on-call accident and hazard investigation services · pdf fileon-call accident and hazard...

ON-CALL ACCIDENT AND HAZARD INVESTIGATION

SERVICES RFQ

Dovetail Consulting

1777 Phoenix Parkway College Park, Georgia 30349

(770) 603-3113

Dovetail Consulting

Submittal Packet A

DOVETAIL CONSULTING

RFQ WSDOT Rail Safety and Security Oversight Support Services June 20, 2017 Page 1 of 19

Criteria 1: Qualifications/ Expertise of Firm The Dovetail Consulting will serve as the prime and sole firm on this contract. We are comprised of a team of highly qualified professionals with nationally recognized experience in the design, development, implementation and oversight of rail transit safety, security and emergency management policies, programs and procedures. Dovetail’s role with State Safety Oversight Agencies (SSOAs) includes development and implementation of State Bus and Rail Safety, Security, and Emergency Management Oversight Programs. With over 50 years of combined transit specific experience and 14 years in business, Dovetail Consulting brings direct knowledge of transit Safety, Operations, Planning, Training, Hazard Management, Accident Investigation, Safety & Security Certification, Auditing, Corrective Action Planning, Security, and Emergency Management. Dovetail’s experience and expertise spans all phases of transit related projects to include: planning, design, engineering, construction, implementation, and project closeout.

Dovetail serves as a technical expert to our clients, including Georgia DOT and Arizona DOT for the oversight of urban circulator, small starts, new starts/major capital projects as well as the oversight of mature transit systems. Our oversight program activities include development and implementation of Rail Safety and Security Oversight Program Standards, Safety and Security Management Plans, System Safety Program Plans, System Security Plans (SSP), Security and Emergency Preparedness Plans (SEPP), Continuity of Operations Plans, Internal Audit Program plans, hazard management processes, Accident/Incident Investigation Plans and other related Standard and Emergency Operating plans and procedures. We provide direct support to ensure State Safety Oversight (SSO) compliance with all federal requirements, Safety Advisories, and guidance documents.

Our work on recent consulting engagements include FTA PMOC projects, where Dovetail’s role is to analyze safety and security progress on major capital projects; positively and constructively interacting with the Grantee to solve problems; and maintaining objectivity in discussions of findings, conclusions and recommendations with FTA and the Grantee. On behalf of the FTA, we assess the adequacy of the Grantee’s implementation of and compliance with the Safety and Security Management Plans, System Safety Program Plans, Safety and Security Certification Plans, and related safety, security, testing, and pre-revenue operations plans during design, construction and start-up phases. We serve as trusted advisors to FTA when determining the Grantee’s ability and readiness to perform safety and security management activities and help inform FTA’s recommendation for project advancement and entry into revenue service. We provide these same safety and security certification services for to transit clients to include Metro Transit in Minneapolis and the city of Charlotte. We lead the project teams on both projects through the safety and security certification process to ensure compliance with all FTA requirements.

For Florida DOT, Dovetail successfully performed the on-site safety and security audits of the City of Miami Trolley, Town of Miami Lakes and City of Coral Gables for compliance with FDOT Rule Chapter 14-90, Florida Administrative Code: Equipment and Operational Standards for Bus Transit Systems. These bus audits were conducted to ascertain compliance with this rule and delivery of safe passenger service. The compliance requirements included the development of and adherence to a System Safety Program Plan (SSPP), Hazard and Security Plan (HSP), performance of safety and security inspections of all operational buses, documentation of compliance with equipment and operational safety and security standards, and safety and security monitoring of covered contractors.

For Florida DOT, we have also served as the lead safety and security firm, part of a multidisciplinary team that is performing the triennial reviews for 39 agencies in FDOT District Six who have received 5310 funds in the past three fiscal years. For each 5310 agency, Dovetail is responsible for reviewing all applicable procedures, guides, requirements and resources for the safety and security review element according to the requirements defined in FDOT’s Triennial Review Guide, State Management Plan procedures, and other reference materials particularly the Transportation Operating Procedure for 5310 Only Recipients. Dovetail is performing several

DOVETAIL CONSULTING


core tasks for each triennial review: desk review, on site visit, draft report, final report, and corrective action plan monitoring. During the desk review, we review the wide range of documents, identify policy or program gaps, missing information, clarification needs, and any other questions that must be addressed during the site visit. During the site visit, we conduct interviews, review training and personnel records, and gather any other information needed to complete the review. During the post-site visit, we prepare draft and final reports which include recommendations to successfully address identified deficiencies and contribute to an improved transportation safety program and compliance to FDOT requirements.

