaces ■ Sweeping, mopping, or vacuuming of all floor areas, including the removal of gum, grease, oil, trash, etc. • Removal of all trash and litter Vehicles will not be returned to revenue service with graffiti unless there are no spare vehicles available. If the graffiti is obscene or gang related, the vehicle will be removed immediately, and the vehicle will not be placed back into revenue service until the problem has been corrected. McDonald Transit shall exterminate vermin and insects as needed, but not less than two times per year, utilizing safe, non- hazardous and EPA approved insecticides /materials. Every 21 days or 3,000 miles (whichever occurs first), vehicles will be detail cleaned. In addition to cleaning activities performed during daily cleaning operations, detailers will scrub, wash, or shampoo seats, stanchions, ceilings, side walls, floors, and all other interior areas. The radiator, engine, battery, air conditioning components, and lift compartments will be cleaned in accordance with the manufacturer's recommended maintenance intervals, or more frequently as needed. Supervisors will inspect vehicles daily for quality control purposes. Seats and windows will be checked to determine if replacements are needed. If replacements are needed the work will be scheduled immediately. Bus wheels will be checked, sandblasted and painted as needed. Cleaning and servicing checklists are included on the Attachment CD. Bus Stop /Transfer Center Maintenance /Cleaning Dowriptio» of program fcn- implemeraing dtr bus xlupllnnisler center maburn<aic. ", ch•a»ing program, inrhulilq! identification ill praposrd.ctu(Jing, tnd tools and rqt« pment to he pros ided. Dim ti.%.N huv fir stopx trill he muairowil ro einurr thur sops arc c lean, and liner and iravlr are ninaved. Bus stops, shelters and Park and Ride facilities will be monitored daily by McDonald Transit's road supervisors and other staff. Any problems identified either by staff, the public, customers or others will be responded to immediately. Requests, suggestions and complaints concerning the condition of all bus stop and related facilities will be addressed with appropriate forces. Clean, appealing, well maintained Collier County Board of County Commissioners Tab I Plans and Procedums Page 24 TI Ir: �Iirtf3ir lritruainsof,dtilz:l,,iltt:. Agenda Item No, 10B July 27, 2010 Page 46 of 138 with information displays and safe passenger amenities and facilities will be the highest priority. All cleaning products will be approved for public use by the Environmental Protection Agency and will comply with all federal state and city codes, regulations and certifications. We take the highest level of pride in not only the "insides" of the operation, but the outside appearance as well. Our approach to managing transit systems is to provide the customer what they want — a safe, on- time, and pleasant ride to their destination. Part of that very important goal is the ability for employees, customers, and the community to take pride in their transit system. The outside of a bus, the passenger shelter areas, and any other common area visible to the public, represents Collier Area Transit, Collier County and McDonald Transit. Our goal is to present an appearance that is pleasing and welcoming to insure that representation all customers and stakeholders. Cleaning of bus slops and the four (4) main transfer centers is done by a crew of two (2) service workers. They use a well equipped pick -up truck that has needed supplies, hand tools and a power blower. In addition to general cleaning, they report the need for major repairs handle minor repairs and spread weed and bug killer as necessary. Bus Stop Sign and Shelter Repair Work Order Plain: Pnn•ide uren•icu' q1 meihod a, rnanagc and maintain the bar xop sign and shcfto r<parir a ork order program. McDonald Transit intents to manage the bus stop and shelter program by first preparing and maintaining a computerized bus stop inventory list of all bus stops. This list will identify the routes that each stop serves, and list all improvements made at each stop. The inventory list will also contain a list of all sign and post types. Collier County will be contacted when additional signs or post are needed. Ongoing maintenance of existing signposts, trash receptacles, shelters and benches at stops, including repair, installation, removal and relocation of bus stop materials will be provided in coordination with the County, based on the system that is currently in place. McDonald Transit will handle minor repairs as needed to signs with the County handling major repairs and installations. Bus stops signs and shelters will be monitored daily by McDonald Transit's road supervision and other staff. Any problems identified either by staff, the public, customers, Collier County staff or others will be responded to immediately by McDonald Transit. Recommendations for additional stops, removals, and relocation will be made to Collier County will be based on ADA, safety, route schedule, and community considerations. Revenue Collection, Reconciliation and Deposit Outline ufpr, gram 161. anll<aviun, evmning. and ter r1101wriun u/ passelger_lrrrv.c and rirkrr and /lira rerrnuve, im lading a spec ;lie idrntiliruriun o1 prucr v/urrs m rn.cure the proper as {!i gaurding urx! reymrring uJ Jiu'ra. McDonald Transit will employ all best practices to insure that our methods of operation meet or exceed the expectations for fare collection, security, accounting and cash handling. McDonald Transit takes very seriously its fiduciary duty to protect and properly account for our client's and the public's funds. We are keenly aware of the necessity of a clear audit trail and adequate security measures. The following procedures are typical of ones we use when fareboxes are present. Collier County Board of County Commissioners Tab 2 Plans and Procedures Page 25 Agenda Item No. 10B July 27, 2010 Page 47 of 138 f, yJflcDarar;Ira 7r �r>g►� Olsttf in #s, drrr.. In general, the rule of "two" will be followed at all times. Cash (including coinage) is never allowed to be solely in the control of any one individual at any time. Our requirement is that a minimum of two individuals must be present when cash handling is necessary. A clear audit trail is an absolute requirement. The audit trail begins with the installation of an empty fare box in a revenue vehicle. The fare box identification number is recorded and the security of the fare box is verified and recorded at that time. When the fare box is "dropped" (daily) and replaced with an empty replacement the identification number is checked and recorded. The dropping of fare boxes requires the presence of two authorized staff members in addition to the driver. Fare boxes are logged, checked to insure there has been no tampering and placed in a secure vault for processing the next business day. Once all fare boxes are dropped, checked for security and placed in the fare box vault, the vault is secured (locked). The authorized individuals charged with dropping and processing fare boxes at day end will not have access to the vault once secured. At no time is the driver authorized or allowed to handle cash in any manner. The next business day the vault is opened by two different authorized staff members than those who were charged with processing the vaults at the end of business the previous day. Fare box numbers are again checked against the previous day's records and the fare boxes are examined to insure that all fare boxes have been accounted for and that the security of each vault is maintained. The fare boxes are then moved to a secure area (counting room) for processing. It is McDonald Transit's practice to install a visual recording system to record all activities in the counting room on a 24/7 basis. Only when the fare boxes are secure in the counting room are they opened, the fare counted (by box) and the daily deposit prepared. Particular attention is paid to any deviation of the number of one, five or ten dollar bills from historical averages for each routc/piece of work. Daily deposits are placed in a sealed (numbered) bank bag and then transferred to the financial institute (either by staff or armored car) where they are deposited. Careful attention is paid to ridership counts on a daily basis by bus to insure that fares collected match the ridership on that revenue vehicle. Fare box receipts are reconciled to passenger counts on a daily basis. The goal is to have a deviation of one percent (1 %) or less. Daily reconciliation reports are prepared and reviewed by the General Manager. Any discrepancies are investigated and resolved immediately. Drivers are trained to handle cash only for pass sales. Procedures are in place to assure the accountability and security of those cash transactions. Drivers are trained to immediately report fare boxes which are malfunctioning and dispatch/maintenance is trained to immediately respond to correct the problem or trade out the vehicle. Even in those cases where there is a malfunctioning fare box the driver is trained to never handle cash nor allow fares to be placed in any other place than the fare box. In those cases where the fare box will not allow fares to be placed then the driver is instructed to allow the customer to ride gratis until maintenanceldispatch can respond and/or change out the bus. We are on alert for unusual items: complaint that a driver accepted a fare, a difference in total fares collected, and in particular, the absence of one, five or ten dollar bills where they would normally be expected or any other pattern or observation of security breach. immediate action is taken when any irregularity is discovered to ensure the security of our fare collection, accounting and cash handling system. Action could include any number of techniques including but not limited to; "salting" the fare box with marked bills, placing "guest riders" unknown to local staff on suspect revenue vehicles, and do extensive review of counting room video. Each issue of concern will be addressed until a logical conclusion is reached. Collier County Board of County Commissioners Tab I Plans and Procedures Page 26 Agenda Item No. 108 July 27, 2010 Page 48 of 138 Records and Reports lh7inr 11% and reporting program Ileai rnrnntpavws till a.%pect% nl the ,i1wrarion and mrrtN Collier C'outrlr, Statr and Foh,nd reyuiremenA McDonald Transit recognizes the importance and accepts the responsibility of timely collection of base line information, the timely recording/preservation of that information and the importance of the reporting function to both the Collier Area Transit System and for National Transit Database (NTD) requirements. We understand the importance that a "management information system" plays in the effective monitoring of all operations and in compliance with the NTD reporting requirements. The timeliness of data entry into an integrated data management system such as RTA maintenance system is critical to the usefulness and integrity of that system. McDonald Transit practice is to collect and enter data on a daily basis so that the year -to -date data base is current and the daily /weekly reports are reflective of the "real time" status of the agency. Our transit and paratransit systems perform well on state and federal reviews. Our managers are trained to prevent problems which may arise in triennial reviews, NTD annual report reviews, Inspector General or GAO reviews. We are frequently called upon to assist clients with strategies for compliance with Federal Transportation Administration requirements. Our firm is noted for its role in developing new transit efforts under budget, ahead of schedule, and absent any federal, state, or local regulation violations. Familiarity with State, Local, and Federal Funding Programs and Procedural Regulations The McDonald Transit Associate team will provide compliance assistance with federal and state regulations governing transit services, employer responsibilities, and safety performance. The routine verifications include: • There is a written purchasing policy which refers to, and is in compliance with FTA circular 4220.11), Third Party Contracting Requirements, and contains a code of ethical standards, and bid protest procedures. Good faith efforts to obtain accessible used vehicles, including advertisement, were made and appropriately documented. FTA Self- Certification Submission is kept on file. • Any submissions for FTA approval of procurements are documented. • Procurement files (RFPs, rFBs, Contracts) are kept up -to -date, and include (when applicable): o City Council minutes approving purchasing actions o Purchase orders o Pre -and Post - Delivery Audit forms o Bus Testing Certification/Certifications and Assurances o Buy America Waivers o Buy America Certifications o Pre -Award Buy America Certifications • Pre -Award Purchaser's Requirement Certifications • Post- Delivery Buy America Certifications to Post - Delivery Purchaser's Requirement Certifications o Manufacturer's Federal Motor Vehicle Safety Standard Self - Certification Collier County Board of County Commissioner: Tab & Plans and Procedures Agenda Item No, 1013 July 27, 2010 Page 49 of 138 yd�h'tPanr�id r�llsil i�sodatsA,Mr. • Any sole source justifications and single bid awards are documented with price/cost analyses • Proper use of RFPs, IFBs and RFQs in compliance with state and federal regulations. • Corrective action is taken and timely responses are provided following Third -Party Procurement Reviews. • Applicable FTA clauses are included in all RFPs and RFBs (see FTA's Best Practices in Procurements manual). • The chart of accounts facilitates annual NTD reporting requirements. • Financial reports that compare revenues and expenses to budget are prepared in a timely and accurate manner. ■ A monthly report, including financial information, is submitted to the client. • Written cash control procedures that meet the test of generally accepted accounting practices are maintained. • Petty cash fund is: o secured • receipts for funds are attached to forms signed by the issuer and issue • Reconciled at least monthly by someone other than the person responsible • Checks require two signatures. • Cash/checks received for deposit are listed on a signed form by one person, and deposited by another. • Bank accounts are reconciled with monthly bank statements. • Approved applicants must pass the DOT physical including drug screening, have a state record clear of moving violations for three years, and have no felony convictions. • Bus operators trust have a high school diploma or GED and meet minimum age requirements. • Employee screening assures all new hires meet minimum physical and mental abilities for the job. • There are written job descriptions for all classifications that include the essential functions of the job and/or physicaVmental functions a person will be required to perform in the position. • Each employee has been issued a written employee handbook (signed receipt is placed in each employee's file) containing: • Equal Employment Affirmative Action Program • Sexual Harassment Policy • Substance Abuse Policy • Employee Assistance Program • Recruitment, Screening, and Selection Procedures • Performance Appraisal System o Salary Administration Procedures • Benefits Package • Family Medical Leave Act Policy • Attendance Policy • Business Ethics Policy • Conduct and Discipline Policy • Problem Resolution Procedures. • Complete and orderly personnel records, driving qualification records (application, driving record, physical, training certificates), and separate medical files are stored in a_ locked files. Collier County Board of County Commissioners Tab 2: Plans and Procedure Page 28 J IMEIlJoTiffid 11-amit Ihso gales, III[. Agenda Item No. 106 July 27. 2010 Page 50 of 138 • There is a documented program to raise awareness of the importance of maintaining high standards ofjob safety and being drug free, which includes posters, bulletins, etc. • Required postings are kept up -to -date and include: • Employee Polygraph Protection Act • Job Safety and Health Protection • Equal Employment Opportunity • Federal Minimum Wage • Your Rights Under the FMLA • Regular, documented employee evaluations are conducted at least one time each year by supervisors and kept in personnel files. • Progressive discipline, changes in rates of pay, and changes in job classifications are completed in a timely fashion and signed by the employee and the supervisor. • The current labor agreement is readily available, both on site, at the headquarters office, and at the office of the managing director. • Submit accurate 5500 form on pension plan to the Internal Revenue Service in a timely fashion. • Promotions are given only to qualified individuals. • Written substance abuse policy that has been approved by the policy board is available. Testing includes: • Pre - employment drug testing • Post - accident drug and alcohol testing • Reasonable suspicion drug and alcohol testing • Random drug testing • Return to duty drug and alcohol testing • Follow -up testing • Retesting (alcohol only) • Blind testing Employees are notified that the use, manufacture, distribution, or possession of a controlled substance is prohibited in the workplace, and that actions will be taken against them for violations. Supervisors receive at least 60 minutes of training in substance abuse issues one time per year. • All employees receive training on the dangers of drug and alcohol abuse during initial employment orientation sessions and refresher information at least one time per year. Employees are given information on drug counseling, rehabilitation, and employee assistance programs available to employees. • Results of pre - employment drug screens are received prior to employees being placed in safety- sensitive positions. • Random testing is performed during all hours of service. Drug and alcohol testing forms are properly completed, and different forms are used for tests performed that are not mandated by the Department of Transportation. • Substance abuse reports are filed with DOT in a timely manner. Substance abuse program records are kept in accordance with DOT mandates including: • Alcohol test results less than 0.02 are maintained for one year. • Records of negative drug test results are maintained for one year. • Records related to the alcohol and drug test collection process, except calibration of evidentiary breath testing devices, are maintained for two years. o Education and training records are maintained for two years. Collier County Board of County Commissioners Tab 2 Plans and Procedures Paee 29 Agenda Item No. 10B July 27, 2010 Page 51 of 138 . It c�tallrIt� lfrlrlsi? t'�SUCia�es, dltf. • Alcohol test records with alcohol readings of 0.02 or greater are maintained for five years. • Records of covered employee verified positive drug test results are maintained for five years. • Alcohol test calibration documentation is maintained for five years. • Employee evaluation and referrals are maintained for five years. • Coveted employee referrals to substance abuse professional and return to duty and follow -up are maintained for five years. • Annual MIS reports are maintained for five years. Records and Reports provide derailed description o/ hrnr tln•Ji'deral National Transit Dulabaae program will be imillcmented. McDonald Transit has a long involvement with the National Transit Database. Our founder, Alton McDonald and Robert Nelson (Senior Vice President) were recognized by the Department of Transportation for their service in the development of Project FARE which led to the Section 15 reporting protocol. Robert Babbitt (President) has been involved in advisory committees charged with improving and updating NTD requirements. The insights /practical knowledge that McDonald Transit has as a firm and which our senior members contribute to both our data gathering and reporting practices is significant. McDonald Transit will work closely with and ensure the collection and compilation of all data necessary for the Collier Area Transit system to successfully complete all NTD required modules including the Basic Information, Financial, Service, Monthly Ridership and Safety /Security. We will ensure that the passenger sampling process for fixed route service currently in use will continue to meet the approval of the Federal Transit Administration. Records and Reports Provide detailed clrazeiptiu+r (ii hou the Florida Crnnnticciun for h- anspunation Disnrh arrange Annual Opr+nrine Repose e0mi gill he implrmeace•d. McDonald Transit will continue to provide all data needed for our operation to reflect an accurate and timely Transportation Disadvantaged Annual Operating Report. We will assist Collier County in identification of each trip for categorization by program. This function is critical since there are five TD categories, eight USDOT categories, one Agency for Health Care Administration, five for the Department of Children and Families, four for the Department of Health, five for the Department of Education, three for the Department of Elder Affairs, two for the Department of Community Affairs, two for the Department of Labor, one for the Department of Juvenile Justice, and three for other federal or state programs. The expense category reporting will be simplified under the consolidated transit organization. Personnel Praiide pr•oposod organization chm•t mud staffing plan. indicutirtg wgwri =titian Nn urrta•e, number ul man0gemew and sl(i(1'empla ee pacitione, lidl -time or part -lime .statio of cach e•mpluvcc, and mdal y and Arnelit se hcdt lea Joe each rngnlgcer cla.y.cilic•etlion. Collier County Board of County Commissioners Tab 2 Plans and Procedures __ Page 30 The salary schedule is as follows: 1. 2. 3. 4. 5. 6. 7. 8. 9. ]0. 11. 12. 13. 14. 15. Full and part time bus operator Full and part time paratransit driver Service Worker Dispatcher Operations supervisor Paratransit scheduler Receptionist Administrative assistant Service manager Superintendent of Fixed Route Superintendent of Paratransit Paratransit CSR Mechanics Maintenance Clerks Shop Foreman $ 13.33 to $17.65 hourly $ 11.56 to $14.01 hourly $ 11.09 to $16.04 hourly $ 14.Oo to $15.94 hourly $ 38,364 to $44,262 annually $ 13.91 to $15.45 hourly $ 13.85 to $15.50 hourly $ 15.16 to $18.08 hourly $ 40,490 to $44,990 annually $ 44,500 to $49,500 annually $ 43,500 to $49,046 annually $ 12.00 to $ 15.63 hourly $ 22.00 to $24.00 hourly $ 15.00 to $16.42 hourly $ 28.00 to $30.00 hourly ca t, o caLLIEa5=, � Mrr taus ww nu xvr loam w,uow, re�,r [r,ri5rry, Agenda Item No. 10B July 27, 2010 Page 52 of 138 •�M�,bJ W O/nM =-0I,Il1w Tw Ill YL,•YW, •�,Y�•11YY�nlIM�[� ur.ua ,.- •+••gym nova •MI�1 OI 1 Collier County Board of County Commissioners Tab 2: Plans and Procedures Agenda Item No. 10B July 27, 2010 Page 53 of 138 � y� i �- (It�_cUorruiti lr�n�it llssrciates, fnc. The following benefits are provided for employees: 1. Health Insurance 2. Dental Insurance 3. Life Insurance 4. Workers Compensation Insurance 5. Unemployment Insurance 6. Social Security 7. Payment for Physical Examinations 8. Payment for Commercial Drivers License 9. Eight (8) Paid Holidays 10. Overtime Pay 11. Payment for Minimum Amount of Time Worked 12. Bereavement Leave 13. Family and Medical Leave Act Compliance 14. Payment for Jury Duty 15. Vacation up to three (3) weeks per year 16. One (1) day of sick leave earned each month 17. Pay premium for training 18. Pay premium for shop lead work 19. Quarterly and annual bonus for safety 20. 401 (k) pension plan 21. Company match of up to three percent (3 %) for 401 (k) 22. Employee Stock Ownership Plan for non -union employees 21 Provision of uniforms 24. Access to an Employee Assistance Program (EAP) 25. Credit Union Membership 26. Free Bus Transportation Staffing Plait 77rc Stalling plan shoithl drnrihe der skilh and rr,•riem r required u1 each of trio rmplorrrs. and tilt • ara•ra t training prugranr drat will hr implrntenh•d to insure thar all personnel mitt eani.diuton smndords n1 knmdedge. McDonald Transit's approach to staffing and employee relations is reflective of our unique organizational composition. Our approach to employee relations demonstrates a focus on productivity rather than punishment. Our employee policies, including those guiding recruitment, screening, hiring and training, are designed to promote an atmosphere of teamwork, partnership and mutual respect. All are necessary ingredients for a high performance organization. We have high standards and expect high levels of performance. To that end, we strive to create an environment, which promotes employee confidence and encourages initiative. The application of those high standards begins with the recruitment, screening and luring of all employees. Collier County Board of County Commissioners Tab 2 Plans and Procedures Page 32 Agenda Item No. I IC July 27, 0 Page 54 of 138 f , �i��tlrlui� Ir•r�l��tldss'�-��t�3, Pnr. Recruitment McDonald Transit regards its employees as its greatest asset. All of our non -union employees are also stockholders in the company through our Employee Stock Ownership Plan, giving them a vested interest in the company's success. Consequently, recruiting quality employees is a very high priority and is aggressively pursued. Quality employees are the foundation on which successful, effective and efficient public transit service is built. Operator Selection In addition to passing the background and drug screening processes described above, operator candidates must meet the following minimum qualifications: • Properly licensed and trained per Florida State statutes • Possession of a valid driver's license • Passenger endorsement • Air brake endorsement • Current possession of a Class A or B license • Clean driving record for the previous five -year period • No more than two (2) moving violations in the past five (5) years preceding application • NO DWUDUI convictions within the last seven (7) years • No at fault accidents in the last three years preceding application • No violations or convictions for: • Driving while impaired • Leaving the scene of an accident • Reckless driving • No violations or convictions for any of the following: • Negligent homicide • Manslaughter • Any felony • Any rape or criminal sexual conduct offense • Any child abuse or child molestation offense • Fleeing an officer • Ability to pass the DOT physical including drug screening • Command of the English language • High school diploma or GED • Gross misdemeanors will be reviewed on a case -by -case basis • Ten (10) year employment history must be provided, if available. • Ten (10) year driving history must be provided, if available. When checking references on prospective applicants for operator positions, past employers are asked to provide information on the following: l) dates of employment, 2) reason for leaving, 3) type of vehicle the applicant drove, 4) safety habits, 5) ability to get along with others, 6) customer service skills, 7) attitude, 8) initiative, 9) information about the applicant's accident history, and 10) attendance. Collier County Board of County Commissioners Tab 2: Plans and Procedures Page 33 Agenda Item No. 10B July 27, 2010 Page 55 of 138 McDonald Transit maintains a formal training and retraining program for operators, dispatchers, customer service personnel, supervisors, and managers. All employees are given a general company orientation that familiarizes them with policies and procedures and shares the standards that are expected from each employee. The following policies are included in this training: • Mission and customer service philosophy • Employee standards of conduct • Drug and alcohol use and testing policies • Sexual and other harassment; and, • Equal employee opportunity Vehicle Operator Training Program McDonald Transit has developed a standard Vehicle Operator Training program which is included in the McDonald Transit Safety Program (on the Attachment CD). However, in recognition that each property and client are somewhat unique and have different standards/expectations our approach is to customize our training programs (using our standard program as a base) to more closely reflect the expectations for excellence envisioned by our client. McDonald Transit utilizes vehicle operator training materials developed by the Transportation Safety Institute for the Federal Transit Administration Office of Safety and Security. This comprehensive curriculum is modified to meet the unique needs of Collier Area Transit. Each segment of this training program is documented with a formal lesson plan, and trainee handouts are used as appropriate. McDonald Transit will develop, implement and maintain a formal training and retraining program for all operators. At a minimum, the training program will contain the following elements: • The training program will provide formal retraining measures, including criteria for determining the success of retraining efforts. A qualified instructor or supervisor will evaluate each operator employed at least once every six months, including in- service evaluation and license/medical certificate checks. • The training program will include at least eight (8) hours of classroom instruction for each of the categories listed: 1) passenger relations, 2) accident reporting procedures, 3) radio communication procedures and codes, 4) schedules, routes, fares, and farebox procedures, 5) ADA regulations, 6) ADA equipment operation, and 7) CPR and First Aid. • All vehicle operations personnel will be trained in the assisting of mobility limited passengers. • All vehicle operators will receive sensitivity training with regards to working with individuals with disabilities. • All vehicle operators will be required to successfully complete a defensive driving course. • The program will include training in personal safety inclusive of theft/robbery prevention, violence in the workplace and assault prevention. • Qualified instructors will be required to have a safe driving record, at least two years of professional driving experience and a demonstrated ability to provide high quality customer service. Collier County Board of County Commissioners Tab 2: Plans and Procedures _. Page 34 Agenda Item No. 10B July 27, 2010 Page 56 of 138 McDonald Transit provides a minimum of 80 hours training for all new vehicle operators and at least eight hours of retraining for all vehicle operators. Each segment of the training program is documented with a formal lesson plan, and trainee handouts are used as appropriate. The training program addresses: • State and local traffic rules and regulations, including traffic signs and signals. • Defensive driving principles, collision prevention, and concepts of preventable accidents as a measure of defensive driving success. • The specific type of vehicle that will be used in service. • Basic driving maneuvers, including difficulties in backing maneuvers that can lead to accidents, stopping distance requirements, and equipment - specific functions such as door opening and closing procedures for passenger boarding and alighting. • Training to proficiency in the route and schedule structure of the system. • Dealing effectively with customers. • Emergency and accidents handling procedures. • First aid and CPR Supervisors conduct ride checks on all trainees before they are released to drive alone in revenue service. Key safety items being observed include speed control, steering, signaling, turning, intersection operation, passing, traffic judgment, fare handling, passenger pick -up and drop-off, and passenger relations. Following training, the safety habits of vehicle operators will be observed at least one time per quarter. Safety procedures are reinforced through monthly safety meetings and formal in -class refresher training sessions. Formal retraining is offered when an employee has been: • Off work for more than 30 days for any reason. • Involved in a preventable accident. • Observed operating in an unsafe or discourteous manner. McDonald Transit maintains complete and accurate records of all vehicle operator training, retraining, and certifications, as well as the training materials and grading mechanisms. Classroom Training • Employee rule book provisions and uniform requirements • Route / system / schedule familiarity • Commercial Drivers License requirements • Florida motor vehicle laws • Defensive driving • Radio communication procedures and codes • Courteous and professional passenger relations — with an emphasis on the needs of the elderly and disabled • Sensitivity training with an emphasis on working with individuals with disabilities • Requirements under the Americans with Disabilities Act • Accident reporting procedures • CPR and First Aid • Vehicle technical and safety training Collier County Board of County Commissioners Tab 2• Plans and Procedures Pape 35 Agenda Item No. 10B July 27, 2010 Page 57 of 138 �____ _ ;�fltDnllri�d 1r�ait ; €t ��s�ffeitiCt;9. iltc. Behind- the- 111heel Training o Vehicle Familiarization o Pre -trip vehicle inspection and defect reporting o Bus maneuvers, including acceleration, deceleration, and turning o operation of all controls, lights, and gauges o Location and operation of all safety equipment o Clearances and curb -side stops o Route and schedule adherence o Application of defensive driving techniques o Wheelchair lifts/ accessibility devices o Radio communications — applying procedures learned in the classroom Refresher Training Safety procedures are reinforced through at least ten hours of formal refresher training at the start of each season for all returning drivers and Operations Supervisors/Dispatchers. On -going Bus Operator Training and Supervision Ongoing training and supervision includes: o Ride Check observations o Time check observations • Regular driver and operations supervisor safety meetings • Review of customer service reports Dispatch, Supervisor and Other Staff Training Dispatch, supervisors, reservationists and other operations support staff are vital to the success of the shuttle service. They are educated on the standards that are expected of staff. Standards include, but are not limited to: • Performance goals and objectives and continual monitoring • Appropriate telephone techniques • Timely documentation of service delays • Procedures for communication of detours, weather emergencies, and other service interruptions • Efficient trip scheduling • Subscription trip booking Dispatchers, supervisors and other staff are trained in accident/incident procedures in order to ensure that these circumstances are handled consistently and accurately. All dispatch, supervisory, and customer service staff are cross - trained in customer relations skills, telephone manners, first aid and CPR and operating policies in order to handle customer service inquiries and concerns. Supervisors are given a more intense customer service training as well, to respond appropriately to customers in various situations. Operations control personnel assigned to paratransit trip scheduling and vehicle dispatching duties will be given detailed instruction in applicable procedures and professional techniques. All supervisors, dispatchers, reservationists and customer service personnel receive basic language training in Spanish to facilitate communication with customers. At least one bi- lingual telephone reservationists will be on duty at all times. Collier County Board of County Commissioners Tab I Plans and Procedures Page 36 Agenda Item No. 10B July 27, 00 Page 58 of 1 J8 ( Ilt% �; IJnrlr�ialTc�aru [�d��otit3ie:�,t¢�r. Staffing Plan Ac plan must also uddr r .c atraa•yir that n ill lay adupred fitr rec 7,a lment and r0(0nttau of rmpinrr0r to arhhe%s the r halkngt.% a mn iated n'ith thr !nn' unrrnplrmmen( ran• in th0 Naples 117,01. McDonald Transit works diligently to provide a rewarding and motivating work environment for all its employees. All of the management and human resource policies and procedures described elsewhere in this proposal represent proven techniques for achieving this goal. Other techniques are used to enhance the environment, promote trust and support positive employee morale. These techniques can be grouped in two general categories: the corporate culture and special programs. We strive everywhere to imbue our local organizations with a corporate culture that promotes open communication, proactive decision making and active participation. All senior managers are visible and available to all employees. There are multiple formal and informal communication devices used to insure that no one in the organization is surprised or lacks the knowledge they need to excel in their jobs. These include high visibility by all managers in the work place and easy access to all management employees by any employee. Print and electronic newsletters are used. Frequent employee meetings are held to provide information and get employee input. Employee task forces are used to facilitate decision making across'the organization. We have used these task forces for issues as diverse as a system wide bus route restructuring to selection of a new health insurance provider. Labor management committees also are used to promote idea sharing. Employee praise also is a key ingredient of this positive culture. Every opportunity is taken to reward employee performance. In addition to promoting a culture aimed at high employee morale, we have used special programs to further enhance the working environment. These have included but are not limited to: • Creation of on -site fitness center • On site wellness programs • On site weight control programs (ie Weight Watchers) • On site screening for high blood pressure • On site chair massage on pay day • Providing all employees with a personal computer • On site computer training courses • Safety and recognition banquets and award ceremonies • Employee of the month, quarter and year programs • Preferential parking for recognized employees • Preferential parking for ride sharing • Tuition reimbursement programs • Employee scholarship programs • Use of employees in advertisements and community speakers bureaus • Allowing employees to participate in community events on Company time • Annual pancake breakfast for all employees cooked by the senior managers • On site personal development programs (ie. Dale Carnegie) • Employee picnics • Employee day at local amusement or water park Collier County Board of County Commissioners Tab 2: Plans and Procedures Pate 37 -1 ' � -ITIIcDoll€��r� tr�rlsa� li�sac�rsies, )rl� Agenda Item No. 10B July 27. 2010 Page 59 of 138 While this is only a partial list, our goal is to regularly find new and better programs to keep employees involved and motivated. While providing public transportation is a serious and sometimes stressful business, these kinds of programs can bring "fun" to the work place while supporting the overall mission of the organization. It also is surprising to find out how much can be done with a very small financial investment. Employee Incentive Program McDonald Transit recognizes that the key to a successful public transit system is the people we employ. They are our most valuable resource. We must create a work environment that shows someone cares for them and that their work is appreciated and we will work to develop feasible incentives. Various methods have been utilized by the systems we manage to create such an atmosphere including: • Quarterly and annual safety bonuses • Additional floating holidays for exemplary performance • "Million Mile" award for safety • Financial rewards for increased revenue • National Safety Council pins • Financial rewards for employee suggestions • Financial rewards for increased passengers and/or revenue • Employee -of -the Year awards • Recognition for years of service • Bus Roadeo • Mechanic Roadeo Celebrating employee's achievements lets them know they are appreciated and generates stability and success in the organization. The most successful employee incentive award programs are developed in consultation with the employees who will be the recipients of the awards. Therefore, McDonald Transit will develop an incentive program for employees by soliciting from them what types of incentives would be most effective in encouraging their superior performance. Employees at Collier Area Transit participate in a safety incentive program that provides quarterly and annual financial rewards for accident free driving. During our tenure as the contractor for the County recruitment of employees has not been an issue. We use the following strategies to recruit and hire employees: • Advertisements in local newspapers • Current employee referrals • Use Work Force Development/One Stop Career Centers • Advertise positions at public outreach meetings • Posting on public bulletin boards available to CAT These techniques have produced a steady stream of applicants for our consideration and hiring. Collier County Board of County Commissioner: Tab 2 Plans and Procedures _._ Page 38 Agenda Item No. 108 July 27, 2010 Page 60 of 138 Experience with administering, implementing and operating coordinated paratransit systems: Suhmn inlnrnanu,n Jecrrihun!rarr etPnrr?I,, ' u fit o,indmereriny. "n114e,ue+umx and ,gA.nuraA erxa'rinunirrp Perarran,a vre /r, Dee, the ho,r , n,ndinorron 111 nmmp„rrunr,n In' the di.n,h',+nmcrd ,, ill h, need° n1 A( wiendml assns rn the ,jw, ilied semi,• 111" 11 1, Describe the agency ✓firm's cvPerience with coo diriatian1pr•in•ivion of hunaparhdiou sl:vrenLC,for rransporralion disadvantagedpervons. McDonald Transit has extensive experience in administering, implementing and operating coordinated paratransit services. This can be seen in the paratransit systems that we manage as follows: Abilene, Texas 104,530 MM 612,738 104,268 Bloomington, Indiana 28,826 190,650 17,825 Lubbock, Texas 107,684 741,217 47,831 Collier County, Florida (Naples) 112,728 1,155,238 63,154 Fort Wayne, Indiana 45,692 250,628 24,358 Hall County, Georgia (Gainesville) 26.964 105,744 9,703 Lawton, Oklahoma 24,302 119,225 8,397 Longview Transit Management, Inc. 10,171 62.467 5.222 Fort Worth, Texas 151,542 2,119,840 73,777 Midland - Odessa, Texas 23,999 117,474 7.848 Mobile, Alabama 105,992 776,394 56,108 Niles, Michigan 23,458 75,375 6,255 Texarkana, Texas and Arkansas 5,690 32,848 2,959 Victor Valley, California 103,792 576,031 36,943 Volusia County. Florida (Daytona Beach) 243,478 2,051.626 137,896 Waco, Texas 77,450 753,533 37,750 A good example of coordination can be seen in the work we have done in Volusia County. McDonald Transit Associates, Inc, (McDT) has been responsible for coordinating paratransit services in Volusia County since 1996. Prior to this time, the Volusia County Council on Aging served as the Community Transportation Coordinator (CTC). McDT, in its role as manager of VOTRAN, was asked to take over as CTC based on recommendations offered in the Transit Development Plan (TDP) as a means to increase the coordination of countywide transit services, maximize the use of existing transit services, and minimize the duplication of services. In assuming the role of CTC, VOTRAN was faced with the following significant challenges. Collier County Board of County Commissioners Tab 2• Plans and Procedures Page 39 Agenda Item No. 10B July 27, 2010 Page 61 of 138 �3Tlc�rlll�tr� i�l��si';s�ntiutes, lltc, •.• The CTC was $200,000.00 in debt. The fleet of paratransit vehicles had exceeded their useful life and needed to be replaced. ev An automated scheduling system had been purchased but not implemented. •S The contracts with the private vendors needed to be renegotiated. Volusia County in an active partnership with VOTRAN resolved these issues over a three year period. VOTRAN operates 44 vehicles and has an additional 30 vehicles under contract to transport, on an average of 1,400 scheduled trips per day. These trips are multi - loaded and include Americans with Disabilities Act (ADA), Transportation Disadvantaged (TD), Medicaid, Section 5311 and social service agency customers. The Transportation Disadvantaged Service Plan (TDSP) is an integral part of VOTRAN's TDP. The philosophy of the system is to develop mobility options for the residents of Volusia County. These options are developed and planned for within the structure of the TDP. VOTRAN uses the TDP process to test operational concepts with policy makers both on the Volusia County Council and the Volusia Metropolitan Planning Organization (MPO) Board of Directors. As noted earlier, the recommendation for VOTRAN to assume the responsibilities of the CTC was made in the TDP. Since the recommendations were made as part of the TDP process, VOTRAN has continued to develop the TDSP in conjunction with the TD process. The coordinated paratransit system is viewed as one of the mobility options in the system's family of services. After several discussions with the TD Commission staff members, they have allowed us to prepare the TDSP in this manner as long as it meets all their requirements. Since VOTRAN operates an array of services (i.e. fixed route, paratransit, commuter assistance, etc.) a cost allocation plan had to be developed and approved by the Federal Transit Administration. This plan allocated the cost among the various services in order to properly document billing for the following programs. ❖ FTA Section 5307 •:• FTA Section 5311 •S FDOT Block Grant ti FDOT Service Development Grant FDOT Commuter Assistance ❖ Medicaid e. TD Trip & Equipment Grant A key component of this cost allocation plan is the administrative fee per paratransit trip. It is important because VOTRAN must add this charge to the invoice from the private vendors in order to draw down funds from the appropriate funding agency. The gate keeping function used by VOTRAN involves a continuing review on how transit services are structured to serve the disabled as well as the eligibility for ADA. TD and Medicaid pamtransit service. VOTRAN will assist agencies providing service to the transportation disadvantaged with either obtaining vehicles or obtaining funding for the purchase of vehicles. County policy allows VOTRAN to donate retired vehicles to non -profit agencies that currently use VOTRAN paratransit services. In return, these agencies must enter into a Coordination Agreement with VOTRAN to minimize their use of paratransit services to meet their transportation needs. Collier County Board of County Commissioners Tab 2: Plans and Procedures Page 4o Agenda Item No. 10B July 27, 2010 Page 62 of 138 The Transportation Disadvantaged Local Coordinating Board (TDLCB) has adopted a policy that those agencies who receive Section 5310 funds for vehicles must enter into a Coordination Agreement with VOTRAN. The purpose of this agreement is that those agencies, again, minimize their use of paratransit services to meet their transportation needs. Under the Coordination Agreement, the agencies must report their trips to VOTRAN for inclusion in the Annual Operating Report. The inclusion of these trips lowers the average cost per trip. Z Describe the agenet• /firnt'.v crperience with developing a Transportation Service Plan or Transportation Disadvantaged Service Plan (TDSP). All of our Florida managed systems ( Volusia County, Ocala and Collier County) are in compliance with the TDSP requirement. We work cooperatively with our clients in thee locations to produce and update the plans. McDonald Transit's Consulting Division also has completed a variety of Transportation Service Plans, which include both fixed route and paratransit service components. Senior Vice President Ken Fischer has developed Transportation Disadvantaged Service Plans for Sarasota County and been instrumental in the Volusia County plan. This will serve Collier County through a solid foundation of corporate expertise in service planning, service delivery, and performance monitoring for paratransit services. 3. Describe how the agenct/ftro has and will continue to satisfi, provisions oj'Section SO4 of the Rehabilitation Act, the Americans with Disabilities Act, and other applicable federal, state and local requirements regarding the provision ofscrvices to people with disabilities Our transit and paratransit systems are regarded highly in each state or federal reviews. Our managers are trained to prevent problems which may arise in triennial reviews, NTD annual report reviews, Inspection General or GAO reviews. We are frequently called up to assist clients with strategies for compliance with Federal Transportation Administration requirements. Our firm is noted for its role in developing new transit efforts under budget, ahead of schedule, and absent any federal, state, or local regulation violations. 4. Describe the agenc firm's etperienve in coordinating nudti- agency i ansportation ncedv, documentation of reduced per trip cost resulting front coordination, ability to apply for nwosportation grmttc and enrrtracts arut efficiently manage the contracts and acconntiag procedures to document individual nips and agency costs. This section .should address e.tperience and approach to "gate keeping " %unctions where trips are nuuurgc r! mu! rresignetl ctpprapricdc(y. In nearly all of McDonald Transit's operations, it is essential, and often times, required, to coordinate with several transportation providers. These service providers include public, private, and non -profit providers. Inter- agency coordination is important in order to maximize all of the publicly - funding services that mingle within a regional area. The key to successful coordination is continuing communication, record- keeping and effective scheduling. Communication allows our staff to know how our customers can fit within other transportation services. This provides our customers with the best alternative for their trip, thereby increasing efficiency and productivity on our systems. Record- keeping is the key to accurate performance monitoring. Performance monitoring then leads to implementing effective changes to improve the service in terms of both efficiency and effectiveness. Scheduling is the output of an effective communication system and accurate record- keeping practices. Additionally, knowledge of the scheduling software and how to use all of its capabilities allow our staff to best schedule the daily assignments. Some examples of our experience in efficiently managing this type of coordination include, but are not limited to: Collier County Board of County Commissioners Tab 2. Plansand Procedures _ _ Page 41 Agenda Item No. 1013 July 27, 2010 Page 63 of 138 .1 • Brokering and managing paratransit trips in Collier County • Coordination of paratransit services and management of County non -urban provider in Fort Wayne, Indiana • Administration of multi- county trip and grant coordination for vehicle purchases in Tarrant and Parker County, Texas • Coordination with fixed route services through education and travel training in Fort Worth, Texas • See also discussion in # 1 above referencing Votran experience S. Describe any avperience in coordinating multi- agenq, resources, including abilitJ• to negotiate school bus use, coordinate mint public transit sPStews, auhcontrart with private sector operators and work with governmental regencies to ataxindze use of agencr resources and improve coordinated trausportadon for the transportation disadvantaged. As discussed above, McDonald Transit coordinates with other agencies and governmental agencies on a daily basis. As a private management company, we are adept at negotiating contracts with any entity, be it public, private, or non - profit. Resources include both funds and staff time and expertise. At McDonald Transit, we are continually striving to find ways to improve efficiency to maximize funding resources and to most efficiently use the time and talents of our staff. This attitude extends from our front -line staff, including operators and dispatch/scheduling ,tiff, to our company Chief Executive Officer. There are several examples of how we perform these functions. In Valparaiso, Indiana we coordinated the routing structure of the municipal bus system to provide flex routing to meet paratransit and ADA requirements. In Bloomington, Indiana, we provided maintenance and other assistance to the human services provider in the County and eventual took over provision of the urban paratransit and ADA component. In Fort Worth, Texas the McDonald professionals were selected by the State and local COG to manage trips and vehicles provided through the old FTA Section 16 (b) (2) to non -profits agencies and social service providers in the surrounding counties. We also have consulting experience in coordination. McDonald Transit performed a successful coordination study that harmonized paratransit service in West Des Moines, Iowa between the local transit agency and the historic human services provider. 