For bus and rail transit agencies, Dovetail’s role includes assisting with the development of an overall safety and security program that prevents accidents, incidents and hazards for the existing rail system and system modifications and extensions; communicating to all participants and levels of the organization that safety and security are integral parts of an efficient and quality project; and provide ongoing program support including the development and implementation of System Safety and Security Management Plans, System Safety Program Plans, System Security Plans, Security and Emergency Preparedness Plan, Internal Audit Program Plans, Hazard Management Plans, Accident / Incident Investigation Plans and procedures, Safety and Security Certification Plans, including design criteria conformance and construction specification conformance checklists, and procedures for safety and security certification. Criteria 1.B & C: Team/ Office The Dovetail team operates from its corporate office which is located at: 1777 Phoenix Pkwy., Suite 306, College Park, GA. 30349. If awarded, Dovetail Consulting would service all aspects of this contract. The resources that will be assigned to this contract would come from the corporate office. Scalability of staff resources to meet potential expanded scope will be achieved through the assignment of existing analysts or through the acquisition of additional staff resources. Criteria 1.D: Availability of Key Team Members The scope of services listed in this RFQ are broadly categorized within the On-Call Transit Safety Technical Assistance requirements as Industrial Safety, Rail Transit Operations and Maintenance, Safety Management Systems, Safety Certification, and Engineering Design Review. Based upon our knowledge of the actual work requirements of an SSO program, Dovetail has further detailed the tasks and activities involved and aligned them as “Resource Strengths” of each proposed Team Member.

Key Team Member Resource Strengths Hours Available Mignon Allen A, B, C, D, E, F, G, H, I, J, K, L, M 90 hrs./ month

Monty Montgomery A, C, D, F, G, H, I, L, M 45 hrs./ month

Wilford Allen A, C, D, F, G, H, I, L, M 40 hrs./ month

Fred Mead D, F, G, H, I, L, M 20 hrs./ month

Larry White D, F, G, H, I, L, M 120 hrs./ month

Frank Ward F, G, I, L 15 hrs./ month

Lisa Landry J 40 hrs./ month

Resource Strength Key

A. Project Management B. FTA Reporting C. Program Standard Updates D. SSPP, SSP Reviews E. Internal Audit Annual Reports, F. Investigations – Accidents, Hazards, Incidents G. Three Year Audits, Special Assessments H. Corrective Action Plans (CAPs) I. Safety and Security Certification Plans (SSCPs) J. Safety Training Program (TTPs)

DOVETAIL CONSULTING


K. Transit Asset Management L. Engineering & Construction M. MAP-21 Transition (CWP)

Criteria 2: Qualifications of Proposed Project Manager

The proposed Project Manager for this contract would be President/ CEO Mignon Allen. Prior and/or current responsibilities for the SSO program areas include: established and implemented Program Standards; review System Safety Program Plans, System Security Program Plans, Security and Emergency Preparedness Plans, Accident/Incident Investigation Plans, and Emergency Management Plans; review Internal Audit schedules, reports, and audit materials; review Hazard Procedures/Reports; review Accident/Incident Procedures and Reports; conduct three-year on site safety and security reviews; review Corrective Action Plans; assist SSO in resolving all open audit findings from the FTA reviews (including operational readiness reviews for New Starts); and prepare reports of accidents/incidents, hazardous conditions, corrective action plans or other program information at the request of FTA for the following SSOs:

Arizona Department of Transportation - oversees the Valley Metro bus and light rail system in Phoenix, AZ and the Sun Link streetcar system in Tucson, AZ.

Georgia Department of Transportation - oversees the Metropolitan Atlanta Rapid Transit Authority, a bus and heavy rail system in Atlanta, GA and the Atlanta Streetcar System in Atlanta, GA.

As a past and current Project Manager for numerous SSO programs, Ms. Allen is well acquainted with all FTA requirements to include: 49 CFR 659, 49 CFR 674 (State Safety Oversight), 49 CFR 673 (Public Transportation Agency Safety Plan), 49 CFR 670 (National Safety Plan), 49 CFR 672 (Interim Safety Certification Training Provisions), 49 CFR 625 and 630 (Transit Asset Management), Certification Work Plan, Technical Training Plan, Safety Security Certification Plan requirements, and FTA Project Management Plan requirements. These requirements as well as other Advisories and Guidance documents issued by the FTA have been and continue to be effectively implemented within the two SSO programs listed above. Ms. Allen has worked in numerous functional areas within transit and therefore has a practical understanding rail fixed guideway systems. She received her TSI Transit Safety and Security Program (TSSP) certification in September 2, 2011. She is recognized nationally as a transit safety expert; her extensive knowledge has translated into numerous opportunities to lead the Project Management Plan (PMP) process an FTA contractor PMOC across the country to include: St. Louis Loop Trolley, Silicon Valley Berryessa Extension (SVBX), and the Santa Clara Valley Transportation Authority (VTA) projects.

Project Schedules for the GDOT, ADOT, and HDOT projects have been managed through the

alignment of tasks and deliverables within the respective SSO Program Standards. Hazard

Management meetings, Internal Audits, Monthly and Annual Reports as well as other deliverables are

called for at certain times. These dates are placed within the annual schedule for each contract.

Specific contract scope items are added to the schedule based upon agreed expectations.

As discussed in the Project Approach, the scope of work and potential scope creep are managed

during the initial Kick-off meeting. Contract deliverables are discussed and agreed upon; due dates

for each deliverable is established and added to the master schedule.

Budget issues are anticipated in any project, and based upon our experience with unplanned FTA

expectations arising out of new rules or advisories, a certain contingency budget is typically

presented. As detailed in the Project Approach section, when unexpected or unavoidable changes

DOVETAIL CONSULTING


arise, the Project Manager and the COO in coordination with the SSO will attempt to incorporate the

change into the current budget by shifting priorities or eliminating other tasks.

DOVETAIL CONSULTING


Criteria 3: Key Team Members Qualifications Mignon Allen, President / Sr. Rail Safety and Security Professional Role/Responsibility: Project Manager a. Prior Relevant Projects

Project Manager: GDOT SSO Master Contract / Dec. 20, 2012 – Current

Project Manager: ADOT State Safety Oversight Contract / Sep. 30, 2013 – Current

Project Manager: City Lynx Gold Line Streetcar / Jun. 1, 2011 – Aug. 1, 2019 b. Relevant Technical Experience

Mignon Allen has extensive experience as the Project Manager for our current safety and security projects with Georgia DOT SSO, Arizona DOT SSO, Florida DOT, FTA Office of Project Management Oversight, City LYNX Gold Line Streetcar System Phase II (Charlotte, NC), Metro Transit Blue Line Light Rail Extension (Minneapolis, MN), and GO Triangle Light Rail System (Durham/Raleigh, NC). With over 20 years in the public transportation industry, Ms. Allen is an exceptional management resource with a solid track record of developing and implementing Program Standards and Procedures for Departments of Transportation that serve as designated state safety oversight agencies. She has the proven ability to successfully engage a wide range of stakeholders in the policy and decision making process to ensure transit agency compliance with federal and state requirements for rail safety and security. Ms. Allen is an accomplished researcher, author, and implementer of safety and security programs for New Starts, Small Starts, system modifications, and mature operating agencies that expand the knowledge, participation, and ownership of safety and security plans and decisions at all levels -- federal, state, transit agency. To improve data management and reporting for safety certification programs, she developed a unique database software tool to capture, analyze, and report safety and security certification data on a daily basis, including design criteria conformance, construction/specification conformance, and testing status for streetcar, light rail, and other major capital projects. In recent years, Mignon has served as lead auditor in the three year on site audits of MARTA and Valley Metro (Phoenix). She has also conducted Safety and Security Readiness Reviews (SSRRs), Safety and Security Management Plan (SSMP) reviews, and special assessments of rail transit agency safety and security programs on behalf of the Georgia Department of Transportation, Arizona Department of Transportation, and FTA. In her capacity as Project Manager for our Rail Safety and Security Oversight (SSO) Program Support contracts, Mignon is responsible for the development and implementation of all SSO program areas: establish and implement Program Standard and procedures; review System Safety Program Plans, System Security Program Plans, Security and Emergency Preparedness Plans, Accident/Incident Investigation Plans, and Emergency Management Plans; review Internal Audit schedules, reports, and audit materials; review Hazard Management Procedures/Reports; review Accident/Incident Procedures and Reports; conduct three-year on site safety and security audits and special assessments, issue findings and corrective actions; review Corrective Action Plans; assist the SSO in resolving all open audit findings from the FTA reviews (including operational readiness reviews for New Starts); and prepare reports of accidents, security incidents, and hazards, corrective action plans or other program information at the request of FTA for the following SSOs: Georgia DOT, Arizona DOT, and Hawaii DOT. In her capacity as Rail Safety and Security Expert for our Project Management Oversight Consultant (PMOC) contracts, Mignon is responsible for assessing the adequacy of federal grantee’s implementation of and compliance with the Safety and Security Management Plans (SSMP), System Safety Program Plans (SSPP), Safety and Security Certification Plans (SSCP), and related safety, security, testing, and operational plans during design and construction phases. She advises her clients within the FTA Regional offices of the determination of grantee’s ability and readiness to perform safety and security management on the project that, in turn, informs FTA’s recommendation for project advancement. Her current