6. IdentiJi• the ruethod of coordination to be used in scheduling trips. Idendfii• computer so%brure used Describe the procedure used fro» r the tone a call requesting a trip is received hr the Coordinator through tabulation, to tailing a hill to the purchasing/fiutding agency This shall in dude, but not be limited in. !candling of calls, establishing driver routing .sheets, recording actual trips provided hr agency crud preparation of an agener invaire. McDonald Transit is proposing to use Route Match for the scheduling of paratransit trips. Once eligibility for the appropriate program is determined, the trip request will be processed as follows. Reservinn a Trip Reservations for a trip would be accepted 7 days ahead of the requested trip, Monday thru Saturday; for next day trips, customers would call by 4:00 p.m.; for Monday trips, customers would be encouraged to call by 4:00 p.m. on the previous Friday. Requests for same -day service would be made on a space - available basis. Information to he entered for the trip request would include: C• Pick up location o Name o Phone Number o Address Collier County Board of County Commissioners Tab 2: Plans and Procedures Agenda Item No. 10B July 27, 2010 Page 64 of 138 Destination • Name of Person/Agency/Business • Phone Number • Address Appointment time and Return time Medicaid Number (if applicable). ❖ If a PCA is needed Additional Travel Requirements Return Trip Pick up Location Appropriate Billing Code Nursing homes and Senior Centers may be allowed to make reservations for their clients via fax. Subscription service may be offered to customers that make regular trips on a weekly basis. t chedufiue Preliminary scheduling of the next day trips will begin at approximately 10:00 a.m. based on the runs developed around the subscription trips. As discussed earlier, the service matrix will outline the initial run structure for service based on time of day, in county, out of county and stretcher trips.Near the end of the reservation day, approximately 4:00 p.m., the scheduler will complete the manifests for the next day. These manifests will contain information such as: Customer's Name Pick up Location Destination ❖ Scheduled Pick up time/Drop off time Fare Code The manifests will be provided to the vendors for operation. Disparching Coordination with the dispatchers will occur regarding changing of trips, no shows and cancellations. All this information will need to be properly documented on the manifests by the vendor's drivers and turned in for verifications by McDonald Transit. !I E Docuurearadvn Collier Area Transit staff will enter and verify information associated with the scheduled and add on trips. This will include verification of: 4 Trip was made •3 Bill Code Fare Collection Per Trip Rate Mileage Vendor Invoichte/Parmenr After the appropriate verification of manifests and invoice, vendors will be paid every two weeks. Funding Agency Invoice The County would be invoiced on a monthly basis for the provision of service. Detail would be provided by bill code, fare collection, trip type, mileage, hours and total number of trips. Collier County Board of County Commissioners Tab 2: Plans and Procedures Agenda Item No. 10B July 27, 2010 Page 65 of 138 Z Prowdde a recommendation au the numbers and tipe of operators needed to .satisfy the transportation disadrwntaged demand and rrltat npc of reieirlex trill be uecrssart: Currently the system uses twenty (20) Collier County paratransit vehicles in a mixed fleet with different seating I wheelchair capacities. In addition, McDT contracts with private sector subcontractor who use both private vehicles and Collier County paratransit vehicles. Private sector subcontractors use up to an addition 25 (twenty -five) vehicles depending on the number of out of county trips requested on a given day. These will continue to be used. A possible enhancement to the system would be to allow the use of taxi cabs for passengers who become "will calls:' Using taxi cabs would take advantage of transportation capacity current on the street, and has the potential to be a cost saving measure. Staffing levels are identified above. S. !f appropriate, describe (tie process for contracting nddh operators to provide the delivery of service. Sperifrcallr, will the Afanageurent Company tregotlate, or conduct Requests for Qualifications, or Request far Proposals? Subcontractors are selected by competitive proposals. Oversight of Collier County will be included at each step. Transportation vendors will be monitored on a quarterly basis. Vendors must have a written System Safety Program Plan (SSPP) that complies with all requirements of Florida Department of Transportation Rule Chapter 14-90.-The quarterly review of vendors will consist of the following: ❖ Section I — Vehicles ADA Certifications of Compliance • Inspections of vehicles for safety and cleanliness ■ Review of Maintenance Records • Review of SSPP and Maintenance Plan :• Section 2 — Radios • Inspection of Two- way Radio System :• Section 3 — Driver Requirements Review of Personnel fifes for appropriate documentation • Review of Driver Training • Review of Complaint Records C• Section 4 — Drug Free Workplace Review of Written Policy • Review of Testing Procedures Section 5 — Accident Procedure • Review of Accident Documentation Section 6 —Other Document Inspection • Review of Vehicle Insurance Policies • Review of Workers Compensation Policy • Review Business License. 9. Describe the method the Coordinator will use to plare trips uvith transportation operators. McDonald Transit does a broad outreach for possible providers. Utilizing published resources in the community and our contacts gained from public outreach and experience, a target list of providers is identified. Transportation providers are pre - screened for all local, state, and federal compliance with regulations. We also do on -site investigation of the provider's capacity, quality standards, background, customer focus, vehicle availability, complaint history and geographic coverage. Once we are satisfied Collier County Board of County Commissioners Tab 2 Plans and Procedures Pate 44 Ljj�tllrAnnnldTransiiRsSncin�es ,fin. Agenda Item No. 10B July 27, 2010 Page 66 of 138 that the provider can meet our client's quality standards, we enter into a contract with the provider. Trip assignments are made on vehicle, and personnel resources, and in consideration of geographic coverage. 70. Describe or attach four agertr,l' //irnr's prncedtrre,Jnr complaint resolution and appeal af'dve&iorrs. As part of Collier Area patatransit we determine program eligibility, provide management for the provision of service, and administer the Transportation Disadvantaged Local Coordinating Board's No Show / Cancellation Policy. If the customer is not satisfied and/ or disagrees with a decision such as eligibility for a program, have a complaint on service delivery, or disagrees with a no -show / cancellation violation, he/she may file a grievance or to request an appeal. The process to file a grievance, or to request appeals are as follows: STEP ONE: Contact the Superintendent of Paratransit. The Superintendent of Paratransit will investigate the concern and provide a response. STEP TWO: Contact the General Manager of Collier Area Transit. The General Manager will review the case and provide a written response. STEP THREE: Contact the Collier County Transportation Department's Public Transportation Coordinator / Senior Planner. STEP FOUR: Contact the Collier County Alternative Modes of Transportation Director. We also provide contact information for the Florida Commission for the Transportation Disadvantaged Ombudsman. 11. Descrihe fire procedure used to utonitor operators to meet reyufrententc ol'Chapter 14-90, Florida Adminisrratire Code. In compliance with Chapter 14 -90, Bus Transit System Operational Standards, Collier Area Transit's SSPP plan will consist of safety considerations and standards for the following: Require that all operable transit buses be inspected Assure that safety inspections are performed by qualified personnel ti Annually submit a safety certification to the Department verifying the adoption of a SSPP Annually submit a safety certification to the Department verifying compliance (example on Altachment CD) ':• Require immediate suspension of affected system service operations if believed not safe for passenger service :• Require that all buses be operated t all times in compliance with applicable traffic regulations Require proof of valid license for all employees who drive buses Establish driver training and testing • Explicit instructional and procedure • Road test of sufficient duration • Evaluate the skills of the driver Establish driver training for operation of special equipment ❖ Provide a written operational and safety procedures to all drivers before driving •: Maintain a current record of the different types of buses each driver is capable of driving Maintain a record of each driver's work period Collier County Board of County Commissioners Tab 2: Plans and Procedures Page 45 Agenda Item No. 10B July 27, 2010 Page 67 of 138 Agenda Item No. 10B July 27. 2010 Page 68 of 138 �tllc'llvnuld TransitNsstlriaies, lnr.. Financial Capacity and Cost of Service Financial Capacity provide totolnultiun rdlatirrt In the financial eondiflou ofPropover, including inforufatiu» drn»»levrating that if has III,. heresore linanriul revourers to meet the rrquiretnenn .vhrnrit in this RhP. 776.% information will inchrde : al indite d hahowe 1hveis fit f1ropenrr fn the hot three t31 fl.,t et 1 car:".. /rl an7iled cuna'olidnred hohoa'r shrrte of 1'roponer and in sulmdiariev, ifunr, Poe d!e lact rhre•r (3) fi.vc,t rears. e1.4udin•d stareanrure of inronrr and stoe.thulderr "quint if anr, and ch ntQe's in the finuneitIf povimin of the Propowrior ils Iffy direr (3) mars and .all d«diled convulidowd statetneuty of income and.vo(hholdarv• cquin', it atn', and ehmr e.v in the finonriul pusilion ul Prup.. wr and ite suhaidioriecv, it "(110. fin'rhr lull three (3) fist al rears. McDonald Transit is one of the fastest growing firms in the transit industry. Our client retention rate is the envy of the national firms. As an employee owned firm, we are very proud of our recent growth and the continued strength of our company. Our only focus is excellence in transit management, maintenance and operations. McDonald Transit has never failed to complete a contract. Mr. Barry Kromann, Senior Vice President, Texas Capital Bank, Mr. Gary Dunlap, Broder, Pineider & Ford, LLP (Certified Public Accountant) and John Hill, BB &T Insurance Services of California can attest to the financial stability of the firm. Their contact information is as follows: Mr. Barry Kromann, Senior Vice President Texas Capital Bank 500 Throckmorton. Suite 300 Fort Worth, Texas 76102 (817) 212 -8333 Mr. Gary Dunlap Broder, Pineider & Ford, LLP Certified Public Accountants 413 Keller Parkway Keller, Texas 79244 (817)431 -9410 Mr. John Hill, Vice President BB &T hisurance Services of California 750 B Street, Suite 2400 San Diego, California 92101 619 -525 -2838 McDonald Transit's financial statements are included on the Atfachment CD. 0 .Slide 141,1111ref to nn/ PrUf)<!e[•I'. ift (» "a'd[Y Y'Cq u7.. if' if, pros, ipaly ha n. he•t'rl involved of 1'(!l17;rifp(f9'. It NI, t'il't' drlade'. Neither McDonald Transit nor its principals have been involved in bankruptcy. There is no predecessor company to McDonald Transit. 1) hit tilde in this loh III,, ronfplered Tort prvpowo? liu'nrs fur both filed I na, anal paratromir prugranls The Cost Proposal is included at the end of this section. Collier County Board of County Commissioners Tab 3: Financial Capacity and Cost of Service Agenda Item No. 10B July 27, 2010 Page 69 of 138 T109nald Transit ilssl iiaiE4• lilt;. j -1p Additional Plans rddilional Plans: S7thntil nvirh Iran propnuds lln•Jullrnring and denrua.urate tier nicet till tq+pli(ahh- )•deral rrgHlreltlent.c: o Annual 16mmrr Re.oureec (EE00 Plan o Annual Alfirmoril v Jaion Plan o Annual Iivining Plan jnr• All Joh Camgoriea o Pruposed Health Benefit Parlatge The EEOC Plan and Affirmative Action Plan are on the Attachment CD. They meet applicable Federal Requirements. Amtual Training Plait for All Job Categories All employees will be required will be trained on the following categories when hired and annually (refresher training). • Job description • ADA • Substance Abuse • EEO • Defensive Driving • Customer Service • Passenger Sensitivity • Right to Know /MSDS • F.A.C. 14.90 IS Personnel Manual • Blood Borne ■ Safety/Security Collier Area Transit employees a Certified Train the Trainer under the US DOT / FTA - Transit Safety Institute Bus Operator Certification Program. Every fixed route and paratransit bus operator must successfully complete the certification course prior to starting work as a bus operator. The certification covers bus operations, emergency management, and customer service. In addition to the above, all positions receive annual training and retraining as indicated below. Collier County Board of County Commissioners Tab 3: Financial Capacity and Cost of Service Agenda Item No. 106 The following firms have submitted proposals for the RFP referenced above and will be required to make a brief presentation to the Selection Committee. Presentations will be given on April 28, 2010, at the Collier County Government Center, 3301 Tamiami Trail East, Naples, FL, 34112 (Purchasing Building Conference Room A). The presentation order will be as follows: 9:00 a.m. — 9:50 a.m. 9:55 a.m. — 10:45 a m. 10:50 a.m. - 11:40 a.m. 11:45 a.m. —12:35 p.m. 12:35 P.M. — 12:45 p.m. 12.45 p.m. - 2:00 p.m. McDonald Transit Nationwide Transportation Systems MV Transportation Tectrans Break Selection Committee Meeting (Open to Public) There will be five minutes allowed for set -u , f �' will be allotted, which will include 25 minutes of presentation followed by „,,, for questions and answers. Since we are interested in oral presentations, please keep display items to a minimum. As a professional courtesy, we request that firms refrain from sitting in on other firms' presentations. The Project Man_ a er as identified in your proposal will be the primary presenter. Each firm may bring a EM t Y to assist with the question and answer portion of the presentation. If your firm requires any visual presentation equipment, please contact me at (239) 252 -8446. Please address the following topics during your presentation: • Overall staff and industry experience summary • Why your firm stands out above the other proposers • Transition step by step plan from current vendor to new vendor Following the presentations, the Selection Committee will be scoring and ranking the firms for a final shortlist to be submitted to the Board of County Commissioners for approval. Thank you for your participation with Collier County on this project. C: Glama Carter, Alternative Transportation Modes EXHIBIT °D" July 27, 2010 Page 70 of 138 Purchasing Department 3301 Tamiami Trail East Services Dnvi6on Pumhosina Naples, Florida 34112 Telephone: (239) 252 -6446 FAX: (239) 252 -6697 Email: BrendaBdlhad @colliergov.net DATE: April 27, 2010 TO: Proposers for RFP #10 -5455 FROM: Brenda Brilhart RE: Presentations AIM The following firms have submitted proposals for the RFP referenced above and will be required to make a brief presentation to the Selection Committee. Presentations will be given on April 28, 2010, at the Collier County Government Center, 3301 Tamiami Trail East, Naples, FL, 34112 (Purchasing Building Conference Room A). The presentation order will be as follows: 9:00 a.m. — 9:50 a.m. 9:55 a.m. — 10:45 a m. 10:50 a.m. - 11:40 a.m. 11:45 a.m. —12:35 p.m. 12:35 P.M. — 12:45 p.m. 12.45 p.m. - 2:00 p.m. McDonald Transit Nationwide Transportation Systems MV Transportation Tectrans Break Selection Committee Meeting (Open to Public) There will be five minutes allowed for set -u , f �' will be allotted, which will include 25 minutes of presentation followed by „,,, for questions and answers. Since we are interested in oral presentations, please keep display items to a minimum. As a professional courtesy, we request that firms refrain from sitting in on other firms' presentations. The Project Man_ a er as identified in your proposal will be the primary presenter. Each firm may bring a EM t Y to assist with the question and answer portion of the presentation. If your firm requires any visual presentation equipment, please contact me at (239) 252 -8446. Please address the following topics during your presentation: • Overall staff and industry experience summary • Why your firm stands out above the other proposers • Transition step by step plan from current vendor to new vendor Following the presentations, the Selection Committee will be scoring and ranking the firms for a final shortlist to be submitted to the Board of County Commissioners for approval. Thank you for your participation with Collier County on this project. C: Glama Carter, Alternative Transportation Modes Patddc G. White Of Counsel PwhitaQpoderwdghtcom Board Certified in CRY, County, and Local Government Law Porter Wright Mortis & Arthur LLP 9132 Strada Place, Third Floor Naples, Flodda 34108 -2683 Ouect 239593 -2963 Fair 239593.2990 Tog free: 800- 876 -7962 www40termrIl lrLcpn porterwright CINCOM CtEVMAM cnuaaem a1YM wwtrs va%*N .Dc rurtESrs M7 v.02 EXHIBIT "E" May 20, 2010 Agenda Item No. 10B July 27, 2010 Page 71 of 138 VIA E -MAIL STEVECARNELL@COLLIERGOV.NET AND REGULAR MAIL Mr. Steve Carnell Purchasing Director Purchasing Department Collier County Government Complex, Building "G" 3301 Tamiami Trail East Naples, Florida 34112 Re: Notice of Intent to Protest RFP 10 -5455 - Management Services Contract for the Collier Area Transit (CAT) Fixed Route and Paratransit Program Dear Mr. Camell: On behalf of our firm's client, McDonald Transit Associates, Inc., please accept this Notice of Intent to Protest (Notice) the recommended award of contract for Management Services Contract for the Collier Area Transit Fixed Route and Paratransit Program for the referenced RFP. According to Section XVIIi, Protest of Bid or Proposal Award, set forth in the County's Purchasing Policies and Procedures, we have two (2) calendar recommended award Is posted to so file our Notice. Based on the fact that the recommended award was Initially posted on May 1 EP, our Notice is timely filed. Please confirm our timely filing by an acknowledgment of receipt of this Notice for the referenced RFP. Thank you. ncerely, WPatrick G. White Of Counsel PGW:ag cc: Brenda Brilhart (brendabrilhart@colliergov.net) Robert Babbitt (bbabbitt@mcdonaldtransit.com) EXHIBIT "F" Agenda Item No, 10B July 27, 2010 USA company in 1996, John became a founding shareholder and operated the company as the Phoenix branch of Coach USA from 1996 until 1999 when he was promoted to Vice President responsible for Coach USA's West Region operations and relocated with his wife and two daughters to Las Vegas. In 2005 John changed roles with Coach USA, taking on the challenge of Vice President of Sales and Marketing, until he joined the Tectrans team in 2009 as COO. John has direct oversight responsibility for all transportation operations for Tectrans operating companies. A full resume for John Busskohl is included in the Appendix at the end of our Proposal. MARK LEVITT: SENIOR VICE PRESIDENT - EAST OPERATIONS Mr. Mark Levitt oversees the day -to -day operation of the company's East Operations which includes some 32 contracts in the State of Florida, more than any other Transit Management company in America. Since its inception in 1984, Mark served as the President of Limousines of South Florida, Inc. and continues to serve in that capacity for the Company as a wholly -owned subsidiary of Tectrans, Inc. Mark has seen his transit operation grow from only a handful of vehicles and one major contract, to more than 200 vehicles operating contracts in communities across South Florida. Mark will hold overall responsibility for the success of the Collier County Management Team and the operations assigned to it. He will serve as the Transition Agent to ensure that all resources necessary to ensure a smooth and seamless transition to Tectrans' management team are available, not only when they are needed, but well in advance. He is a specialist in developing successful contingency plans for transit operations and takes enormous pride in the satisfaction level of his transit and shuttle customers. Mark developed and implemented the companywide culture of Total Passenger Satisfaction and ensures that all employees who report to him, either directly or indirectly, subscribe to this same mantra. He is a well -known and active member of the Florida public transportation and Transportation Disadvantaged (TD) industry and has served on numerous association committees. A complete resume for Mark is included in the Appendix at the end of our Proposal. VALERIE FLORES: SENIOR VICE PRESIDENT— WEST REGION Ms. Valerie Flores is a transportation industry veteran with knowledge and experience in all areas of service provision, having held transit management responsibilities both in public and private sector. Most recently, she served as the General Manager for the Las Vegas paratransit contract, which includes management oversight of an entire team of managers, hundreds of drivers, and hundreds of paratransit vehicles. Valerie was recently recruited to serve as Tectrans' Senior Vice President — West Operations, with oversight and management responsibility for all transportation operations and related functions in the West Region, reporting directly to the Chief Operating Officer. Valerie's contribution to the success of Collier County transportation is to support and encourage her counterpart in the East Region, Mark Levitt, as well as our on -site General Manager, by providing additional access to corporate resources and support programs. LARRY SLAGLE: VP GOVERNMENT AND INDUSTRY RELATIONS Mr. Larry Slagle has more than 50 years of experience in the public transportation, paratransit and taxicab industries. During his distinguished career, Larry has gained experience working in all facets of taxi and transit operations, and he has been instrumental in the design, development and negotiation of numerous Dial A -Ride, shuttle, paratransit and senior and disabled programs. Larry's background and extensive knowledge of public transportation have resulted in recognition and involvement in local, state and national transportation groups. Larry served as a Board Member and past President of the Taxicab Livery and Paratransit Association (TLPA) and he is currently serving as President of the TLPA's charitable Foundation. Larry has also been recognized by Clean Energy for his efforts to reduce emissions by spearheading the use of CNG- fueled vehicles. Larry is available to all Tectrans management teams and properties to assist with government and industry relations, at the local, regional, state, and federal levels. He is also a skilled labor relations expert, having assisted in the negotiations of several labor agreements. JORGE FLORES: DIRECTOR OF SAFETY Mr. Jorge Flores currently serves as the Director of Safety at Tectrans, Inc. and oversees all safety management for all vehicle operations. He is responsible for implementing Tectrans' safety policy and procedures in addition all safety- related communications to all vehicle and fleet managers and employees. He not only enforces Tectrans policies but he also makes sure that all operating terminals meet and /or exceed what is legally required by local, state, and federal regulations. Jorge genuinely cares and is passionate about the safety of our passengers and he is a role model within our organization. Jorge is fluent in both am- Anemia ItPR KlI 9 nR Agenda Item No, 10B July 27. 2010 Page 74 of 138 Most of this Information will be retained in operator /employee permanent hard copy records that are managed by the management staff. Accident files will be maintained within the Safety Department. Requirements for Federal, State and local Reporting For the requirements of Collier County, FTA Triennial review formats and programs are followed based on the FTA Program Outline. NTD reporting will be coordinated with the County administrative staff. Procedures for password use, timing, audit trails and uploading of data will be the responsibility of the General Manager assigned to Collier County and for regional oversight by our support personnel. Florida Commission for the Transportation Disadvantaged Reporting requirements will have the following Information provided and tracked daily, weekly, monthlyand quarterly for uploading annual and required information: • Trips by service type • Ambulatory and Non • Stretcher • Passenger Trips by type . Passenger Trips by funding source • Vehicle Data • Miles • Road Calls • Accidents • Total Vehicles, Operator Hours • Financial information + Expenses' • Revenues • Commendations • Complaints • No Show and Unmet trip requests • Cost of trips • Accidents Miles between Road Calls • Performance Measurements • Cost of Driver Hour Average Trips per Driver Hour • Cost per mile of service Average Trips per Paratransit Passenger All information will be coordinated, and uploaded with the approval of the Collier County administrative staff as directed. DBE participation Collier County Goal — 6% Tectrans is always looking for and Interfacing with subcontract providers of services for public transit management locations,; Whether the service is cleaning supplies, printing needs, supplemental uniforms, accessories for uniforms such as name badges, tags, name plates, office supplies, or towing vendors, we will strive to achieve the county goal and will review the state registration website and even assist local businesses to In the registration process with the State of florida designated representative. PERSONNEL Proposed Staffing Structure After careful analysis of the RFP materials and the needs of Collier County for both Its CAT and CAP operations, we have developed the following staffing which will ensure that these services will "EXCEED expectations." sTATE cw nomDA PM WIEW of TRAW WATM BID OPPORTUNITY LIST FOR PROFESSIONAL CONSULTANT SERVICES, AND COMMODITIES & CONTRACTUAL SERVICES Prime Contractor /Prime C AddreswPhone Number.' Agenda Item No. 10B July 27, 2010 Page 75 of 138 arswosa PAOCUI1f "W Procurement Number /Advertisement Number. RFP #10 -5455 49 CFR Part 26.11 The Net is intended to be a listing of all firms that are participating, or attempting to participate, on DOT- assisted contracts. The list must Include all firms that bid on prime contracts, or hid or quote subcontracts and supplies materials on DO %assisted projects, including both DBEs and non -DBEs. For consulting companies this list must, include all subconsultants contacting you and expressing an interest In teaming with you on a specific DOT - assisted project Prima contractors and consultants must provide information for Numbers 1, 2,3 and 4, and should provide arty mm fom8on they have available on Numbers 5, 6, 7, and B for themselves,; and their subcontractors and subconsultants. None, Not Applicable. 