DOVETAIL CONSULTING


assignments include safety and security oversight of the Loop Trolley Streetcar System (St. Louis, MO) and the Santa Clara Valley Berryessa Light Rail Extension (San Jose, CA). In her capacity as Project Manager for our major rail capital projects for public transportation systems such as City LYNX, Metro Transit and GO Triangle, Mignon is responsible for the development and implementation of safety and security programs that must comply with 49 CFR Part 633 (Project Management Oversight), FTA Circular 5800.1 (Safety and Security Management Guidance for Major Capital Projects), and 49 CFR Part 674 (State Safety Oversight Final Rule). To date, all processes and plans prepared for our assigned projects have received full approval from the applicable State Safety Oversight Agency, FTA Regional Office, FTA Project Management Office, and FTA Transit Safety and Oversight Office.

c. TSI Transit Safety and Security Program (TSSP) Certification received September 2, 2011

DOVETAIL CONSULTING


Fred Mead, Sr. Rail Safety and Security Professional Role/Responsibility: Transit Subject Matter Expert a. Prior Relevant Projects

Transit Subject Matter Expert: GDOT SSO Master Contract / Dec. 20, 2012 – Current

Transit Subject Matter Expert: ADOT State Safety Oversight Contract / Sep. 30, 2013 – Current

Transit Subject Matter Expert: City Lynx Gold Line Streetcar / Jun. 1, 2011 – Aug. 1, 2019 b. Relevant Technical Experience

With over forty years in the public transportation industry Fred brings a wealth of knowledge and firsthand experience to nearly every aspect of transit management, planning, operations, maintenance, safety and security. Fred began his career at the Chicago Transit Authority and over the last decade has provided his unique insights and experience to transit agencies across the country including MARTA, MUNI, Port Authority and a range of mature transit systems and new starts. Fred has been personally involved in the development of planning, operations and safety plans and procedures that have become standards in the transit industry. Mr. Mead’s transit safety experience includes his role as System Safety Director for the Chicago Transit Authority and Manager of Systems Assurance for the Chicago Central Area Circulator Project. He developed and updated CTA’s SSPP, investigated accidents and maintained accident data, conducted field reviews of rail transit operations and maintenance, developed safety procedures, and oversaw employee safety and training programs. Mr. Mead was on APTA’s Safety Review Committee and participated in the development of APTA’s Rail Safety Audit Program. One of the prototype audits conducted by this committee took place at CTA, under Fred’s direction while he was System Safety Director. The Safety and Security Review Checklists included in the Program Standards across the country are based on the checklists developed by this committee; therefore, Fred Mead is extremely familiar with their contents and requirements. Fred has a wide range of SSO experience throughout the United States, including all aspects of safety and security oversight and auditing for Arizona DOT, Georgia DOT, Regional Transportation Authority (Illinois), and Tri-County Oversight Council (Washington, DC, Virginia, Maryland). Fred brings an incomparable, hands-on knowledge of bus and rail transit agencies because of his many years of experience in rail operations front line, supervisory, and management positions including: Supervisor of Safety Inspections/Investigations, System Safety Monitor/Inspector, Rail Operations Instructor, Transportation Operations Supervisor, Rail Transportation Controller, Rail Operations Towerman, Rail Operations Yard Foreman, Rail Transportation Switchman, Motorman and Conductor, Signal Maintainer, and Rail Car Serviceman. He brings his exceptional transit talent to our major capital projects which City of Charlotte CityLYNX Streetcar System, Hampton Roads Transit Light Rail System (Norfolk, VA), New Orleans Regional Transit Authority, Port Authority of Allegheny County (Pittsburgh, PA), Metro Transit Hiawatha and Blue Line Light Rail Transit Projects (Minneapolis, MN). In previous years, Fred prepared the Safety Certification Plan and System Safety Program Plan for the both the Stage II and North Shore Connector Light Rail Projects for the Port Authority of Allegheny County (Pittsburgh, PA). Also for the Port Authority, Fred updated the Rail Safety Rule Book and Rail Standard Operating Procedures to reflect modifications in operating policy and procedures that resulted from the implementation of the Stage II Light Rail Project. Most recently, Fred updated the Port Authority’s System Safety Program Plan and Security and Emergency Preparedness Plan.