1. Federal Tax ID Number: 6. ❑ DBE 8. Annual Gross Receipts 2. Firm Name: ❑ Non -DBE []Less than $1 million 3. Phone: ❑ Between $1 - $5 million 4. Address: ❑ Between $5- $10'million 7. ❑ Subcontractor ❑ Between $10 - $15 million ❑ Subconsultant ❑ More than $15 million 5. Year Firm Established: 1. Federal Tax 10 Number. 6. ❑ DBE S. Annual Grass Receipts 2. Firm Name: ❑ Non -DBE ❑ Less than $1 million 3. Phone: []Between $1 - $5 million 4. Address; ❑ Between 35 - $10 million 7. ❑ Subcontractor ❑ Sehveen$10- $115 million ❑ Subconsultant : ❑ More than $15 million 5. Year Finn Established: 1. Federal Tax ID Number. 6. ❑ DBE 8. Annual Gross Receipts 2. Finn Name! Non -DBE ❑ Less than $1 million 3. phone: Between $1 - $5 million 4. Address: H Between $5 - $10 million 7. ❑ Subcontractor 0.8etween:$10 - ;15 million ❑ Suboonsultant ❑ More than $16 million 5. Year Firm Established: 1. Federal Tax ID Number: 6. ❑ DBE S. Annual Gross Receipts 2. Firm Name: ❑ Non -DBE ❑ Less than $1 million 3. Phone: ❑ Between $1 - $5 million 4. Address: U Between $5 - $10 million 7. ❑ Subcontractor Between $10 - $15 million ❑ Subconsultant ❑ More than $15 million 5, Year Firm Established: AS APPLICABLE, PLEASE SUBMIT THIS FORM VATH YOUR: BID SHEET (Invitation to Bid - ITS) LETTERS OF RESPONSE (LOR) PRICE PROPOSAL (Request for proposal - RFP) - REPLY (invitation to Negotiate - ITN) Agenda Item No. 1( July 21, 2U10 5T age OI 16 McDonald Transit DBE Response Agenda Item No. 106 July 27, 2010 Page 77 of 138 STATE OF PLO@M. OEPAefMEM OF VAGPORTATION weapq BID OPPORTUNITY LIST FOR PROFESSIONAL CONSULTANT SERVICES, AND COMMODITIES & CONTRACTUAL SERVICES ae' Prime ContradodPrime Consultant: McDonald Transit Associates, Inc.: Address/PhoneNumber. 3800 Sandshell Drive, Suite 175, Fort Worth, Texas 76137 (817) 232 -9551 Procurement Number /Advertisement Number. APP 10 -5455 49 CFR Part 26-11 The list is intended to be a listing of all fines that are participating, or attempting to participate, on DOT - assisted contracts. The list must include all firms that bid on prime contracts, or bid or quoto subcontracts and supPSes materials on DOT- assisted projects, Including both DBEs and non -DBEs. For consulting companies this list must include an subconsullants contacting you and expressing an Interest in teaming with you on a specific DOT- assisted Pro1ecL Prime contractors and consultants must provide information for Numbers 1, 2, 3 and d, and should provide any infommation they have available on Numbers 5, 6, 7, and 8 for themselves, and their subcontractors and subconsuhants. t. Federal Tax ID Number: 75- 1626932 - 6. ❑ DBE 8. 2. Pho Name: McDonal ransi asoc�a ea, Inc. 3. Phone: 81 - - Annual Gross Receipts ® Non -DBE Less then $1 million 4 Address: '. an s e rive; ux e Fort W-112., exas Between $1 - $5 million �130hvw$5410rnllllon 7. ❑ Subcontractor ❑ Between $10 -$15 minion ❑ Subconsultant ® More than $15 million 5. Year Firm Established, 1. Federal Tax ID Number. 65- 0601413 [j t)gE e, Annual Gross Receipts 2. Finn Name: Caring* Hearts Prescribed Pedi Care [N Non -DBE ❑ Less 3. Phone: (239) 4ti3-040 than $1 m8gon 4' t n venue or Na Ies, Flonda 341u2 Between $1- 35m81ion ❑ Between $5 - $10 million 7. ® Subcontractor ❑ Between $1D - $15 million 0 Subconsultant ❑ More Man $15 million 5: Year Ftm Established: 1. Federal Tax ID Number. 37- 1548D03 6 2. Firm Name: Fierce Tranapor a ion ' ❑ DBE 8. Annual Gross Receipt s 4H 3. Phone ®Non DBE ❑Less than $1 million 4. Address: )unbar venue Fort Meyers, on a ❑ Between $1- $6 million ❑ Between $5 - $10 million 7. [H Subcontractor ❑ Between $10 - $15 Million ❑ Subconsultant ❑ More than $15 million S. Year Finn Established 1. FederalTaxlDNumyer; 41- 2176229 2. Fire Name: New Pell nc. 6. ❑ DBE 8. Annual Gross Receipts 3. Phone: (23 - ® Non -DBE E& Less than $1 million 4. Address: o in UUU Circie ❑ Between $1 - $5 million Unit 102 El Between $5 - $10 million Naples, Flortitla 34T04 7, Subcontractor E) Between $10 - $15 million Subconsultani ❑ More than $15 million 5, Yearfirrn Established: AS APPLICABLE, PLEASE SUBMIT THIS FORM WITH YOUR: BID SHEET (Invitation to Bid - ITB) LETTERS OF RESPONSE {LOR) PRICE PROPOSAL (Request for Proposal - RFP) REPLY (Invitation to Negotiate - ITN) Agenda Item No. 10B July 27, 2010 Page 78 of 138 -' STATE OF FWRMA OEFMTMfiNT OF TRAKMRTAT0i, BID OPPORTUNITY LiST FOR PROFESSIONAL CONSULTANT SERVICES, AND COMMODITIES & CONTRACTUAL SERVICES Prime Contractor /PrimeConsultant: McDonald Transit Associates, Inc, AddresslPhoneNumber. 3800 Sandshell Drive, Suite 175, Fort Worth, Texas 76137 (817) 232 -955 Procurement Number /Advertisement Number: RFP 10 -5455 !1 CFR Part 26 11 The list is intended to be a listing of all firms that are participating, or attempting to padicipate, on DOT- assisted contracts. The list must include all Toms that bid on prime contracts, or bid or quote subcontracts and supplies materials on DOT - assisted projects, including both DBEs and non-DBEs. For consulting companies this list must Include all subconsullants contacting you and expressing an interest in teeming with you an a sperufc DOT.assisted Project. Prime contractors and consultants must provide information for Numbers 1, 2, 3 and 4, and should provide arty . information they have available on Numbers 6, S. 7, and B for themselves, and their subcontractors and subconsunants; f. Federal Tare 10 N mbar, 26- 1626984 �r 6; 0 DBE 7. Finn Nam SNL 'Trans r B. Annual Gross Receipts 3. Phone: �2 - P9 Non -DBE " ® Less than $1 million 4. Address: 2 rasigge rove rat D Between $1- $5 minion Neplesl, ort a 11I0 7 [] Between $5 - $10 million ® Subcontractor E7 Between $10 - $15 million ❑ Subconsultent ❑ More than $15 minion 5. Year Finn Established: 1. Federal Tax 10 Number: 59- 3731921 2. Firth Name: TLC -Non m r city s 3. Phone: ( - 4, Address: Naples, o 5. Year Firm EstsbBshed: 1. federal Tax ID Number: 057 -78 -4096 2. Firm Name Liberty ransp 3. in...e: 4. Address: Naples,, or1 a 5. Year FirmEsteblishsdi I. Federal Tax 10 Number: 2 Finn Name; 3. Phone: 4. Address: 5. Year Firm Established: 6. ❑ DBE ® Non -DBE 7. ® Subcontractor ❑ Subconsultant S. Annual Gross Receipts ❑ Less than $1 million ® Between $i - $5 minion ❑ Between $5 - $10 minion ❑ Between $10 - s15 million ❑ More than $16 nintion' 6. ❑ DBE [ Non -DBE B. Annual Gross Receipts ❑ Less than $1 million ❑ Between $1 - $5 minion 7. i3Subcontractor ❑ Between $6 - $10 million El Between $10- $15Million ❑ Subconsuitant ❑ More than $15 million 6. ❑ DBE ❑ Nan -DBE 8. Annual Gross Receipts E❑ Less than $1 million ❑ Between $1 - $5 million 7. ❑Subcontractor ❑ Between $5 - $10 million ED Between $10 - $15 million ❑ Subconsunant ❑ More than $15 million AS APPLICABLE, PLEASE SUBMIT THiS FORM WITH YOUR: BID SHEET (Invitation to Bid - (TB) LETTERS OF RESPONSE (LOR) PRICE PROPOSAL (Request for proposal - RFP)` REPLY (Invitation to Negotiate - ITN) Agenda Item No. 10B July 27, 2010 Page 79 of 138 Agenda Item No. 106 July 27, 2010 Page 80 of 138 Disadvantaged Business Enterprise We will count Disadvantaged Business Enterprise (DBE) participation toward overall and contract goals as provided in 49 CFR 26.55, CERTIFICATION STANDARDS Certification Procedure McDonald Transit Associates, Inc. will use the certification standards of Subpart D of Part 26 and the certification procedures of Subpart E of Part 26 to determine the eligibility of firms to participate as DBEs in DOT - assisted contracts. To be certified as a DBE, a firm must meet all certification eligibility standards. We will make our certification decisions based on the facts as a whole; SUBPART D The firm seeking certification has the burden of demonstrating, by a preponderance of the evidence, that it meets the requirement concerning group membership or individual disadvantaged, business size, ownership, and control. McDonald Transit Associates, Inc, must rebuttably presume that members of the designated groups are socially and economically disadvantaged. Individuals who are not presumed to be socially and economically disadvantaged, and individuals concerning whom the presumption of disadvantaged has been rebutted, have the burden of proving to you, by a preponderance of the evidence, that they arc socially and economically disadvantaged: McDonald Transit Associates, Inc. will determine whether an individual and firms have met their burden of demonstrating group membership, ownership, control, and social and economic disadvantaged by considering all the facts in the record, viewed as a whole. SUBPART E Certification Procedures In certification procedures, McDonald Transit Associates, Inc. must ensure that only firms certified as eligible DBEs under this section participate as DBEs in our program: I E' ' Agenda Item No. 10B July 27, 2010 Page 81 of 138 hgibtllty of nTMS as DBEs must be consistent with the standards in Subpart D. 1) Perform on -site visit to the offices of the firm, interview the principal's officers of the firm and review their resumes and/or work histories. 2) If the firm is a corporation, analyze the ownership of stock in the firm. 3) Analyze the bonding and financial capacity of the firm. 4) Determine the work history of the firm, including contracts it has received and work is competed. 5) Obtain a statement from the firm of the type of work it prefers to perform as part of the DBE programs and its preferred locations for performing the work, if any. 6) Obtain or compile a list of the equipment owned by an available firm and the licenses the firm and its key personnel possess to perform the work it seeks to do as a part of the DBE program. 7) Require potential DBEs to complete and submit a Schedule A- Personal Net Worth Form. Process Our certification application form and documentation requirements are found in Appendix B to this program. In the event we propose to remove a DBE =s certification, we will follow procedures consistent with 26.87. McDonald Transit Associates, Inc. may remove a DBE -s eligibility utilizing the following procedures: a) Ineligibility complaint -; any person may file with McDonald Transit Associates, Inc. a written complaint alleging that currently certified firm is ineligible and specifying the alleged reasons why the firm is ineligible. Supporting documentation must be included in complaint. McDonald Transit Associates, Inc. must review their records concerning the firm, the complainant, and other available information. b) Recipient - initiated proceedings - If, based on notification by the firm of a change in its circumstances or other information that comes to McDonald Transit Associates, Inc. s attention. McDonald Transit Associates, Inc. may determine that there is seasonable cause to believe that a currently certified firm is ineligible, McDonald Transit Associates, Inc. must provide written notice to the firm that they propose to find the firm ineligible, setting forth the reasons for the proposed determination. C) DOT directive to initiate proceeding - If the concerned operating administration determines that information in their certification records, or information available to the concerned operating administration, provides reasonable cause to believe that a firm McDonald Transit Associates, Inc. certified does not meet the eligibility criteria of this part, the concerned operating administration may direct 2 Agenda Item No. 10B July 27, 2010 Page 82 of 138 McDonald Transit Associates, Inc. to initiate a proceeding to remove the firm =s certification. d) Hearingrr When McDonald Transit Associates, Inc. notifies a firm that there is reasonable cause to remove its eligibility gives the firm an opportunity for an informal hearing, at which the fum may respond to the reasons for the proposal to revoke its eligibility in person and provide information and arguments concerning why it should remain certified. e) Separation of function - McDonald Transit Associates, Inc. must ensure that the decision in a proceeding to remove a firm =s eligibility is made by an office and personnel that did not take part in actions leading to or seeking to implement the proposal to remove the firms eligibility and are not subject, with respect to the matter, to direction from the office or personnel who did not take part in these actions:" f) Ground for decision - McDonald Transit Associates, Inc. must not base a decision to remove eligibility on a reinterpretation or changed opinion of information available to the recipient at that time of certification of the firm. If we deny a firm =s application or decertify it, it may not reapply until 12 months have passed fiom -our action. Certification Appeals If recipient is denied certification or is removed from eligibility, the recipient may make an appeal to McDonald Transit Associates, Inc. Send appeals to the following address: Name: Title: General Manager Address: We will promptly implement any DOT certification appeal decisions affecting the eligibility of DBEs for our DOT assisted contracting (e.g., certify a firm if DOT has determined that our denial of its application was erroneous.) ARecertifrcation@ We will review the eligibility of DBEs that we have certified under former part 23, to make sure that they meet the standards of Subpart D of Part 26. We will complete this review no later than one (1) year from the most recent certification date of each firm: 3 Agenda Item No. 10B July 27, 2010 Page 83 of 138 ANo Change® Affidavits and Notices of Change We require all DBEs to inform us, in a written affidavit, of any change in their circumstances affecting their ability to meet size, disadvantaged status, ownership or control criteria of 49 CFR Part 26 or of any material changes in the information provided with a DBEs application for certification. We also require all owners of all DBEs we have certified to submit, on the anniversary date of their certification, a Ano change@ affidavit meeting the requirements of 26.836). The text of this affidavit is the following: I swear (or affirm) that there have been no changes in the circumstances of (name of DBE firm) affecting our ability to meet the size, disadvantaged status, ownership, or control requirements of 49 CFR Part 26. There have been no material changes in the information provided with (name of DBE =s) application for certification, except for any changes about which you have provided written notice to McDonald Transit Associates, Inc. under 26.936). (Name of firm) meets Small Business Administration (SBA) criteria for being a small business concern and its average annual gross receipts (as defined by SBA rules) over the firm =s previous three fiscal years to not exceed $16.6 million. We require DBEs to submit with this affidavit documentation of the fitm =s size and gross' receipts. We will notify all currently certified DBE firms of obligations by mail no later than . This notification will inform DBEs that to submit the Ano change@ affidavit, thew owners trust swear or affirm that they meet all regulatory requirements of Part 26 including personal net worth. Likewise, if a firms= owner knows or should know that he or she, or the firms, fails to meet a Part 26 eligibility requirements (e.g., personal net worth). the obligation to submit a;notice of change applies: Confidentiality - We will safeguard from disclosure to third parties information that may reasonably be regarded as confidential business information, consistent with Federal, state, and local law. Notwithstanding any contrary provisions of state or local law, we 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 submitter. 4 Agenda Item No. 10B July 27. 2010 Page 84 of 138 5 Agenda Item No. 10B July 27, 2010 Page 85 of 138 POLICY STATEMENT /OBJECTIVES McDonald Transit Associates has developed a plan to assure that Disadvantaged Business Enterprise firms shall have the maximum practical opportunity to participate through contracts financed in part or in whole with funds derived from the United States Department of Transportation, and as a condition of receiving this assistance, McDonald Transit Associates has signed an assurance that it will comply with 49 CFR Part 26. It is the policy of McDonald Transit Associates to ensure that DBEs, as defined in Part 26, have an equal opportunity to receive and participate in DOT- assisted contracts. It is also our policy: $ To ensure nondiscrimination in the award and administration of DOT assisted contracts; $ To create a level playing field on which DBEs can compete fairly for DOT assisted contracts; $' To ensure that the DBE Program is narrowly tailored in accordance with applicable law; $ To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are permitted to participate as DBEs; $ To help remove barriers to the participation of DBEs is DOT assisted contracts; and $ To assist the development of firms that can compete successfully in the market place outside the DBE Program. McDonald Transit Associates, Inc. General Manager has been delegated as the DBE Liaison Officer. In that capacity, the manager is responsible for implementing all aspects of the DBE program. McDonald Transit Associates his disseminated this policy statement to the Board of Directors and all the components of our organization. We have distributed this statement to DBE and non - DBE business communities that perform work for us on DOT- assisted contracts through the local newspaper or direct mail. President, McDonald Transit Associates, Inc. Date: Agenda Item No. 108 July 27, 2010 Page 86 of 138 DEFINITIONS The terns used in this program have the meanings defined in 49 CFR 26.5: Afrnnative Action - Taking specific steps to eliminate discrimination and its effects, to ensure non- discriminatory results and practices in the future, and to involve disadvantaged business enterprise fully in contracts and programs funded by the Department, Applicant - One who submits an application, request, or plan to be approved by a department official or by a primary recipient as a condition to eligibility for Department of Transportation financial assistance; and Aapplicationo means such an application, request, or plan. Compliance - The condition existing when a recipient or contractor has met and implemented the requirements of this part; Contract - A mutually binding legal relationship or any modification thereof obligating the seller to furnish supplies or services, including construction, and the bureau to pay for them. For purposes of this part, a lease is a contract. Contractor - One who participates, through a contract or subcontractor, in any program covered by this part, and includes lessees. Department or DDT- The United States Department of Transportation, includes its operating elements. DOT Assisted Contract - Any contract or modification of a contract between a recipient and a contractor which is paid for in whole or in part with United States DOT financial assistance or any contract or modification of a contract between a recipient and a lessee. DOTFinpncial Assistance Financial aid provided by the United States Department of Transportation or the United States Railroad Association to a recipient, but does not include a direct contract. The financial aid may be provided directly in the form of actual money, or indirectly in the form of guarantees authorized by statute as financial assistance services of Federal personnel, title or other interest in real or personal property transferred for less than fair market value, or any other arrangement through which the recipient benefits financially, including licences for the construction of operation of a deep water port. Department element - means the following part of United States DOT: A. The Office of the Secretary (OST). B. The Federal Aviation Administration (FAA). C. The United States Coast Guard (USCG). D. The Federal Highway Administration (FHWA). 7 Agenda Item No. 10B July 27, 2010 Page 87 of 138 E. The Federal Railroad Administration (FRA): F. The National Highway Traffic Safety Administration (NHTSA). G. The Urban Mass Transportation Administration (FTA). H. The St. Lawrence Seaway Development Corporation (SLSDC). 1. The Research and Special Programs Administration (RSPA). Disadiuntaged Business - A small business concern: A. Which are at least 51 percent owned by one or more socially and economically disadvantaged individuals, or in the case of any publicly owned business, at least 51 percent of the stock of which is owned by one or more socially and economically disadvantaged individuals. B. Whose management and daily business operations are controlled by one or more of the socially and economically disadvantaged individuals who own it. DBEIContract Compliance Coordinator - Shall be responsible for developing, managing, and implementing the DBE program on a day -to -day basis. Joint Vcn1wxj -An association of two (2) or more businesses to carry out a single business enterprise for profit for which purposes they combine their property, capital, efforts, skills, and knowledge. Lessee - A business or person that ]cases, or is negotiating to lease, property from a recipient or the Department on the recipient =s or Department =s facility for the purpose of operating a transportation related activity or for the provision of goods or services to the facility or the public on the facility. Nati�ompftance - The condition existing when a recipient or contractor has failed to implement the requirements of this part. Primary Recipient - A recipient who receives United States DOT financial assistance and passes some or all of this assistance on to another recipient. Program Any undertaking by a recipient to use United States DOT financial assistance, and includes the entire activity any part of that activity which receives United States DOT financial assistance. Recilaieni - Any entity, public or private, to which United States DOT financial assistance is extended, directly or through another recipient for any program. Secretary - The Secretary of Transportation or any person whom he/she has designated to act for him/her. .._ g Agenda Item No. 10B July 27, 2010 Page 88 of 138 Set -aside - A technique, which limits consideration of bids or proposals to those, submitted by DBEs. Socialh, and Econmmcally Disadvantaged Individuals- means those individuals who are citizens of the United States, (or lawfully admitted permanent residents) and who are Black Americans, Hispanic Americans, Native Americans, Asian - Pacific Americans, or Asubcontinental Asian- Americans, AWomen@ and any other minorities or individuals found to be disadvantaged by the Small Business Act McDonald Transit Associates, Inc. shall make a rebuttal preemption that individuals in the following groups are socially and economically disadvantaged. McDonald Transit Associates, Inc, also may determine, on a case -by -case basis, that individuals who are not a member of one of the following groups are socially and economically disadvantaged. a) ABlaek Americans®- Include persons having origins in any of the black racial groups of Africa b) AHispanie Americanse - including persons of Mexican, Puerto Rican Cuban, Central or South American, Portuguese American, or other Spanish culture or origin, regardless of race. C) ANative Americans@ - Include persons who are American Indians, Eskimos, Aleuts, or Native Hawaiians. d) AAsian- Pacific Americans* - Includes persons whose origins are Japan, China, Taiwan, Korea, Vietnam, Laos, Cambodia, the Phillippines, Samoa, Guam, the US Trust Territories of the Pacific, and the Northern Mariana, Thailand, Malaysia, Indonesia, Brunei, Bunna, Macao, Fiji, Tonga, Kiribati, Tuvalu, Nauru, Federated Sates of Micronesia or Hong Kong e) ASubcontinental Asian Americanse- Include persons whose origins are from Indian, Pakistan, and Bangladesh, Bhutan, Maldives Islands, Nepal or Sri Lanka f) AWomen® g) Any additional groups whose members are designated as socially and economically disadvantaged by SBA. NONDISCRIMINATION McDonald Transit Associates, Inc., will never exclude any persons from participation in, deny any person the benefits of, or otherwise discriminate against anyone in connection with the award and performance of any contract covered by 49 CFR Part 26 on the basis of race, color, sex, or national origin. In administrating its DBE program, McDonald Transit Associates, Inc., will 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 the DBE program with respect to individuals or a particular race, color, sex, or national origin. 9 Agenda Item No. 10B July 27, 2010' Page 89 of 138 QUOTAS We do not use quotas in any way in the administration of this DBE program. www.sunbiz.org - Department of State EXHIBIT "H„ Pallge of b Agenda 11e7h �0. 1 B July 27, 2010 Paqe 90 of 138 Home Contact Us E- Filing Services Document Searches Forms Help Previous List Next List Fictitious Name Search Submit Fictitious Name List Fictitious Name Address City State County Status TEC SECURITY 254 S WESTMORELAND ST L -12 STARKE FL BRADFORD E T.E.C. SERVICES 2511 WOODHAVEN CT ORLANDO FL ORANGE A TEC SERVICE AND SUPPLY POMPANO CQMPANY P O BOX 50013 BEACH FL BROWARD A TECS LANDSCAPE DIVISION 501 SW 21ST. ROAD MIAMI FL MULTIPLE E TECSMARTS 3090 42ND ST SW NAPLES FL COLLIER A TECSON ENTERPRISES 4409 HOFFNER AVENUE # 333 ORLANDO FL ORANGE E TEC -SPEC 5901 NORTH OCEAN DRIVE HOLLYWOOD FL BROWARD A TEC SYSTEMS 9400 N.W. 25TH STREET MIAMI FL MIAMI -DADE E TECTA AMERICA JACKSONVILLE 588 MONROE RD. SANFORD FL SEMINOLE A TECTAO DESIGNS 825 SO VILLAGE DR. N SAINT FL PINELLAS E PETERSBURG TECTAR WHOLESALE COMPUTER, PARTS MAPU 15239 UNIVERSITY STATION GAINESVILLE FL MULTIPLE E TECTON_HOSPITALITY 1101 BRICKELL AVENUE MIAMI FL MULTIPLE A TECTON HOSPITALITY 300 BIXCAYNE BLVD. WAY SUTIE INC. 1100 MIAMI FL MIAMI -DADE E TECTONIC FORCE 18501 PINES BLVD, SUITE 201 PEMBROKE FL MULTIPLE A PINES TECTONIC HOMES 381 FERNANDINA ST. NW PALM BAY FL BREVARD C TECTONIC HOMES 381 FERNANDINA STREET NW PALM BAY FL BREVARD E TECTONIC_MAGN_ ETS 950 CONGRESS AVE RIVIERA BCH FL PALM BEACH E TECTONIC_USA 1920 S OCEAN DR FT LAUDERDALE FL BROWARD E TECTAR HANDYMAN INC. 32325 OAK BLUFF DR. SORRENTO FL LAKE A T.E.C. TOTAL HEALTH 3760 FALLSCREST CIRCLE CLERMONT FL LAKE A Previous List NextList Fictitious Name Search Submit I Home I Contact us I Document Searches I E- Filing Services I Forms I Help I Copyright and Privacy Policies Copyright © 2007 State of Florida, Department of State. http: / /Www.sunbiz.org/ scripts /ficregi.exe? action= REGPRE &docnum= GI0000017694 5/26/2010 www.sunbiz.org - Department of State AgendaP, WAX, IB July 27, 2010 Page 91 of 138 Home Contact Us E- Flling Services Document Searches Forms Help Previous List Next List Fictitious Name Search Su4mit;i Fictitious Name List Fictitious Name Address City State County Status TECTRON ELECTRIC, INC 14908 BARTRAM VILLAGE LN JACKSONVILLE FL DUVAL Aar ' TECTRON MACHINE CORPORATION CORPO RATION 2111 WHITFIELD PK AVE SARASOTA FL MANATEE A TECTRON TAXES 2111 WHITFIELD PARK AVE SARASOTA FL MANATEE E N TELESCOPES "AMATEUR ASTRONOMY" -AMk 5450 NW 52ND COURT CHIEFLAND FL LEVY E TECTUM PROPERTY 15800 PINES BLVD. PEMBROKE FL BROWARD A MANAGEMENT PINES TECTUM_REAL ESTATE 15800 PINES BLVD. PEMBROKE FL BROWARD A PINES TEDUMSEH DESIGNS 3255 NW 44TH STREET #2 FORT FL BROWARD A LAUDERDALE TEC.UNLIMITED 10030 SW 49TH STREET COOPER CITY FL BROWARD E TI SORS 13193 SW 142ND STREET MIAMI FL MULTIPLE E TEC;WORKING INTERBAY BLVD #815 TAMPA FL HILLSBOROUGH A TESEWMBLIES ORKS ELECTRONIC ASSE 6713 ASHBURN ROAD LAKE WORTH FL PALM BEACH A TED P.O. BOX 10609 JACKSONVILLE FL MULTIPLE E TE.. DAILEY & CO. 18306 S.E. VILLAGE CIRCLE TEQUESTA FL MARTIN E TEDAN SECURITY 230 LORAINE DR # 109 ALTAMONTE FL SEMINOLE A SPRINGS TED A PETOSKEY DBA SUNDOWN CAR STEREO. 2600 US HIGHWAY 1 S ST AUGUSTINE FL ST. JOHNS A TED AUTO.TR4NSPORT 11763.SOUTH.RAMBLING.DR WELLINGTON FL PALM BEACH E TEDAY'S INFORMATION PROFESSIONALS 10213 WILLIAMS RD. TAMPA FL HILLSBOROUGH C TED BAKER 1250 E. HALLANDALE BEACH BLVD. HALLANDALE FL MIAMI -DADE A BEACH TED, BEAL PHOTOGRAPHY 74 COQUINA AVE ST AUGUSTINE FL ST. JOHNS E TED _ &__BOB'S _ALUMINUM INC. 1011 S NOVA RD ORMOND BEACH FL VOLUSIA A Previous, List Next List Fictitious Name Search Submit -- I Home I Contact us I Document Searches I E- Filing Services I Forms I Help I Copyright and Privacy Policies Copyright © 2007 State of Florida, Department of State. 'Ittp: / /www.sunbiz.org/ scripts /ficregl.exe? action = REGNXT&docnwn= 605318900113 5/26/2010 EXHIBIT "I" Agenda Item No, 10B July 27, 2010 3. FINANCIAL CAPACITY & COST OF SERVICE Tectrans, Inc. is a financially sound, well managed and fiscally conservative company. Tectrans has positioned itself for future growth and sustained profitability by assembling an industry leading management team and joining with well respected equity and senior lender partners capable of providing all needed capital funding, even in today's challenging economic environment. Tectrans maintains separate financial statements, along with various accounting reports and ledgers, for each of the Company's operating divisions. These Tectrans operating divisions are separate legal entities and have elected to file consolidated federal and state tax returns under the parent corporation, Tectrans. Accordingly, the year -end audit engagement and related auditor's report is prepared on a consolidated basis and includes the results of operations for all subsidiaries. Management's dedication to our Company vision of being the quality standard for contracted passenger transportation services will allow us to continue to offer best -in -class solutions for our customers. The financial strength of the Company is demonstrated by a working capital ratio of 1.4 to 1.0 as of our last fiscal audit date, which is considered excellent compared to passenger transportation industry averages. 3A. Audited Balance Sheets Copies of the certified audited financial statements for Tectrans' fiscal years 2007 through 2009 are included for review in a separately sealed envelope submitted with this proposal. 3B. Audited Consolidated Balance Sheets Please see the separately sealed envelope labeled: "Financial Statements." 3C. Audited Income and Stockholders' Equity Statements Please see the separately sealed envelope labeled: "Financial Statements." 3D. Audited Consolidated Income and Stockholders' Eouity Statements Please see the separately sealed envelope labeled: "Financial Statements." 3E. Bankruptcy Tectrans and its subsidiaries are financially sound and have never filed for bankruptcy nor have any of its principals. 3F. Cost Proposals for Both the Fixed Route and Paratransit Programs Tectrans' detailed Cost Proposal Forms (Exhibits F and G) can be found immediately following these pages. Our pricing for all areas of the service was developed from the ground up, and all costs shown were developed or calculated specifically to meet the requirements of this contract, based on our understanding of information presented at the pre - proposal meeting, in the Requests for Proposals and Addenda, the Management Services Contract, and the information provided as attachments. In addition, Tectrans staff spent several days in Collier p. 53 I�Y:tllt�illii Case 09 -36144 Document 1 Fled in TXSB on 06125109 Page 1 of 3 a t me..a e..� osnovn Agenda Item No. 10B July 27, 2010 Page 93 of 138 Udled soc en Bnbnet it Court Sollthem District of Texas velsa q PeOMor '. . Ne11F.01 itl I, eta Loo, Firs MkldYy: Name IkNee(8pws)(faetF4gM'ddleX All omaNels =I7 ms uawinaewusy All OdurNaen by Debier In to ISO a yeery Onehde e.nI kmdlant.rdbobwoe)' rrddde neded, Moldu.en4 redaaaMi); Moot McElhose or Texpgal.D.(MM) N92bMpete Fat orlMVidul ToapyerlL, 01Di)NO.,CompWeBIH 9108 (Nmaelheuw,eb10 apk SeaaAddlw KDaaer uO SreeL Cby, tiro SWe): Suet AdAee XhIN MblorDdo.ed Eked, Cky,00debL): 7303 Fanner lane Hurnhle, TX FCODE -CO-M-= Ce�NrrMin sadh himlpel PIM K& rim: HWDS^ Cbmydtaknevea dire hfnMW FMa KSuYttm AddrodAX CODE Moiling Add" dlabuVebWCrdiRereB egnerwaddtetz CVDB tretiseKleioaipd ASmKMreee DeLor(ddiSamt kcan red addnessbme): IPCODe OtypeerDehow NaMn dBelem CYpb orbukegrey Code UnAwY M (Pa efowbwo) (Chink own has.) ffiePNdeah PlY/(Cbe4eeelm) (Chocko ebeta Hole Cud (i3 Cbpuw9 ❑ Reltrs 8 Red edermedN Recoo onotaondon ❑ Reooproceding pi ee EdAab onpSobRDeb10td) Sonmatio II USAed is) IIU.B.C.0101(5l6) chapter Ckepter I Mon pmoxdmy (ontudw LLC and ❑ Cahoon**(bslrru LLC and LLF) ❑ iLibad Chapter it ❑ lme1&Mn[m ❑ Pamrdklp ❑ stedtbrdYd Chapter ii Recogn homeFasipn ❑ oackthkbo aY eelw drofen Broker ❑H Normi NoMmbe ihawdYg deck ddtlnaed rue ypedmdry bdeona ft dww.). Cleainf ere* Owing NedondDeMt L.1 Oda U . (Cheekenbm) Tl,bmmp EUtly (Chak loo. i(apphcabla) Oebbdso primacy romuma ❑ Ddbu awdebM iy dnYd, ddmd b l l U.S.C. kudnmdebu. ❑ Dd" ¢dividac oonundgan rulcu•exmtpotlpdshulon eMor Tide2rdie lAdrd fain iedividd pdmaily Mo one (ft rnbeelll Reerone Code} ps>n0�liueiy, efkadY IoM W6ag Se(Chroiaonbox.) Raptor II Debbn Cheek one best Gr FtrlFftfoconsched. ❑ Debmt Yaameilbdnm debtorshailed*11 V8.Cilp1(JID} ❑ Fdig Paobbopatd YfilsWlmem (eppluae mindirldwltoNy} himallsr ❑ Debwbntole earl!brbrm debbr edervond 10ll UA.C.S 101(51D} al/ri "pBalhn portion to o's mmrdealion eedibba Oxd ine debtor L euikbpq MtaapMlnudltmng, ROId IOM(b). Su081dd FomllA. CfiaY U: ❑ DdMr'teSpe/ue nommoegent liquiNbd debt (eondumegdobu otrod10 ❑ FdhgFwwoiwegmded (tppliabiebchepbr7kdigdubmly} Mutt lridanaoeBiOO)wbeflmn Tt,190,000. ouch dyod Voicelim row on eeo.t't consideration. Bee Oftial Form 30. ............................. Check all app8eble beset ❑ A pion is being ObdwMtbbpe*[=L ❑ Amep10.wer eptmi 3L6Ronwerneen eba or coodibors, In wemtduce, "h 11 UXC. 4 rl: SNWeerVAdddbtrai" l310rnollov TMWACZMMR tztwy ass9dnr ❑ Debbie mtierley Ow Mrs will besvelldNe fa dism'hmien m unsecured ever! too. Ut boar narrow dot, show any camp propaW Y wtded nd odmidnmive eopeue prlq owe will be n Aubrru'Ioblefor 4her?"IM lo wwwAvdaedikee. cwx I'm N.mbror Cnditws ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ 14 Over Id9 SOAP 100 -19F kOD -999 1A00• S,0p1- 10,001• Won IwA 5,000 10,000 25000 50,000 100,000 IOOp00 Fl lm 2 5 ZW v lo`p 7 'AUG o ❑ ❑ ❑ 13 ❑ 13 13 Soto WWI to 11100,00110 SSaM s1,000100I S10,O00p01 s5apapn slovalr001 $500MOD1 Mae Dun .50,000 Simon ssm,000 Well WsIO Win mFloo WSW WSlbrllim $16.4. Ch* w111e Million million minion Malian Molim Mialan --- -- EOimood C ❑ ❑ Gr ❑ ❑ ❑ ❑ ❑ ❑ ❑ fob Origin w S100.001 he SSDOA01 SIp0Q001 510,000001 S00,omool SIa,000,Op1 OWAM.001 Meeeon 1150.000 1100,090 SMOW lost to $10 to S" 16$100 on SSW to Sthillim Sl bali n mrllim million milli.* mllioo Million Case 09 -36144 Document 1 Filed in TXSB on 08/25/09 Page 2 of 3 at (O&W Pee tl (I= Agenda I,em No, 10B July 27, 2010 Page 94 of 138 w• YgralegFalls aeer%I wet eIh• FmnOC lf>t Mtt�JWSO AM filer lees Comes Flld sYNab irm aYres dice aMdeedlitbal dreg. tY1ea Pled: WA Do Fikk ZemaPb4 CsNrsehv Dr FDak P lss Cue Revd o ParausrAl®bestWk DrbMr Vvve tlureare.amtlraddhbal Brad. 1We Aeaar. WA tae Dee Southern District of Tacos awe I Aides: GIAM1A 4HYt■ Vdrbm 4an bdieldal fro be cm*cftd V 66W b "Weed m lik peeiodie wpmle (ag.. farm 1K ad wbow d"n pdeudb eaeamer debt) ~ F?wlmnp Comnt+aina pursuat W Sative 13 a iSIdJ ordwasmlde ddre.gs Ae1af 193laM b,apeaeing rtiisfurda d�fnr ll.) sesnnYW ta'wn,bspow Wan h0e hew petkimltonaomedNel nyteend depethlmnied (6e manpeosedcede eYpa T. iI, r 13 of M a 17 M ads 11, Llreibd 8av Co* Co end ia� asplaltd do relief mgrbla udersie sshcMpter. I tkgv eardfpilell Fast drlhvd b dr deb rft�x0�ftWp�d�rN b II DE.C. g Y'*6 ❑ DdeM1bAbar]wi andusdea pan aflhispdhim. /yy It i M Aftemy her s Rshlbhc Dwdedsbaaeeehere peeeeeeiea ofeq propmYlM peserwholkipudlepwad ad dbwriamtad., _.feNa hula, mpawobulameaw ❑ Yeyemt EaNbhCbredmdedmb&apmorl F: Utba Qj Na Exhibit D (To be ounnpieted by every individual debtor. If l john petition is filed, each spaame lnneit complete and anacb a wpow e Exhibit M) 0 EtddWl D completed and signed by the debtor is dlached sed made a part of this petition. If ibis is &joint poddon: O Exhibit D also completed and signed by the john debtor is a teched net made a part of this petition. lehrows" Regarding the Debtor• Vast (Chak etry appliabe ban.) Tebmlee vime he Ns D'ne(W f :INdaSS hoeediYdY doserkMd Moral purpm f" llood"osbwowe"ei Direwb peeelbglhe des aflNS peddeem fora laeeger pen of suet IsOdrp Ihn b neyedaDisMG q Tlwrtbabardergdry ew ewnmmingdebdsaH: elq{ erivdleulrC ,apeberdq pedbgin NYDleeiet. ❑ Rbahadekv lne WmiseepmaeoaregaM hm le prlaitel piwe of bulnasaprhelpd .sets in dw Vnaed Sete in gib Muicl,m hm apder3pl plea ofbmies anevee be eve Unitd Sao bnt b • kltdeW W aselisn mpoceedl &g lb • fidrrW msme aa11 b Ihb Dletriei, m the inteub ofdw psetisr ePl Oeannrd larepd u the edbfesuglebdis D'ieri0. Cwdltutiw by • Drira. mete Tee arau16ee1N Prapera (Ch.& & eplia hi s been) q twlmd has sJudgmengaia deeiehlx fw poeamisa ofdebm 'smidann. nfbu etedmd.eandWe a.fdWwbrg.) (Nano of ladimd eta ahmNd juditswd) (A., orlwdlard) ❑ Deb. daioethel uadaappiiahlo nvtbenkeupmybW, gaewdweaaeaaaderwHcA lhedebhe aedd be permaedWeaetlr -dim avwery deWWt dot pmtbo b dw judprwu rm/weseWR Mertlwjr�dprae pml�en wv eMceey ed ❑ Deana hat bwhdd vla this pslirion Wedepoet wnh in even arap we" waWd beam ass dufmg do 3Ddry pow ensrow Dgegordmpwtbn. ❑ De6oranira lbW leAM bee seed ast..dlad with ltmavdnmkn.pl vs.c.)3d7(Ij) Agenda Item No. 10B July 27, 2010 Page 95 of 138 Case 09 -36144 Document 1 Filed 1n TXSB on 08/25/09 Page 3 of 3 R f 71100 g y NO=o0 .wtV WcElhoss mm ft-k"p)eflkbtm(a)(1edMdn0410) moat" doxwelpRapawnamfka I aeehn wlr phu14 efKt1�'I� the 4drnmliw ROridedMUr6 pd0ian kvue Idxbea under pmdbr of pn)ny Met the hMrmofnl provided is hhpahhn Is beer od oomq. and oarteu. Ua11 w oo foteir repreaeeUva K■ dabbr h • Mrdpr peurdes (lf pabdaw Is m hdiv" wham debt w prkw0y own— ddu and has N U,dl wadhrimd b /161x4 peUUO,. ehcemto01cmdrd0pwr7l Imaavam 0minrgpnroeI KAW ahphr7 .11.12 � or Id efMk f t, V#dW dab lode, wda cord the rrlMev,&*W u dr each srh ebtpen,debenebprmeed udrehprar7. deer dr pnidan)1 ❑ Icegueetroiidnaramda,ce wlM drepLLr lSKWeII ,UnbrdsaWtbde. tl okahW wWmmtrecdwmquimoyll U.JC134run hem obuhed ad nadlwweim nguited M i 1 UB.C.; 7a2(h), Certified aapin offtd=wmt Y%Wrcdby 11 U.S.0 11515 marched. 11 Us.C; If11,Iwgmgtdiafkmawde=wWryofdw f reguw aw in accordance with the chwr of tide II, unhd seta Con. µreusab ��111m epadMdIh//,+f,/npemiml KM1bwW bt pomdhrakKim3 X SigmeeK0.6cor (slgeWwatPwoip,lkpemwUw) Y SigeWp.rfoipt ne6la VV 9- 3,7.73 (RhbdNe ®afPaalPAepmmolive) mYp'/i Tdeph.F B S /D9 �anmeey) Dift Dun AamlmeKAlwwy 9pelemKNaoalmssayisebYUpapltitldedpRplpr X I docks, delod bl UA pm* of 1 P(j1yP 4111 isdmemeeL y hrt�Yw. S MM KAOrmy for Dcbm(a) &A notice, and Wcerwaft, md dw�UXQ #I 10bl IM), ord sued d, (3) V ruin or Rimed WentKAtteemey for WNr(d pdddhwc hre how prwmdpledponunt to 11 U.S.C; 11OW adting amnimao Fen tour to AwaeRate dmpwbla by beWoq,tcy pedtim pnp ucm, l bars given No debcn papa KM VMINAn eased berm prepedog wW dwarow per Afttr R hCmr r moptiogay Tm Omer dr delrer, eorequieed n Wl mdion Of&nl Ferro ip b Addre atnehed Tdepim Number FbedNam erg thlq Uwy, o[mrmupLLyMidouRgrry Debt Soli 44MAIV ruabr(lfrm bumWaY PdW= prepcn• it as m hdP", cha coo nwhich 1707(bX4XD) opplha. tbheiOWee dun wotiob a agile an focitl9awrify ebd,ar aflhe ames, pdaogd, mpwuibk psew or pumvK The hubuplcy pabi.. prepver.)("red by l l U.S.C. p 110.) eadlichum"611, away iro wtogwidge o0eren bquuy d,d tlr MgrrA[on loft Lha Ylamnaab Ad&= ® Pew +Kl /ebhr(CerpseetkwTermenblPl X I dedw uderpmdq ofpeduq del the Khrmedm prodded In Mb VW*m hire, ad om and cat 1 hnw, bao em6rbd m 116 this pddan m bdwV of 0. MAW. The debiraagrrabr 0e rdbin emrdree with Ur a}apmrnf thk I I, Udmd Smo Dale Code.ap UM h0&puiiee. Siprirw Kbm6uiday pditimr preperaraaffm,pNdpel,r- eadlo prearcr X paabawhwa BoeW sawoiq rga6er leper shove. Nmlm edSecld smnly mmhme ordl wow bdhid" who preened mmihd in prepuirrd 1m dowmm Wass Me bwkrvpbry gedcien prepov h not m SiMrhwKAssh rbed Individual hirdNemeedAUha6adledNldal bdividud. TiOeofAUhr¢ed Individual Vn thwneepecanpupmadddador mrmL.mchaddlssal dedemo6rnng boa apprgrbdea1fio61 from der each pow PM d bPC6oprypemhop*rerlfnFre m ewerbv0h elepcPW bun IfA* 11 wed ds pea]M Ache afAW*v t Pmcwa6m no nw11 bftw er, hgwlwwrr deA !f UdC !!d; ds a= !Sd Agenda Item No. 10B July 27, 2010 Page 96 of 138 Case 09 -36144 Document 18 Filed in TXSB on 11/25/09 Page 1 of 2 Fern Bt8 (Official Form Is)( I ]N7) UNITED STATES BANKRUPTCY COURT Southern District of Texas ate°` ENTERED In Re: Debtor(s) (nernc(s) used by the debtor(,) In the ]eat 8 ) I MS1Z009 years including married, maiden, trade, and address); ) 1 Ronald Kay McBlhos¢ 1Ca+e Number 09 -36144 Oka Mack McElhose ) Xu = -9149 1 7303 Former lane 1 HmnbK TX 77338 ) )Chapter. 7 DISCHARGE OF DEBTOR(S) It appearing that the debtor is entitled to a discharge, IT IS ORDERED: The debtor is granted a discharge under section 727 of tide 11, United States Code, (the Bankruptcy Code). Signed and Festered on Docket 11125/09 r.--y ��^ 4 NIAKVIN ISGUR United States Bargauptcy Judge SEE THE BACK OF THIS ORDER FOR IMPORTANT INFORMATION. Agenda Item No. 10B July 27, 2010 Page 97 of 138 Case 09 -36144 Document 18 Filed in TXSB on 11/25/09 Page 2 of 2 FORM Big wadnwd (12/07) EXPLANATION OF BANKRUPTCY DISCHARGE IN A CHAPTER 7 CASE This court order grants it discharge to the person named as the debtor. It is not a dismissal of the cast and it does not determine how much money, if any, the trustee will pay to creditors. The discharge prohibits any attempt to collect from the debtor it debt that bas been discharged, For example, a creditor is not permitted to contact a debtor by mail, pbone, or otherwise, to file or continue a lawsuit, to attach wages or other property, or to take any other action to collect a discharged debt from the debtor. [bi a case in olvlag communityproperly: There ate also special rules that protect certain community property owned by the debtor's spouse, even if that spouse did not fide a bankruptcy case.] A creditor who violates this order can be required to pay damages and attorney's fees to the debtor. However, a creditor may have the right to enforce a valid lien, such as a mortgage or security interest, against the debtor's property after the bankruptcy, if that lien was not avoided or eliminated in the bankruptcy case. Alan, a debtor may voluntarily pay any debt that has been discharged. The chapter 7 discharge order eliminates a debtor's legal obligation to pay a debt that is discharged. Most, but not all types of debts are discharged if the debt existed on the date the bankruptcy case was filed. (If this case was begun under a di(%t chapter of the Bankruptcy Code and converted to chapter 7, the discharge applies to debts owed when the bankruptcy case was converted.) Some of the common types of debts which are ad discharged in a chapter 7 bankruptcy case am: a. Debts for most taxes; b. Debts incurred to pay nondischargeable taxes; c. Debts that are domestic support obligations; d. Debts for most student loans; e. Debts for most fines, penalties, forfeitures, or criminal restitution obligations; f. Debts for personal injuries or death caused by the debtor's operation of a motor vehicle, vessel, or aircraft while intoxicated; g. Some debts which were not properly listed by the debtor, h. Debts that the bankruptcy court specifically has decided or will decide in this bankruptcy case are not discharged; 1. Debts for which the debtor has given up the discharge protections by signing a reaffirmation agreement in compliance with the Bankruptcy Code requirements for reaffirmation of debts; and j. Debts owed to certain pension, profit sharing, stock bonus, other retirement plans, or to the Thrift Savings Plan for federal employees for certain types of loans from these plans. This information is only a general summary of the bankruptcy discharge. There are exceptions to these general rules. Because the law is compilested, you may want to consult an attorney to determine the exact effect of the discharge in this case. CBC News - Money - Laidlaw files for bankruptcy protection EXHIBIT "K" Laidlaw files for bankruptcy protection Last Updated: Friday, June 29, 2001 18:37 AM ET Agenda Item No. Fi age 1 of 1 July 27. 2010 Page 98 of 138 CBC New Struggling under a $3.5- billion US mountain of debt, Laidlaw Inc. said Thursday it has filed for bankruptcy protection in Canada and the United States. The move covers Laidlaw and five of its subsidiary holding companies — Laidlaw Investments Ltd., Laidlaw International Finance Corporation, Laidlaw One, Inc., Laidlaw Transportation, Inc. and Laidlaw USA, Inc. News of the filing sent the company's stock down almost 64 per cent. The stock closed down 11.5 cents at 6.5 cents. The company said it, along with Laidlaw Investments, filed for protection from creditors in Ontario Superior Court in Toronto. . FROM Jan. 4, 2001: Troubled Laidlaw announces $150 million financing deal "In light of Laidlaw Inc.'s excessive leverage and the deterioration in value of certain of its assets, our primary objective has been to minimize the impact of the restructuring process on our operating companies - their employees, customers and vendors," Stephen Cooper, Laidlaw's vice- chairman and chief restructuring officer, said. Laidlaw stressed that the bankruptcy filing does not affect any of its operating units. "We believe that our operating companies are generating more than adequate cash flows to meet their working capital requirements for the foreseeable future," John Grainger, Laidlaw Inc.'s president and chief executive officer, said in a release. "They have been more effectively managing cash and have continued to meet all their obligations to their suppliers," he said. The company also announced it has secured $200 million in financing from GE Capital, while Laidlaw's Greyhound Lines subsidiary has landed a separate borrowing arrangement for up to $125 million. . FROM May 3, 2000: Tax charges add to Laidlaw's troubles Grainger said that employees will continue to be paid and their health benefits will be secure during the company's restructuring. No layoffs are planned, he added. This story is now closed to commenting. http: / /www.cbe.calmoney/ story/2001 /06 /28 /laidlaw_010628.html 5/27/2010 Agenda Item No. 108 EXHMIT "L„ July 27, 2010 Page 99 of 138 McDOnALD TRAnSIT ASSOCIATES, Inc. 38W SANOSHELL, SUITE 173 FORT WORTH, TEXAS 78137 (817) 732 -9581 • (817) 232 -9588 FAX May is, 2010 VIA FAX AND U.S. MAID, Collier County County Manager Attention: Leo Ochs 3301 `l'amiami Trail East Naples, Florida.34104 RE: RFF 10 -5455 Dear Mr. Ochs: In accordance with.the Florida Public Records Act, We respectfully request that CollierCounly make available, for-feview and permit copies to be made of all documents, notes; minutes, audio recordings, memoranda, correspondence (including electronic mail), and internal. communications (including electronic mail) concerning or relating to the contractor selection recommendation, the proposer's reference verifications, and evaluation criteria score sheets for. the operation of the Collier Area Transit. In addition, we request copies of all ;the competitor's' proposals to include any follow up information that was provided. Thank you for your attention to this matter, PIease don't hesitate to respond to me with any questions you may have. Sincerely, Robert T. Babbitt President cc Ken Fischer Carlos Rivera Agenda Item No. 1013 July 27, 2010 COAM county Page 100 of 138 Adrnk istra" Services Division Purchasing June 10, 2010 Mr. Patrick G. White Porter Wright Morris & Arthur LLP 9132 Strada Place, Third Floor Naples, FI 34108 -2633 Re: Protest Decision regarding RFP 10 -5455, "Management Services Contract for the Collier Area Transit (CAT) Fixed Route and Paratransit Program ". Dear Mr. White: I am writing in response to your formal protest letter of May 27, 2010 filed on behalf of McDonald Transit Associates, Inc. (MTA) pertaining to the recommended award of the referenced Request for Proposals (RFP). The following is a summary of each of the issues raised in your protest and findings regarding each. 1. Tectrans has failed to demonstrate sufficient prior public transit experience to warrant selection (per item 3.b of the formal protest). The Tectrans proposal was tendered by another entity and not by the entity that was selected (issue 3.f raised within the formal protest) FINDINGS: According to Mr. Brian Sullivan, Chief Marketing Officer, Tectrans is a holding company that has acquired 12 separate business entities, including Limousines of South Florida Inc. (hereinafter referred to as "LSI'). According to Mr. Sullivan, Tectrans was incorporated in 2006 and acquired LSI in 2007. LSI has been in business for more than 20 years. Review of the Tectrans proposal reveals the following: • 53 "Current Projects" are listed, all of which Mr. Sullivan confirms are being serviced by Tectrans or one of their owned affiliates. • 18 of the 53 sites are within the state of Florida • All of the Florida locations are being serviced by LSF. • 16 of the 18 Florida locations are identified as including fixed route transit services • At least half of the total sites listed appear to be for public transit systems Based on this and other information contained within the proposal, it appears that both Tectrans (including their other held companies) and LSI have been involved in delivering fixed route transit for several years. PurUasing DeparnKg- 3301 Tamian Trall East •Naples, Fonda 34112 • v .colliergov.net *mhasing Agenda Item No. 10B July 27, 2010 Page 101 of 138 Mr. Patrick G. White, June 10, 2010 Page 2 of 7 The Tectrans proposal was tendered by "LSF doing business as Tectrans ". The names, corporate addresses and at least one officer for both LSF and TECTRANS are cited in the proposal declaration. The current projects and job references within the proposal pertain to work performed by Tectrans or one of its owned affiliates. Based on this information, it appears that the Tectrans proposal was tendered by the same group that the County would enter into contract with upon award. 2. Tectrans does not have a sufficient DBE (Disadvantaged Business Enterprise) plan or experience to warrant being ranked first (issue 3.c raised within the formal protest). FINDINGS: Exhibit Ill, Section 28 of the RFP included language governing the duties of the contractor regarding recruitment and utilization (and reporting of activities thereto) of DBE firms. By signing their proposal, each vendor was affirmatively acknowledging their intent to comply with the DBE requirements referenced under Exhibit ll, Section 28, and to endeavor to meet the Collier Area Transit stated DBE participation goal. That language (49 CFR Part 26) does not require grant recipients such as Collier County to competitively evaluate DBE experience nor does it expressly require contractors to hire minority personnel. Rather that section of Exhibit 111 serves to inform prospective contractors of their DBE- related obligations under the contract. 3. The County Selection Committee (hereinafter referred to as "the committee ") has not satisfied FTA requirements, specifically regarding the published evaluation criteria and relative importance of each (issue 3.d raised in the formal protest) nor has the Committee followed the County's own stated evaluation method as set forth in the RFP (issue 3.e raised in the formal protest). FINDINGS: The protest cites and paraphrases FTA Circular C 4220.1E and contends that it requires that the agency's procurement procedures must specify all evaluation factors and their relative importance and establish a specific method to be used. In procuring this contract, County staff complied with the requirements of FTA Circular C 4220.1F (enclosed) which states that all evaluation factors and their relative importance are to be specified in the solicitation, but numeric or percentage weights do not have to be disclosed. On this point, the distinction between the two circulars appears to be moot as the RFP specified the applicable evaluation criteria, their relative importance and their respective numeric weights. With regard to the use of a specific method for evaluating the proposals, the specif=ic method of selection was expressly identified as "the Competitive Sealed Proposals" method under Section 9, Subsection 8 ( page 13) of the General RFP Instructions. The evaluation process associated with the procurement method was set forth in under Section 9 of the General RFP Instructions. Subsection 7 of that Section (page 14 of the RFP) and reads as follows: Agenda Item No. 10B July 27, 2010 Page 102 of 138 Mr. Patrick G. White, June 10, 2010 Page 3 of 7 The Committee will compile individual rankings, based on the evaluation criteria as stated herein, for each proposal to determine committee recommendations. The committee may at their discretion, schedule presentations or demonstrations from all qualified firms and make site visits, and obtain guidance from third party subject matter experts. The final recommendation will be decided based on review of scores and consensus of committee. The referenced language plainly states that the committee will compile individual rankings. Pursuant to that effort, the language explicitly affords the committee the discretion to among other things, schedule presentations from the proposing firms as part of the scoring and ranking process. The language concludes by stating that the final recommendation will be based upon a review of scores and a consensus of the committee. The language does not reference separate evaluation criteria for the written proposals versus the oral presentations. The language effectively puts the proposers on notice that the committee may schedule presentations as part of the evaluation process. Review of the scoring sheets indicates that each proposal was scored and ranked once and only once and that the scoring and ranking process followed review of the written proposal and the oral presentations. The evaluation criteria used in the scoring and ranking process were identical to those published in the RFP. The protest cites case law rulings including Coin Laundry Eqp. Co. v. Univ. of West Florida where the governing entity apparently failed to follow the published RFP criteria and product specifications, in this instance, the Collier selection committee scored and ranked the proposals based upon the evaluation criteria published in the RFP. The RFP gave the Committee the discretion to hear oral presentations (which it in fact did) pursuant to scoring and ranking the proposals. There is no evidence that the evaluation criteria were changed or that the committee deviated from the discretion it was afforded in the RFP. Written Instructions regarding the oral presentations were forwarded to each of the competing firms in advance of the presentations on April 215f with an update distributed on April 27th. The first sentence of the instructions references the firms that have tendered proposals and stated that they will be required to make a presentation to the selection committee. The instructions included the date, time and place for each presentation, the time allotted to each firm for presentation, and a brief description of the format of the presentation. Firms were asked (but not required) to abstain from sitting in on competing firms' presentations. Each firm was asked to limit their attendance to three persons (that number was listed as two in the April 21s` instructions and changed to Agenda Item No. 10B July 27, 2010 Page 103 of 138 Mr. Patrick G. White, June 10, 2010 Page 4 of 7 three in the April 27`" update) including a project manager to serve as the primary presenter and an additional person to assist with the question/answer period. Firms were asked to specifically address each of the following • "overall staff and industry experience summary • Why your firm stands out above the other proposers • Transition step by step plan from current vendor to new vendor" Presenters were also advised in the instructions that "Following the presentations, the selection committee will be scoring and ranking the firms for a final shortlist to be submitted to the Board of County Commissioners for award ". The protest contends that "MTA had no basis to conclude that a proposer's presentation would effect the outcome of the scoring and ranking ". Given that one and only one set of evaluation criteria were published in the RFP, given that the RFP expressly stated that the committee could schedule presentations as part of the evaluation process and given that the presenters were advised in the presentation instructions that the firms would be scored and ranked after the presentations, it seems highly implausible to conclude the presentations were not part of the scoring and ranking process. It further begs the question, if the presentations were not part of the evaluation process, then what possible purpose could they have otherwise served? The protest asserts that Tectrans had four persons attend their committee presentation while MTA by contrast only had two persons attend their presentation. Review of the sign in sheets for the respective presentations indicates that both Tectrans and MTA had three individuals sign in at the presentation (sign in sheet enclosed). The protest asserts that the selection committee wrongfully "gave weight" to comments from the competing vendors during the "public comment" period which occurred at the end of the committee's public deliberations and immediately prior to the committee finalizing its decision. In response to this, it must first be noted that the committee had publicly tabulated its scores and rankings prior to hearing the public comment (though the final decision was not made until after the public comments). Secondly, there is no comment or response from any committee members to the public comments so it is not clear as to what impact, if any, the comments may or may not have had on the members. Thirdly and most important, the public comments section of the County's selection committee deliberations is an integral and essential part of the County's decision- making process pursuant to Section 286.011, F. S. otherwise known as the Public Meetings and Records Law. That law affords the public the right to attend and participate in public meetings. The law does not exclude vendors competing for County Agenda Item No. 10B July 27, 2010 Page 104 of 138 Mr. Patrick G. White, June 10, 2010 Page 5 of 7 contracts from the tight to attend and participate. To argue that the selection committee could not and should not hear or consider public comments from the public (which includes competing vendors) is contrary to both the letter and spirit of the law. The protest points out that none of the presenters were sworn in pursuant to giving their presentations. There is absolutely no County purchasing procedure that expressly requires or even contemplates swearing in individuals prior to making a proposal presentation and I am not aware of any instance with County procurements where this action was invoked. I am not aware of any applicable County, State or Federal laws or policies that would require such action pursuant to a proposal presentation. 4. Tectrans failed to disclose a personal bankruptcy of a principal team member and hence, improperly certified the same as part of its proposal (issue 3.g raised in the formal protest). FINDINGS: Under Exhibit 1, page 8 of the RFP, proposers are directed to submit information under the heading "Financial Capacity & Cost of Service ". Among the required information is a directive (subparagraph 3). e) to state whether the "Proposer, its predecessors, or its principals have been involved in bankruptcy" and if so, to "give details ". The protest claims that the proposed project manager received a 'Discharge of Debtors" order from the U. S. Bankruptcy Court in November, 2009 and provides corroborating evidence from the bankruptcy court. The protest further asserts that the current president of Tectrans was employed by Laidlaw Transportation Inc. at the time that Laidlaw filed for bankruptcy in 2001. The protest substantiates this claim through the inclusion of a CBC News web site article dated June 29, 2001 with no court documentation provided. Review of the RFP language cited under Exhibit 1, page 8 would indicate that Tectrans was not obligated to disclose the bankruptcy of the proposed project manager as he is neither the "Proposer", "a predecessor" nor a `principal" of Tectrans. According to Mr. Brian A. Sullivan, Chief Marketing Officer for Tectrans, the current president of Tectrans worked for Laidlaw Transit Inc., which is not among the entities or subsidiaries that sought bankruptcy protection at that time. Given that there is no evidence contrary to Mr. Sullivan's response, it does not appear that Tectrans was obligated to disclose the Laidlaw bankruptcy action from 2001 as part of its proposal. Agenda Item No, 10B July 27, 2010 Page 105 of 138 Mr. Patrick G. White, June 10, 2010 Page 6 of 7 Tectrans violated "lobbying provisions" of the RFP as one of their team members contacted a "key MTA officer" about prospective employment (issue 3.h raised in the formal protest). FINDINGS: Exhibit IV, Section 14 of the RFP contains prohibitions against competing firms lobbying County officials and employees regarding their tendered proposals. The language does not address contact between competing vendors and their respective employees. The Federal Byrd Anti - Lobbying Amendment 31 U. S. C. 1352 as amended by the Lobbying Disclosure Act of 1995 P. L. 104-65 (2 U.S.C. $1601, et seq.] includes prohibitions against persons or organization attempting to influence officers members and employees of federal agencies and Congress to obtain a federal contract, but does not appear to address the issue of contact between competing firms and their employees. I am not aware of any applicable County, State or Federal laws governing this specific issue. As such, I don't believe it necessitates further investigation pursuant to the award of this contract. 6. Tectrans did not properly qualify as the highest ranked recommended entity under RFP 10 -5455 (Item 3.a cited under the protest). FINDINGS: This issue is addressed through findings and determinations made in response to the other issues raised in the formal protest. Every formal competitive selection process of this nature includes elements of judgment on the part of the decision making body that can always be debated. The purpose of the County's protest procedure is not to undermine or "second guess" the collective judgment of committees asked to make selection recommendations, but rather to determine whether the committee followed the selection procedure in a manner consistent with general law, the County's purchasing policy and the published RFP. I have carefully reviewed all of the issues raised in your protest of May 27, 2010. 1 have considered each allegation and the facts pertaining to each. Based on the information presented in the protest and the information I have gathered in response to each issue raised in the protest, it is my position that the selection committee actions were taken in compliance with the aforementioned policy and procedural requirements of the process and moreover, exercised their discretion within the bounds thereof. Accordingly, it is the decision of this office to deny the protest and direct staff to move forward with award of RFP 10 -5455 to Limousines of South Florida DBA Tectrans. The recommendation is tentatively scheduled to be presented to the Board of County Commissioners on Tuesday June 22, 2010. Agenda Item No. 10B July 27, 2010 Page 106 of 138 Mr. Patrick G. White, June 10, 2010 Page 7 of 7 Under Section XVIII.0 of the County's purchasing policy, the decision of the Purchasing Director shall be considered final and conclusive unless the protestor delivers a subsequent written objection to my attention within two business days from the date of receipt of this decision or not later than close of business on Monday, June 14"'. Sincerely, s Steve Carvell Purchasing /General Services Director Enclosures Agenda Item No. 10B July 27. 2010 Page 107 of 138 CIRCULAR U.S. Department of Transportation FTA C 2220.1F Federal Transit November 1, 2008 Administration Rev. April 14, 2009 Subject: THIRD PARTY CONTRACTING GUIDANCE 1. PURPOSE. This circular provides contracting guidance for recipients of Federal assistance awarded by the Federal Transit Administration (FTA) when using that Federal assistance to finance its procurements (third party contracts). This revision incorporates the new procurement provisions of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA -LU), and includes the most current available guidance for the Federal public transportation program as of the date of publication. 2. CANCELLATION. This circular cancels FTA Circular 4220.1E, "Third Party Contracting Requirements," dated 06- 19 -03. 3. AUTHORITY. Federal Transit Laws, Title 49, United States Code, Chapter 53. 9 5. 0 WAIVER. FTA reserves the right to waive any provision of this circular to the extent permitted by Federal law or regulation. FEDERAL REGISTER NOTICE. In conjunction with publication of this circular, a Federal Register notice was published on September 30, 2008 (73 FR 56896), addressing comments received during the development of the circular. AMENDMENTS TO THE CIRCULAR. FTA reserves the right to update this circular due to changes in other revised or new guidance and regulations that undergo notice and comment, without further notice and comment on this circular. FTA will post updates on our Web site: http: / /www.fta.dot.gov /. The Web site allows the public to register for notification when FTA issues Federal Register notices or new guidance; visit the Web site and click on "Sign -up for e -mail updates." ACCESSIBLE FORMATS. This document is available in accessible formats upon request. To obtain paper copies of this circular as well as information regarding these accessible formats, telephone FTA's Administrative Services Help Desk, 202- 366 -4865. Individuals with hearing impairments may contact the Federal Relay Service, 1 -800- 877 -8339 for assistance with the call. James S. Simpson Administrator Distribution: FTA Headquarters Offices (T -W -2) OPI: TAD FTA Regional Offices (T -X -2) FTA C 4220.1F 11/01/2008 Rev. 04/14/2009 (2) Procurement Procedures. The following procedures apply to sealed bid procurements: Agenda Item No. 10B July 27, 2010 Page 108 of 138 Page VI -9 (a) Publicity. The invitation for bids is publicly advertised. (b) Adequate Sources. Bids are solicited from an adequate number of known suppliers. (c) Adequate Specifications. The invitation for bids, including any specifications and pertinent attachments, describes the property or services sought in sufficient detail that a prospective bidder will be able to submit a proper bid. (d) Sufficient Time. Bidders are allowed sufficient time to prepare bids before the date of bid opening. (e) Public Opening. All bids are publicly opened at the time and place prescribed in the invitation for bids. (f) Fixed Price Contract. A firm fixed price contract is usually awarded in writing to the lowest responsive and responsible bidder, but a fixed price incentive contract or inclusion of an economic price adjustment provision can sometimes be appropriate. When specified in the bidding documents, factors such as transportation costs and life cycle costs affect the determination of the lowest bid; payment discounts are used to determine the low bid only when prior experience indicates that such discounts are typically taken. (g) Rejection of Bids. Any or all bids may be rejected if there is a sound, documented business reason. FTA strongly encourages non - govemmental recipients to use similar procedures. Competitive Proposals (Request for Proposals). The Common Grant Rule for governmental recipients acknowledges the use of competitive proposals to be a generally accepted procurement method when the nature of the procurement does not lend itself to sealed bidding and the recipient expects that more than one source will be willing and able to submit an offer or proposal. (1) When Appropriate. Competitive proposals should be used when any of the following circumstances are present: (a) Type of Specifications. The property or services to be acquired are described in a performance or functional specification; or if described in detailed technical specifications, other circumstances such as the need for discussions or the importance of basing contract award on factors other than price alone are present. Page VI -10 Agenda Item No. 10B July 27, 2010 Page 109 of 138 FTA C 4220. IF 11/01/2008 Rev. 04/14/2009 (b) Uncertain Number of Sources. Uncertainty about whether more than one bid will be submitted in response to an invitation for bids and the recipient lacks the authority or flexibility under State or local law to negotiate the contract price if it receives only a single bid. (c) Price Alone Not Determinative. Due to the nature of the procurement, contract award need not be based exclusively on price or price - related factors. In different types of negotiated acquisitions, the relative importance of cost or price may vary. When the recipient's material requirements are clearly definable and the risk of unsuccessful contract performance is minimal, cost or price may play a dominant role in source selection. The less definitive the requirements, the more development work required, or the greater the performance risk, the more technical or past performance considerations may play a dominant role in source selection and supersede low price. (d) Discussions Expected. Separate discussions with individual offeror(s) are expected to be necessary after they have submitted their proposals. This contrasts with Formal Advertising procedures in which discussions with individual bidders are not likely to be necessary, as award of the contract will be made based on price and price- related factors alone. (2) Procurement Procedures. The following procedures apply to procurements by competitive proposals: (a) Publicity. The request for proposals is publicly advertised. (b) Evaluation Factors. All evaluation factors and their relative importance are specified in the solicitation; but numerical or percentage ratings or weights need not be disclosed. (c) Adequate Sources. Proposals are solicited from an adequate number of qualified sources. (d) Evaluation Method. A specific method is established and used to conduct technical evaluations of the proposals received and to determine the most qualified offeror. (e) Price and Other Factors. An award is made to the responsible offeror whose proposal is most advantageous to the recipient's program with price and other factors considered. (f) Best Value. If permitted under its State or local law, the recipient may award the contract to the offeror whose proposal provides the greatest value to the recipient. To do so, the recipient's solicitation must inform potential offerors that the award will be made on a "best value" basis and identify what factors will form the basis for award. The evaluation factors for a specific Agenda Item No. 10B July 27, 2010 Page 110 of 138 FTA C 4220. IF Page VI -11 11/01/2008 Rev. 04/14/2009 procurement should reflect the subject matter and the elements that are most important to the recipient. Those evaluation factors may include, but need not be limited to, technical design, technical approach, length of delivery schedules, quality of proposed personnel, past performance, and management plan. The recipient should base its determination of which proposal represents the "best value" on an analysis of the tradeoff of qualitative technical factors and price or cost factors. Apart from the statutory requirement that the contract must support the recipient's public transportation project consistent with applicable Federal laws and regulations, FTA does not require any specific factors or analytic process. FTA strongly encourages non - governmental recipients to use similar procedures. e. Two -Step Procurement Procedures. If permitted by State and local law, the recipient may use two -step procurement procedures in both sealed bid and competitively negotiated procurements, provided the opportunity for full and open competition is retained. (1) Review of Technical Qualifications and Approach. The first step is a review of the prospective contractors' technical approach to the recipient's request and technical qualifications to carry out that approach. The recipient then may narrow the competitive range to prospective contractors that demonstrate a technically satisfactory approach and have satisfactory qualifications. (2) Review of Bids and Proposals Submitted by Qualified Prospective Contractors. The second step consists of soliciting and reviewing complete bids (sometimes referred to as "two -step sealed bidding ") or proposals (as in "competitive negotiations "), including price, submitted by each prospective contractor determined to be qualified. Absent exceptional circumstances, the recipient should attempt to solicit bids or proposals from at least three qualified prospective contractors. Unlike qualifications -based procurement procedures required for A &E services, and other contracts covered by 49 U.S.C. Section 5325(b) discussed in subsection 3.f of this Chapter, FTA expects the recipient to consider all bid or proposal prices submitted as well as other technical factors, rather than limiting reviews to the most qualified bidder or offeror. f. Architectural Engineering (A &E) Services and Other Services. FTA's enabling legislation at 49 U.S.C. Section 5325(b)(1) requires the use of the qualifications -based procurement procedures contained in the "Brooks Act," 40 U.S.C. Sections 1101 through 1104, to acquire A &E services, but also for program management, construction management, feasibility studies, preliminary engineering, design, architectural, engineering, surveying, mapping and related services. The nature of the work to be performed and its relationship to construction, not the nature of the prospective contractor, determine whether qualifications -based procurement procedures may be used as described below. Page VI -12 Agenda Item No. 10B July 27, 2010 Page 111 of 138 FTA C 4220.1F 11/01/2008 Rev. 04/14/2009 (1) Qualifications Based Procurement Procedures Required. The recipient must use qualifications -based procurement procedures not only when contracting for A &E services, but also for other services listed in 49 U.S.C. Section 5325(6)(1) that are directly in support of, directly connected to, directly related to, or lead to construction, alteration, or repair of real property. For example, a contractor performing program management, project design, construction management, or engineering services in which that contractor would select the finished products to be acquired for an FTA assisted construction project must be selected through qualifications -based procurement procedures. (2) Qualifications -Based Procurement Procedures Prohibited, Unless FTA determines otherwise in writing, a recipient may not use qualifications -based procurement procedures to acquire other types of services if those services are not directly in support of, directly connected to, directly related to, or do not lead to construction, alteration, or repair of real property. Even if a contractor has performed services listed herein in support of a construction, alteration, or repair project involving real property, selection of that contractor to perform similar services not relating to construction may not be made through the use of qualifications -based procurement procedures. A project involving construction does not always require that qualifications -based procurement procedures be used. Whether or not qualifications -based procurement procedures may be used depends on the actual services to be performed in connection with the construction project. For example, the design or fabrication of message signs, signals, movable barriers, and similar property that will become off -the -shelf items or will be fabricated and delivered as final end products for installation in an FTA assisted construction project are not services for which qualifications -based procurement procedures may be used. Nor are actual construction, alteration, or repair to real property the type of services for which qualifications -based procurement procedures may be used. (3) Qualifications -Based Procurement Procedures. The following procedures apply to qualifications -based procurements: (a) Qualifications. Unlike other two -step procurement procedures in which price is an evaluation factor, an offeror's qualifications are evaluated to determine contract award. (b) Price. Price is excluded as an evaluation factor. (c) Most Qualified. Negotiations are first conducted with only the most qualified offeror. (d) Next Most Qualified. Only after failing to agree on a fair and reasonable price may negotiations be conducted with the next most qualified offeror. Then, if necessary, negotiations with successive offerors in descending order may be Agenda Item No. 10B July 27, 2010 Page 112 of 138 FTA C 4220.1F Page VI -13 11/01/2008 Rev. 04/14/2009 conducted until contract award can be made to the offeror whose price the recipient believes is fair and reasonable. (4) Effect of State Laws. To the extent that a State has, before August 10, 2005, adopted by law, an equivalent State qualifications -based procurement requirement for acquiring architectural, engineering, and design services, Federal "Brooks Act" procedures, 40 U.S.C. Sections 1101 through 1104, will not apply. (5) Audits and Indirect Costs. As required by 49 U.S.C. Section 5325(b)(3), the following requirements apply to a third party contract for program management, architectural engineering, construction management, feasibility studies, preliminary engineering, design, architectural, engineering, surveying, mapping, or related services: (a) Performance of Audits. The third party contract or subcontract must be performed and audited in compliance with FAR Part 31 cost principles. (b) Indirect Cost Rates. The recipient and the third party contractor, its subcontractors and subrecipients, if any, must accept FAR indirect cost rates for one -year applicable accounting periods established by a cognizant Federal or State government agency, if those rates are not currently under dispute. (c) Application of Rates. After a firm's indirect cost rates established as described in subparagraph 3.f(5)(b) of this Chapter are accepted, those rates will apply for purposes of contract estimation, negotiation, administration, reporting, and payments, not limited by administrative or de facto ceilings. (d) Prenotification; Confidentiality of Data. Before requesting or using cost or rate data described in subparagraph 3.f(5)(c), a recipient must notify the affected firm(s). That data must be kept confidential and may not be accessible by or provided by the group of agencies that share cost data under this subparagraph, except by written permission of the audited firm. If prohibited by law, that cost and rate data may not be disclosed under any circumstances. FTA recognizes that many States have "Open Records" laws that may make it difficult to maintain confidential cost or rate data. As a result, before requesting or using cost or rate data, not only should a recipient notify the affected firm, but it must also obtain permission to provide that data in response to a valid request under applicable State law. The confidentiality requirements of 49 U.S.C. 5325(b)(3)(D) cannot be waived, even if they conflict with State law or regulations. g. Design -Bid- Build. The design- bid -build procurement method requires separate contracts for design services and for construction. Page VI -14 Agenda Item No. 10B July 27, 2010 Page 113 of 138 FTA C 4220.1F 11/01/2008 Rev. 04/14/2009 (1) Design Services. For design services, the recipient must use qualifications -based procurement procedures, in compliance with applicable Federal, State and local law and regulations. (2) Construction. Because the recipient may not use qualifications -based procurement procedures for the actual construction, alteration or repair of real property, the recipient generally must use competitive procedures for the construction. These may include sealed bidding or competitive negotiation procurement methods, as appropriate. h. Design- Build. The design -build procurement method consists of contracting for design and construction simultaneously with contract award to a single contractor, consortium, joint venture, team, or partnership that will be responsible for both the project's design and construction. The Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA -LU) expressly authorizes the use of FTA capital assistance to support design -build projects "after the recipient complies with Government requirements," 49 U.S.C. Section 5325(d)(2). (1) Procurement Method Determined by Value. First, the recipient must separate the various contract activities to be undertaken and classify them as design or construction, and then calculate the estimated total value of each. Because both design and construction are included in a single procurement, the FTA expects the recipient to use the procurement method appropriate for the services having the greatest cost, even though other necessary services would not typically be procured by that method. (a) Construction Predominant. The construction costs of a design -build project are usually predominant so that the recipient would be expected to use competitive negotiations or sealed bids for the entire procurement rather than the qualification -based Brooks Act procurement procedures. Specifically, when construction costs will be predominant, unless FTA determines otherwise in writing, an FTA recipient may not use qualifications -based procurement procedures to acquire architectural engineering, program management, construction management, feasibility studies, preliminary engineering, design, architectural and engineering, surveying, mapping, or related A &E services unless required by State law adopted before August 10, 2005. (b) Design Services Predominant. In the less usual circumstance in which the cost of most work to be performed will consist of costs for architectural and engineering, program management, construction management, feasibility studies, preliminary engineering, design, architectural engineering, surveying, mapping, or related A &E services, FTA expects the recipient to use qualifications -based procurement procedures based on the Brooks Act as described in subsection 3.e of this Chapter. FTA C 4220.1F 11/01/2008 Rev. 04/14/2009 Agenda Item No. 10B July 27, 2010 Page 114 of 138 Page VI -15 (2) Selection Processes. The recipient may structure its design -build procurement using one or more steps as described below: (a) One -Step Method. The recipient may undertake its design -build procurement in a single step. (b) Two -Step Method. Another procurement method the recipient may use for large design -build projects is a two -step selection process as authorized for Federal Government use by 41 U.S.C. Section 253m. This method consists of: 1 Review of Technical Qualifications and Apnroach. The first step is a review of the prospective contractors' technical qualifications and technical approach to the project. The recipient may then narrow the competitive range to those prospective contractors with satisfactory qualifications that demonstrate a technically satisfactory approach. 2 Review of Complete Proposals. The second step consists of soliciting and reviewing complete proposals, including price, submitted by prospective contractors first determined to be qualified. By using this two -step method, it will not be necessary for the recipient to undertake extensive proposal reviews, nor will prospective offerors need to engage in expensive proposal drafting. This two -step selection procedure is separate and distinct from prequalification and is but one procurement method available to the recipient. i. Other Than Full and Open Competition. Normally, the recipient must provide for full and open competition when soliciting bids or proposals. The Common Grant Rule for governmental recipients, however, acknowledges that under certain circumstances, a recipient may conduct procurements without providing for full and open competition. (1) When Appropriate. A recipient may use noncompetitive proposals only when the procurement is inappropriate for small purchase procedures, sealed bids, or competitive proposals, and at least one of the following circumstances are present: (a) Competition Adequacy. After soliciting several sources, FTA expects the recipient to review its specifications to determine if they are unduly restrictive or if changes can be made to encourage submission of more bids or proposals. After the recipient determines that the specifications are not unduly restrictive and changes cannot be made to encourage greater competition, the recipient may determine the competition adequate. A cost analysis must be performed in lieu of a price analysis when this situation occurs. (b) Sole Source. When the recipient requires supplies or services available from only one responsible source, and no other supplies or services will satisfy its Page VI -16 Agenda Item No. 10B July 27, 2010 Page 115 of 138 FTA C 4220.1F 11/01/2008 Rev. 04/14/2009 requirements, the recipient may make a sole source award. When the recipient requires an existing contractor to make a change to its contract that is beyond the scope of that contract, the recipient has made a sole source award that must be justified. I Unique Ca abili or Availability. The property or services are available from one source if one of the conditions described below is present: a Unique or Innovative Concept. The offeror demonstrates a unique or innovative concept or capability not available from another source. Unique or innovative concept means a new, novel, or changed concept, approach, or method that is the product of original thinking, the details of which are kept confidential or are patented or copyrighted, and is available to the recipient only from one source and has not in the past been available to the recipient from another source. b Patents or Restricted Data Rights. Patent or data rights restrictions preclude competition. c Substantial Duplication Costs. In the case of a follow -on contract for the continued development or production of highly specialized equipment and major components thereof, when it is likely that award to another contractor would result in substantial duplication of costs that are not expected to be recovered through competition. d Unacceptable Delay. In the case of a follow -on contract for the continued development or production of a highly specialized equipment and major components thereof, when it is likely that award to another contractor would result in unacceptable delays in fulfilling the recipient's needs. 2 Single Bid or Proposal. Upon receiving a single bid or proposal in response to a solicitation, the recipient should determine if competition was adequate. This should include a review of the specifications for undue restrictiveness and might include a survey of potential sources that chose not to submit a bid or proposal. A Adequate Competition. FTA acknowledges competition to be adequate when the reasons for few responses were caused by conditions beyond the recipient's control. Many unrelated factors beyond the recipient's control might cause potential sources not to submit a bid or proposal. If the competition can be determined adequate, FTA's competition requirements will be fulfilled, and the procurement will qualify as a valid sole source. Agenda Item No. 10B July 27. 2010 Page 116 of 138 FTA C 4220.1F Page VI -17 11/01/2008 Rev. 04/14/2009 b Inadequate Competition. FTA acknowledges competition to be inadequate when, caused by conditions within the recipient's control. For example, if the specifications used were within the recipient's control and those specifications were unduly restrictive, competition will be inadequate. (c) Unusual and Compelling Urgency. The Common Grant Rule for governmental recipients permits the recipient to limit the number of sources from which it solicits bids or proposals when a recipient has such an unusual and urgent need for the property or services that the recipient would be seriously injured unless it were permitted to limit the solicitation. The recipient may also limit the solicitation when the public exigency or emergency will not permit a delay resulting from competitive solicitation for the property or services. (d) Associated Capital Maintenance Item Exception Repealed. SAFETEA -LU repealed the special procurement preference previously authorized for associated capital maintenance items. Thus, any sole source procurement of associated capital maintenance items must qualify for an exception under the same standards that would apply to other sole source acquisitions. (e) Authorized by FTA. The Common Grant Rules provide Federal agencies authority to permit a recipient to use noncompetitive proposals. Under this authority, FTA has made the following determinations: Consortium, Joint Venture, Team, Partnership. With some exceptions, when FTA awards a grant agreement or enters into a cooperative agreement with a consortium, joint venture, team, or partnership, or provides FTA assistance for a research project in which FTA has approved the participation of a particular firm or combination of firms in the project work, the grant agreement or cooperative agreement constitutes approval of those arrangements. In such cases, FTA expects the recipient to use competition, as feasible, to select other participants in the project. 2 FAR Standards. To ensure that the recipient has flexibility equal to that of Federal contracting officers, FTA authorizes procurement by noncompetitive proposals in all of the circumstances authorized by FAR Part 6.3. In addition to circumstances discussed in the Common Grant Rules, the FAR authorizes less than full and open competitive procurements in one or more of the following circumstances: a Statutory Authorization or Requirement. To comply with Department of Transportation (DOT) appropriations laws that include specific statutory requirements, with the result that only a single contractor can perform certain project work. Agenda Item No. 10B July 27, 2010 Page 117 of 138 Page VI -18 FTA C 4220. IF 1 1/01/2008 Rev. 04/14/2009 b National Emergency. To maintain a facility, producer, manufacturer, or other supplier available to provide supplies or services in the event of a national emergency or to achieve industrial mobilization. c_ Research. To establish or maintain an educational or other non - profit institution or a federally funded research and development center that has or will have an essential engineering, research, or development capability. d Protests Disputes, Claims, Litigation. To acquire the services of an expert or neutral person for any current or anticipated protest, dispute, claim, or litigation. e International Arrangements. When precluded by the terms of an international agreement or a treaty between the United States and a foreign government or international organization, or when prohibited by the written directions of a foreign government reimbursing the recipient for the cost of the acquisition of the supplies or services for that government. f National Security. When the disclosure of the recipient's needs would compromise the national security. g Public Interest. When the recipient determines that full and open competition in connection with a particular acquisition is not in the public interest. (2) When Prohibited. Less than full and open competition is not justified based on: (a) Failure to Plan. The recipient's lack of advance planning, or (b) Limited Availability of Federal Assistance. Concerns about the amount of Federal assistance available to support the procurement (for example, expiration of Federal assistance previously available for award). (3) Procurement Procedures. When less than full and open competition is available to the recipient, the Common Grant Rule for governmental recipients directs the recipient to: (a) Potential Sources. Solicit offers from as many potential sources as is practicable under the circumstances. (b) Sole Source Justification. If the recipient decides to solicit an offer from only one source, the recipient must justify its decision adequately in light of the standards of subparagraph 3.i(1)(b) of this Chapter. FTA expects this sole — source justification to be in writing. FTA C 4220.1 F 11/01/2008 Rev. 04/14/2009 Agenda Item No. 10B July 27, 2010 Page 118 of 138 Page VI -19 (c) Cost Analysis. Prepare or obtain a cost analysis verifying the proposed cost data, the projections of the data, and the evaluation of the costs and profits. (d) Preaward Review. Submit the proposed procurement to FTA for preaward review if FTA so requests. 4. ELIGIBLE COSTS. Property and services must be eligible for Federal participation under the standards of the Federal cost principles (OMB Circular A -87, OMB Circular A -21, OMB Circular A -122, or FAR Part 31) applicable to the recipient before the recipient may use FTA assistance to support its costs. A recipient may use its own cost principles that comply with applicable Federal cost principles. FTA assistance may support contract costs or prices based on estimated costs only if the costs incurred or cost estimates included in negotiated prices comply with applicable Federal cost principles, and the property or services are eligible for Federal assistance under the terms of the underlying grant or cooperative agreement. 5. INCENTIVE COSTS AND PAYMENTS. SAFETEA -LU added a new amendment, 49 U.S.C. Section 5309(1), authorizing incentive payments to contractors that provide accurate cost and ridership estimates in connection with a new fixed guideway capital project, and to contractors that enable a new fixed guideway capital project to be completed for less than its original estimated cost. These incentive payments will be allowable costs in addition to other eligible project costs and must be "necessary and reasonable." See, the Questions and Answers pertaining to incentive contracts at FTA's Web site: http: / /www.fta.dot.gov/ funding /thirdpartyprocu rement /faq /grants_finaneing_6148.ht MI. 6. COST AND PRICE ANALYSIS. The Common Grant Rules require the recipient to perform a cost or price analysis in connection with every procurement action, including contract modifications. The method and degree of analysis depends on the facts and circumstances surrounding each procurement, but as a starting point, the recipient must make independent estimates before receiving bids or proposals. a. Cost Analysis. The recipient must obtain a cost analysis when a price analysis will not provide sufficient information to determine the reasonableness of the contract cost. The recipient must obtain a cost analysis when the offeror submits elements (that is, labor hours, overhead, materials, and so forth) of the estimated cost, (such as professional consulting and A &E contracts, and so forth). The recipient is also expected to obtain a cost analysis when price competition is inadequate, when only a sole source is available, even if the procurement is a contract modification, or in the event of a change order. The recipient, however, need not obtain a cost analysis if it can justify price reasonableness of the proposed contract based on a catalog or market price of commercial product sold in substantial quantities to the general public or based on prices set by law or regulation. (1) Federal Cost Principles. Federal cost principles contain many requirements about the allowability and allocability of costs. Page VI -20 Agenda Item No. 10B July 27, 2010 Page 119 of 138 FTA C 4220. IF 11/01/2008 Rev. 04/14/2009 (2) Establishing Indirect Cost Rates. For contracts other than A &E contracts discussed in subsection 3.e of this Chapter, if the third party contractor or subcontractor does not have an approved Government indirect cost rate agreement, the contract's dollar value should determine how that rate is verified. (a) Contracts of $5 Million or Less. FTA will accept the audit recommendations of the contractor's certified public accountant, or indirect cost information in the contractor's annual statement to their stockholders, shareholders, or owners, or examples of acceptance of their rates by other governmental agencies within the last six months. (b) Contracts Exceeding $5 Million. If the contract exceeds $5 million, then the Defense Contract Audit Agency, another Federal cognizant audit agency, or an accounting firm approved by the Federal Government to perform audits for the Federal Government, must verify the contractor's rates. (3) Profit. FTA expects the recipient to negotiate profit as a separate element of the cost for each contract in which there has been no price competition, and in all acquisitions in which the recipient performs or acquires a cost analysis. To establish a fair and reasonable profit, the recipient needs to consider the complexity of the work to be performed, the risk undertaken by the contractor, the contractor's investment, the amount of subcontracting, the quality of the contractor's record of past performance, and industry profit rates in the surrounding geographical area for similar work. b. Price Analysis. If the recipient determines that competition was adequate, a price analysis, rather than a cost analysis, is required to determine the reasonableness of the proposed contract price. As discussed previously in subsection 3.a of this Chapter, the price analysis for micro - purchases may be limited. Similarly, the recipient may use an abbreviated price analysis for small purchases in most cases. One method to record this price analysis is through the use of a preprinted form on which a contracting officer (or other responsible person) can annotate a finding of fair and reasonable pricing and check off the most common reasons why this would be so, such as catalog or market prices offered in substantial quantities to the general public, regulated prices (for example, for many utilities purchases), or a comparison with recent prices for similar goods and services. c. Guidance on Cost and Price Analysis. FTA recognizes that some recipients may have difficulty obtaining the information necessary to conduct a proper cost or price analysis. Although neither FTA nor DOT may change the Common Grant Rules' requirements for cost or price analysis, FTA continues to seek a fair, practical solution to this problem consistent with the flexibility provided to Federal contracting officers under the FAR. The recipient may use the following resources as guidance in preparing cost or price analyses: (1) FTA's "Best Practices Procurement Manual," Chapter 5, Agenda Item No. 10B July 27, 2010 Page 120 of 138 FTA C 4220. IF Page VI -21 11/01/2008 Rev. 04/14/2009 (2) The National Transit Institute Course, "Cost or Price Analysis and Risk Assessment," (3) Pricing Guide for FTA Grantees, FTA Web Site: http: / /www.fta.dot.gov/ documents /flelpline_Price_Guide.doc., (4) FAR Part 31, Contract Cost Principles and Procedures, and (5) Defense Contract Audit Agency Audit Manual. See, the DCAA Web site: http://www.dcaa.mit/. Note, however, that the requirements of FAR Part 31 and the Defense Contract Audit Agency Audit Manual may differ from restrictions applicable to an FTA recipient. Each FTA recipient must comply with those Federal laws and regulations directly applicable to it. 7. EVALUATIONS. The following standards apply: a. General. When evaluating bids or proposals submitted, FTA expects the recipient to consider all evaluation factors specified in its solicitation documents, and evaluate the bids or offers only on the evaluation factors included in those solicitation documents. The recipient may not modify its evaluation factors after bids or proposals have been submitted without re- opening the solicitation. b. Options. In awarding the contract that will include options, the following standards apply: (1) Evaluation Required. In general, FTA expects the recipient to evaluate bids or offers for any option quantities or periods contained in a solicitation if it intends to exercise those options after the contract is awarded. (2) Evaluation Not Required. The recipient need not evaluate bids or offers for any option quantities when the recipient determines that evaluation would not be in its best interests. An example of a circumstance that may support a determination not to evaluate bids or offers for option quantities is when the recipient is reasonably certain that funds will not be available to permit it to exercise the option. c. Evaluators. In addition to evaluators with experience in technical or public policy matters related to the procurement, other evaluators may also include auditors and financial experts to the extent that the recipient determines would be necessary or helpful. Although many FTA recipients assign evaluation duties to their own personnel, a recipient lacking qualified personnel within its organization may contract for evaluation services. If it does so, the procurement standards of this circular will apply to those contracts and to those contractors selected to perform evaluation functions on behalf of the recipient. Page VI -22 Agenda Item No. 10B July 27, 2010 Page 121 of 138 FTA C 4220.1F 11/01/2008 Rev. 04/14/2009 8. CONTRACT AWARD. The following provisions apply to third party contract awards: a. Award to Other Than the Lowest Bidder or Offeror. Federal transit law at 49 U.S.C. Section 5325(c) authorizes the recipient to award a contract to other than the lowest bidder if the award furthers an objective consistent with the purposes of 49 U.S.C. Chapter 53, including improved long -term operating efficiency and lower long -term costs. The recipient may also award a contract to other than the offeror whose proposal is lowest, when stated in the evaluation factors of the solicitation. In both cases, the recipient should include a statement in its solicitation document reserving the right to award the contract to other than the low bidder or offeror. b. Award Only to a Responsible Bidder or Offeror. SAFETEA -LU amended 49 U.S.C. Section 5325 to require FTA assisted contract awards be made only to "responsible" contractors possessing the ability, willingness, and integrity to perform successfully under the terms and conditions of the contract. Responsibility is a procurement issue that is determined by the recipient after receiving bids or proposals and before making contract award. FTA expects the prospective contractor to demonstrate affirmatively to the recipient that it qualifies as "responsible" under the standards of 49 U.S.C. Section 5325, and that its proposed subcontractors also qualify as "responsible." To designate a prospective contractor "responsible" as required by 49 U.S.C. - Section 5325, FTA expects the recipient, at a minimum, to determine and ensure that the prospective contractor satisfies the following criteria described herein. In addition to being otherwise qualified and eligible to receive the contract award under applicable laws and regulations, a responsible contractor: (1) Integrity and Ethics. Has a satisfactory record of integrity and business ethics, in compliance with 49 U.S.C. Section 53250)(2)(A), (2) Debarment and Suspension. Is neither debarred nor suspended from Federal programs under DOT regulations, "Nonprocurement Suspension and Debarment," 2 CFR Parts 180 and 1200, or under the FAR at 48 CFR Chapter 1, Part 9.4, (3) Affirmative Action and DBE. Is in compliance with the Common Grant Rules' affirmative action and FTA's Disadvantaged Business Enterprise requirements, (4) Public Policy. Is in compliance with the public policies of the Federal Government, as required by 49 U.S.C. Section 53250)(2)(B), (5) Administrative and Technical Capacity. Has the necessary organization, experience, accounting, and operational controls, and technical skills, or the ability to obtain them, in compliance with 49 U.S.C. Section 53250)(2)(D), (6) Licensing and Taxes. Is in compliance with applicable licensing and tax laws and regulations, FTA C 4220.1 F 11/01/2008 Rev. 04/14/2009 Agenda Item No. 10B July 27, 2010 Page 122 of 138 Page VI -23 (7) Financial Resources. Has, or can obtain, sufficient financial resources to perform the contract, as required by 49 U.S.C. Section 53250)(2)(D), (8) Production Capability. Has, or can obtain, the necessary production, construction, and technical equipment and facilities, (9) Timeliness. Is able to comply with the required delivery or performance schedule, taking into consideration all existing commercial and governmental business commitments, and (10) Performance Record. Is able to provide a: (a) Current Performance. Satisfactory current performance record, and (b) Past Performance. Satisfactory past performance record in view of its records of long -time performance or performance with a predecessor entity, including: I Sufficient Resources. Key personnel with adequate experience, a parent firm with adequate resources and experience, and key subcontractors with adequate experience and past performance, 2 Adequate Past Experience. Past experience in carrying out similar work with particular attention to management approach, staffing, timeliness, technical success, budgetary controls, and other specialized considerations as described in the recipient's solicitation, and 3 Any Past Deficiencies Not the Fault of the Bidder or Offeror. A prospective bidder or offeror that is or recently has been seriously deficient in contract performance is presumed to be nonresponsible, unless the recipient determines that the circumstances were properly beyond the bidder or offeror's control, or unless the bidder or offeror has taken appropriate corrective action. Past failure to apply sufficient tenacity, perseverance, and effort to perform acceptably is strong evidence of nonresponsibility. Failure to meet the quality requirements of a contract is a significant factor to consider in determining satisfactory performance. FTA expects the recipient to consider the number of the bidder or offeror's contracts involved and the extent of deficient performance in each contract when making this determination. Before entering into a full funding contract for a fixed guideway project, the recipient must now consider the prospective contractor's past performance in estimating costs and ridership as reported in the Contractor Performance Assessment Reports, as required by 49 U.S.C. Section 53250)(2)(C). c. Rejection of Bids and Proposals. Depending on the type of recipient, the following applies: Page VI -24 Agenda Item No. 10B July 27, 2010 Page 123 of 138 FTA C 4220.1F 11/01/2008 Rev. 04/14/2009 (1) Governmental Recipients. The Common Grant Rule for governmental recipients asserts the recipient's right to reject all bids submitted in response to an invitation for bids or request for proposals. (2) Non - Governmental Recipients. The Common Grant Rule for non - governmental recipients authorizes the recipient to reject any and all bids and proposals when it is in the recipient's interest to do so. d. Extent and Limits of Contract Award. A selection of a contractor to participate in one aspect of a project does not, by itself, constitute a sole source selection of the contractor's wholly owned affiliates to perform other work in connection with the project. FTA C 4220.1 F 11/01/2008 Rev. 04/14/2009 CHAPTER VII PROTESTS, CHANGES AND MODIFICATIONS, DISPUTES, CLAIMS, LITIGATION, AND SETTLEMENTS Agenda Item No. 10B July 27, 2010 Page 124 of 138 Page VII -I The Common Grant Rules assign responsibility to the recipient for resolving all contractual and administrative issues arising out of their third party procurements, including source evaluation and selection, including protests of awards, disputes, and claims using good administrative practices and sound business judgment. The Federal Transit Administration (FTA) also encourages the recipient to use appropriate alternative dispute resolution procedures. Neither FTA nor the Common Grant Rules relieve the recipient of any responsibility under its contracts to resolve disagreements that may arise in the course of contract formation or contract administration. In general, FTA will not substitute its judgment for that of the recipient or subrecipient unless the matter is primarily a Federal concern. Examples of "Federal concerns" include, but are not limited to, situations "where a special Federal interest is declared because of program management concerns, possible mismanagement, impropriety, waste, or fraud." Nevertheless, FTA can become involved in the recipient's administrative decisions when a recipient's protest decision is appealed to FTA, or when the recipient seeks to use FTA assistance to support the costs of settlements or other resolutions of protests, disputes, claims, or litigation. 1. PROTESTS. a. The Recipient's Role and Responsibilities. The Common Grant Rules charge the recipient with the initial responsibility to resolve protests of third party contract awards. (1) Protest Procedures. Apart from other methods the recipient may have to resolve third party contract issues, such as mediation or arbitration, the Common Grant Rule for governmental recipients requires the recipient to have protest procedures. While the Common Grant Rule for non - governmental recipients does not impose a similar requirement on a non - governmental recipient, FTA expects each recipient to have appropriate written protest procedures, as part of its requirement to maintain or acquire adequate technical capacity to implement the project. (2) Responsibilities to FTA. The recipient's minimum responsibilities to FTA consist of the following: (a) Timely Notification. The Common Grant Rule for governmental recipients requires a governmental recipient to notify FTA when it receives a third party contract protest to which this circular applies, and to keep FTA informed about the status of the protest. A non - govemmental recipient involved in a protest is similarly expected to notify FTA when it receives a third party contract protest to which the circular applies, and to similarly keep FTA Agenda Item No. 10B July 27, 2010 Page 125 of 138 Page VII -2 FTA C 4220AF 11/01/2008 Rev. 04/14/2009 informed about the status of the protest. The recipient is expected to provide the following information: 1 Subjects. A list of protests involving third party contracts and potential third party contracts that: a Have a value exceeding $100,000, or b Involve a controversial matter, irrespective of amount, or c Involve a highly publicized matter, irrespective of amount. 2 Details. The following information about each protest: A A brief description of the protest, b The basis of disagreement, and c If open, how far the protest has proceeded, or A If resolved, the agreement or decision reached, and e Whether an appeal has been taken or is likely to be taken. 3 When and Where. The recipient should provide this information: A In its next quarterly Milestone Progress Report, and b At its next Project Management Oversight review, if any. Small recipients may report less frequently if no protests are outstanding. 4 FTA Officials to Notify. When a recipient denies a bid protest, and especially if an appeal to FTA is likely to occur, FTA expects the recipient to inform the FTA Regional Administrator for the region administering a regional project, or the FTA Associate Administrator for the program office administering a headquarters project directly. FTA also encourages the recipient to keep its FTA project manager informed about protests with which it is involved. In particular, the recipient should contact its project manager about any unusual activity. (b) Access to Information. FTA expects the recipient to disclose information about any third party procurement protest to FTA upon request. FTA reserves the right to require the recipient to provide copies of a particular protest or all protests, and any or all related supporting documents as FTA may determine necessary. FTA C 4220.1F 11/01/2008 Rev. 04/14/2009 Agenda Item No. 10B July 27, 2010 Page 126 of 138 Page VII -3 b. FTA's Role and Responsibilities. FTA has developed an appeals process for reviewing protests of a recipient's procurement decisions. (1) Requirements for the Protester. The protester must: (a) Qualify as an "Interested Party." Only an "interested party" qualifies for FTA review of its appeal. An "interested party" is a party that is an actual or prospective bidder or offeror whose direct economic interest would be affected by the award or failure to award the third party contract at issue. 1 Subcontractors. A subcontractor does not qualify as an "interested party" because it does not have a direct economic interest in the results of the procurement. 2 Consortia/Joint Ventures/Partnerships/Teams. An established consortium, joint venture, partnership, or team that is an actual bidder or offeror and is acting in its entirety, would qualify as an "interested party" because it has a direct economic interest in the results of the procurement. An individual member of a consortium, joint venture, partnership, or team, acting solely in its individual capacity, does not qualify as an "interested party" because it does not have a direct economic interest in the results of the procurement. 3 Associations or Organizations. An association or organization that does not perform contracts does not qualify as an "interested party," because it does not have a direct economic interest in the results of the procurement. (b) Exhaust Administrative Remedies. The protester must exhaust its administrative remedies by pursuing the recipient's protest procedures to completion before appealing the recipient's decision to FTA. (c) Appeal Within Five Days. The protester must deliver its appeal to the FTA Regional Administrator for the region administering its project or the FTA Associate Administrator for the program office administering its project within five (5) working days of the date when the protester has received actual or constructive notice of the recipient's final decision. Likewise, the protester must provide its appeal to the FTA Regional Administrator for the region administering its project or the FTA Associate Administrator for the program office administering its project within five (5) working days of the date when the protester has identified other grounds for appeal to FTA. For example, other grounds for appeal include the recipient's failure to have or failure to comply with its protest procedures or failure to review the protest. (2) Extent of FTA Review. As provided in the Common Grant Rule for governmental recipients, FTA will limit its review of third party contract protests as follows: Agenda Item No. 10B July 27, 2010 Page 127 of 138 Page VII -4 FTA C 4220.1F 11/01/2008 Rev. 04/14/2009 (a) The Recipient's Procedural Failures. FTA will consider a protest if the recipient: 1 Does not have protest procedures, or 2 Has not complied with its protest procedures, or 3 Has not reviewed the protest when presented an opportunity to do so. (b) Violations of Federal Law or Regulations. FTA will not consider every appeal filed by a protestor of an FTA recipient's protest decision merely because a Federal law or regulation may be involved. Instead, FTA will exercise discretionary jurisdiction over those appeals involving issues important to FTA's overall public transportation program. FTA will refer violations of Federal law for which it does not have primary jurisdiction to the Federal authority having proper jurisdiction. (c) Violations of State or Local Law or Regulations. FTA will refer violations of State or local law to the State or local authority having proper jurisdiction. (3) FTA Determinations to Decline Protest Reviews. FTA's determination to decline jurisdiction over a protest does not mean that FTA approves of or agrees with the recipient's decision or that FTA has determined the contract is eligible for Federal participation. FTA's determination means only that FTA does not consider the issues presented to be sufficiently important to FTA's overall program that FTA considers a review to be required. 2. CHANGES AND MODIFICATIONS. a. The Recipient's Role and Responsibilities. The recipient is responsible for issuing, evaluating and making necessary decisions involving any change to its third party contracts, and any change orders, or modifications it may issue. The recipient is also responsible for evaluating and making the necessary decisions involving any claim of a constructive change. In general, FTA expects each recipient to comply with the following procedures: (1) Approval Requirements. FTA expects the recipient to have cost justifications supporting each change order it may issue. FTA also expects the recipient's authorized official to approve any proposed change order before it is issued. (2) Cost Restrictions. To be eligible for FTA assistance under the recipient's grant or cooperative agreement, the cost of the change, modification, change order, or constructive change must be allowable, allocable, within the scope of its grant or cooperative agreement, and reasonable for the completion of project scope. Agenda Item No. 10B July 27, 20't 0 Page 128 of 1 J8 FTA C 4220.1F Page VII -5 11/01/2008 Rev. 04/14/2009 A more extensive discussion on Changes and Modifications can be found in FTA's Best Practices Procurement Manual (BPPM). b. FTA's Role and Responsibilities. FTA does not participate in the recipient's decisions involving change orders, constructive changes, or modifications, but reserves the right to review the recipient's supporting documentation as necessary to determine the extent of FTA assistance that may be used to support those costs. 3. DISPUTES. a. The Recipient's Role and Responsibilities. The Common Grant Rules charge the recipient with responsibility for evaluating and resolving third party contract disputes. If the recipient intends to request FTA's permission to use Federal assistance to support payments to a third party contractor to settle a dispute, or even intends to request increased Federal assistance for that purpose, the recipient's responsibilities are as follows: (1) Notify FTA about Disputes. FTA expects the recipient to provide the following information in connection with third party contract disputes in which it is involved: (a) Subjects. A list of disputes involving third party contracts and potential third parry contracts that: I Have a value exceeding $100,000, 2 Involve a controversial matter, irrespective of amount, or 3 Involve a highly publicized matter, irrespective of amount. (b) Details. The following information about each dispute: I A brief description of the dispute, 2 The basis of disagreement, and 3 if open, how far the dispute has proceeded, or 4 If resolved, the agreement or decision reached, and 5 Whether an appeal has been taken or is likely to be taken. (c) When and Where. The recipient should provide this information: 1 In its next quarterly Milestone Progress Report, and 2 At its next Project Management Oversight review, if any. Agenda Item No. 10B July 27, 2010 Page 129 of 138 Page VII -6 FTA C 4220.1F 11/01/2008 Rev. 04/14/2009 Small recipients may report less frequently if no disputes are outstanding. (d) FTA Officials to Notify. FTA also encourages the recipient to keep its FTA project manager informed about disputes with which it is involved. In particular, the recipient should contact its project manager about any unusual activity. (2) Adequate Documentation. FTA expects the recipient to include adequate documentation in its project files of the facts, events, negotiations, applicable laws, and a legal evaluation of the likelihood of success in any potential litigation involving the dispute as may be needed to justify FTA's concurrence in any compromise or settlement of the dispute, should FTA concurrence become necessary. (3) Audit. An audit can help the recipient demonstrate that any settlement costs, if incurred, are necessary, reasonable, adequately documented, and appropriate for FTA support. The recipient should consider conducting or obtaining a formal audit to substantiate each part of a large contract dispute before entering into a settlement. The audit should be conducted in accordance with "Generally Accepted Auditing Standards" as defined by the American Institute of Certified Public Accountants. FTA also encourages the recipient to undertake an audit or similar analysis before settlement of a smaller dispute. b. FTA's Role and Responsibilities. FTA generally does not become involved in negotiating the resolution of a recipient's disputes. However, FTA does reserve the right to become involved as follows: (1) Determine Reasonableness. FTA may review the reasonableness of a negotiated settlement to determine the extent of its participation in the costs of the settlement. (2) Review Documents. When FTA considers necessary, FTA may review the recipient's files and history pertaining to the dispute or experience under a particular grant or cooperative agreement. If the recipient has already disbursed amounts determined to be ineligible through subsequent audit or FTA review, the recipient must return those amounts to FTA, unless FTA determines otherwise. FTA reserves the right to defer participation in settlement costs until it receives an adequate audit. 4. CLAIMS AND LITIGATION. a. The Recipient's Role and Responsibilities. The Common Grant Rules charge the recipient with responsibility for evaluating and resolving third party contract claims and litigation resulting from a contractor's violation, default, or breach of its third party contracts with recipients of Federal assistance. The recipient is also responsible for resolving any claims and litigation the contractor may present against it. Due to FTA's financial interest in the settlement of third parry contract claims and litigation, and Agenda Item Flo. I 3 July 27, 2010 Page 130 of 138 FTA C 4220.1F Page VII -7 11/01/2008 Rev. 04/14/2009 concerns about matters with significant policy consequences to the Federal Government, FTA expects the recipient to: (1) Notify FTA about Claims and Litigation. FTA expects the recipient to provide the following information in connection with third party contract claims and litigation with which it is involved. (a) Subjects. A list of claims and litigation involving third party contracts and potential third party contracts that: I Have a value exceeding $100,000, 2 Involve a controversial matter, irrespective of amount, or 3 Involve a highly publicized matter, irrespective of amount. (b) Details. The following information about each claim or lawsuit: I A brief description of the claim or litigation, 2 The basis of disagreement, and 3 If open, how far the claim or litigation has proceeded, or 4 If resolved, the decision or agreement reached, and 5 Whether an appeal has been or is likely to be taken. (c) When and Where. The recipient should provide this information: 1 In its next quarterly Milestone Progress Report, and 2 At its next Project Management Oversight review, if any. Small recipients may report less frequently if no claims or litigation are outstanding. (d) FTA Officials to Notify. FTA also encourages the recipient to keep its FTA project manager informed about claims and litigation with which it is involved. In particular, the recipient should contact its project manager about any unusual activity. (2) Legal Rights and Remedies. In resolving third party contract claims, FTA expects the recipient to take reasonable measures to pursue its rights and remedies available under law, including settlement, particularly if failure to do so would jeopardize the Federal interest in the project or cause the recipient to seek additional Federal assistance. Page VII -8 Agenda Item No. 10B July 27, 2010 Page 131 of 138 FTA C 4220.1F 11/01/2008 Rev. 04/14/2009 b. FTA's Role and Responsibilities. In support of its financial interest in the settlement of claims and litigation involving any federally assisted third party contracts, FTA has retained its discretion to assert the following rights: (1) Proceeds Recovered. FTA retains a right to a share of any net proceeds recovered through a third party contract claim or litigation, in proportion to the amount FTA has committed to the project, unless FTA permits other uses of the proceeds recovered. (2) Liquidated Damages. If the third party contract includes a liquidated damages provision, FTA expects the recipient to credit any liquidated damages recovered to the project, unless FTA permits other uses of the liquidated damages. For example, in negotiating the terms of a claim or litigation settlement, it may be reasonable for the recipient to exchange some or all liquidated damages that may be due the recipient for additional property or services. 5. FTA PARTICIPATION IN SETTLEMENTS, ARBITRATION AWARDS. AND COURT AWARDS. a. The Recipient's Responsibilities. (1) Settlement Arrangements Must Be Reasonable. FTA recognizes that a settlement may require the recipient to relinquish its rights to amounts it would otherwise be due, including amounts for liquidated damages and other matters, were it to prevail on all matters at issue. Still, FTA expects the recipient to enter into a settlement only if the recipient can justify its terms as reasonable. Reasonable settlement arrangements can take many forms. In certain situations, an agreement by the contractor to provide extra property or services in lieu of payments or reduced payments for damages, including liquidated damages, may be reasonable. (2) Maintain Sufficient Records. To justify FTA's participation in settlements, arbitration awards, or court awards, the recipient's records must be sufficient to demonstrate that the recipient has taken reasonable and prudent measures to prevent or offset the actions or circumstances resulting in the underlying protest, dispute, claim, or litigation. (3) Obtain FTA Concurrence. When the recipient incurs costs due to binding arbitration or court decision, FTA expects the recipient to secure FTA review and its written concurrence in a proposed or final settlement involving a dispute, claim, or litigation before using Federal assistance to support its costs if one of the following circumstances is present: (a) More Than $100.000. When the settlement exceeds $100,000. (b) Insufficient Funds. When the approved project lacks sufficient funds to cover the settlement costs. FTA C 4220.1 F 11/01/2008 Rev. 04/14/2009 Agenda Item No. 10B July 27, 2010 Page 132 of 138 Page VII -9 (c) Special Federal Interest or Federal Concern. When a special Federal interest or Federal concern is declared due to program management concerns, possible mismanagement, impropriety, waste, or fraud. b. FTA's Prerogatives. (1) Review Supporting Documentation. FTA reserves the right to review the recipient's supporting documentation. (2) Provide Federal Assistance. If FTA assistance is available, FTA may provide a prorated share of any eligible costs resulting from protests, disputes, claims, litigation, or settlements that were not caused by the recipient's mismanagement or are attributable to the contractor, and were otherwise properly incurred. (3) Deny Federal Assistance. Protests, disputes, claims, litigation, or settlements that result from the recipient's negligence or error are usually ineligible for FTA participation. FTA reserves the right to determine the extent to which FTA assistance may be used for any dispute, claim, litigation, or settlement caused in whole or part by the recipient's negligence or error. Examples of situations that might be caused by a recipient's negligence or error include, but are not limited to, the following: (a) Right -of -Way. Failure to ensure clear access to all needed right -of -way prior to award of the construction contract. (b) Utility Agreements. Failure to execute all required utility agreements in time to assure uninterrupted construction progress. (c) Planning and Scheduling. Failure to undertake comprehensive project planning and scheduling to achieve proper coordination among contractors. (d) Subsurface Conditions. Failure to inform potential contractors of all available geo- technical information on subsurface conditions. (e) Materials Compatibility. Failure to ensure that all materials provided by the recipient are compatible with contractor project facilities or equipment or both and available when needed. (f) Pre- Construction Surveys and Engineering. Failure to complete all pre - construction surveys and engineering prior to issuing the contractor a Notice to Proceed. (g) Public Authority Approvals. Failure to complete the necessary approvals and agreements from all other public authorities affected by the project before contract award. Agenda Item No. 106 July 27. 2010 Page 133 of 138 Page VII -10 FTA C 4220.1F 11/01/2008 Rev. 04/14/2009 (h) Drawing Annrovals. Failure by the recipient to approve and provide all design and shop drawings to the contractor promptly as needed. Date: April 28, 2010 3 Agenda Item No. 10B July 27, 2010 I�n Page 134 of 138 Attendance Sheet Selection Committee Meeting Vendor Sign -in RFP # and Name: RFP 10 -5455, Mgt Services for CAT Fixed and Paratransit Routes �,I� ��/ Name: � d� -G/ PLEAS Company: I;— 1 �y Address: Z!�_i5'� A) V fig, Sy + City: —I'll iC- --4\ State: �� Zip: / Telephone: X:— lS3a FAX Email: /s I Le ✓ ; t} Los!' cJS E PRINT Name: Company:. 4LG7�< Address: j 600, C04L -sa City: Sq- G� Stater Zip: /0 Telephone: Jr% 3 - 392 -?A Ga FAX: _ S I D- /— 1 S 6/ Email: 'kU V(j 110 Ie"kapif /stC C Nam /SON / °fi�`G/105LC Name: Company: TEGz�ans Company: Address:1pOS.3 (:U.Ccry�i¢y�//c� Address: a/"t City: O S City: State: � Zip: State: Zip: Telephone: 411/% -3o2a3 Telephone: FAX: yS cp 6 7;7z FAX: Email:. �p�gS2nC ca,Y Email: , z 1,z 1 Z./ G/ Acqulstions/TechFormsandLetters /Selection gsigr SRevised: 4/12/10 Agenda Item No 10B „Q„July 7 010 _. climpe�er qty 'I /� Attendance Sheet AdT*fA- eServicesDiaision U � '✓1�0 (/�S Selection Committee Meeting Purchasing Vendor Sign -in Date: April 28, 2010 RFP # and Name: RFP 10 -5455, Mgt Services for CAT Fixed and Paratransit Routes Name: Compa Address City: _ SE PRINT Name: �R Y r— 1�1 -ICCompany: J) fty�tj `] wff- �fr'g, Address: _ 3 S aO 9AlhV/}I'LL -4� / 7j City: LJ&t2-TN State: &CC Zip: State: _ % Zip: Ae 13 % Telephone: ) ���j�� p —���y� Telephone:_ J"/ Z , Z j 7- r{{��n� \ FAX: /L7_ ?Ii37- .9�Gn0 Email: —ts)L llns(x 1444 , (LO V\Email: .� y] II �+, te<, tf. ��, exxe�+ r, tw���« �t« �, te�xre�� +:x,tee:ts:��r�:�,tex�o+e��te :.err.• Name: Q /l(}S h Flvt v C\ p Name: Company: l / t { C� ( Company: Address: am Address: City: Q AP to . State: 413, d G` Zip: Telephone: (- 3Q) /�qa -S /1X) FAX: Z3J ` ISQto -7 Z 77 (�}gCe Email: COL v (OS V'i)f erc-<P Col (ttr�av,i�efJ. City: State: Zip: Telephone: I�K� Email: G /Acq u istio n s/Tech Fo rmsa ndLette rs /SetectionComm itteeMe eting Sig ninsheet Revised: 4/12110 • a Date: April 28, 2010 Agenda Item No. 108 July 7, 2010 � I�nk� f 138 Attendance Sheet Selection Committee Meeting Vendor Sign -in RFP # and Name: RFP 10 -5455, Mgt Services for CAT Fixed and Paratransit Routes Name: PLEASE PRINT/ � ) Ir L Name: a n 1 �!_ Va,1 Company: q, \�wy��� Company:�{J�irONk Address: Address: 35' G P P (} L City: State: Zip: (} Telephone:_ D b D FAX: Email _ 0 �(J &C) Name: Company: _ M .1A\nW I CYO� Address: �a �� 4 City: State: _ 0 _. —. —,_ Zip: Telephone:__ (20 z7j) —Z1I5ri FAX: a3�-L3/ Email: r\^( Cc, t_ q °L City: A l) -e-5 State: /z1- Zip: Telephone: )S1— 530-010o FAX: 2,i'— 4 3Y- G 4 _) Email: 6., -2R 0 - DOLPdrti ��� SP•c�pfrcn cv -� Name: Address: City: State: Zip: Telephone: FAX: Email: G /Acquistion �U,2-0— )0'q S 4/12/10 Date: April 28, 2010 Agenda Item No. 10B July 27, 2010 W1137 of 138 Attendance Sheet Selection Committee Meeting Vendor Sign -in RFP # and Name: RFP 10 -5455, Mgt Services for CAT Fixed and Paratransit Routes Name: /�/GL� PLEASE _ � �- �YYI{� I ��IL -- Company: AAV kAO'5PO/'nA -j 0A Address:. 6i0 dmm 825 L N - j –'SIB• ZOO City: j'7q ►�/P F t L]� State: — CA Zip: Telephone: 707-?& 3 – $ 9 8!J PRINT _ Name: �N_ z* � 1 • F"A1+V b6Z_ Company: M V �97,1 TIDN Address: 10O2D /3 hT Y/j)6 ➢�lVe City: Orelwbt? State: fL Zip: 32F22— Telephone: X: FAX: Email: h Y// Email: e w Y' _s Copt - ,ma ltde- : -(2I)f L oq.4.1, C©•q Name: C2L? Name: Company: /1/tY Tc3r��/J�j �i;� , Company: i Address: 3r_ Op��s �a„o Address: City: City: State: Zip: 9!/MF� State: Telephone: ���•�/j� / S�9 Telepl FAX: rte- S'�� i1'7 L FAX: Em ail:�jrJ�a�p�„Q�frai�ci� Email: Zip: G /Acqu istions/ TechForrnsandLetters/ SelectionCommitteeMeetingSigninSheet Revised: 4/12/10 Ct3it> erJ 4r, �y AdmatistrEM Ser km Division Purchasing Date: April 28, 2010 Agenda Item No. 10B July 27, 2010 Page 138 of 138 Attendance Sheet Selection Committee Meeting Collier County Department Sign -in RFP # and Name: RFP 10 -5455, Mgt Services for CAT Fixed and Paratransit Routes r , , 1-1 - J S 4.lGi e.i (� ,n /f t P./n f�.J F\- T M - T� °---s p o r -i e. +; a •.. G /Acq uistionsl fechFormsandLetters/ SelectionCommitteeMeetingSigninSheet Revised: 4/12/10