DOVETAIL CONSULTING


Monty Montgomery, Sr. Rail Safety and Security Professional Role/Responsibility: Asst. Project Manager a. Prior Relevant Projects

Asst. Project Manager: GDOT SSO Master Contract / Dec. 20, 2012 – Current

Asst. Project Manager: ADOT State Safety Oversight Contract / Sep. 30, 2013 – Current

Emergency Management Subject Matter Expert: City Lynx Gold Line Streetcar / Jun. 1, 2011 – Aug. 1, 2019

b. Relevant Technical Experience

Monty’s career spans over 30 years across several industries of safety, security and emergency management. Before he retired as a Captain with the Atlanta Fire Department, he developed emergency response ‘pre-plans’ for critical infrastructures to include Turner Field and subsequently served as the Incident Commander of the facility during the 1996 Olympic Games. He held progressively responsible administrative and management positions and was directly involved in process re-engineering, strategic planning, performance metrics analysis, project management and Incident Command System implementation. He also conducted fire life safety hazard analysis and mitigation countermeasure identification and implementation. His experience has proven helpful in the oversight of transit infrastructure susceptible to fire hazards and subject to the standards established by the NFPA. After the 9/11 attacks, Monty accepted the responsibility of establishing a new aviation security program for Delta’s subsidiary, Atlantic Southeast Airlines to comply with the newly established federal mandates from the Transportation Security Administration (TSA). As a member of the Critical Incident Review Team, he evaluated all potential safety and security incidents to perform root cause analysis. He conducted safety and security site assessments at numerous domestic and international airports to ensure compliance with state, federal and international safety and security mandates. Monty also conducted investigations and developed corrective action plans to mitigate findings. He was responsible for the implementation and management of the Aircraft Operator System Security Plan (AOSSP), which is similar in nature to the security plans required for rail transit agencies. At MARTA, the largest transit system subject to the oversight of the GDOT SSO program, Monty successfully revamped the System Safety Program Plan (SSPP) to effectively identify and close-out 90 open items during a six month period. In his capacity as the Security and Emergency Preparedness Manager, Monty directly oversaw the development and implementation of 16 security initiatives at MARTA totaling approximately $24 million dollars. Monty held leadership positions as the Manager of System Safety, Accident, Incident Investigations and the Coordinator of Security and Emergency Preparedness for the Authority. In these safety and security critical roles, Monty managed all aspects of both the System Safety Program Plan (SSPP) and the Security and Emergency Preparedness Plan (SEPP). At Dovetail Consulting, Monty assists in the implementation of many facets of the SSO program including accident, incident and hazard investigations, audits, inspections, and special assessments, quarterly hazard management meetings, and other routine and ongoing oversight activities. He also assists our rail transit clients in complying with state and federal requirements during system design, construction, testing, operations and maintenance. Monty also serves as Exercise Director for the system readiness drills at the City of Charlotte, CityLYNX Gold Line Streetcar System and core team member for the Washington Metropolitan Area Transit Authority’s Station Emergency Response and Evacuation Plan, Computer Based Training for Emergency Response, and 2016 Emergency Exercise projects.

c. TSI Transit Safety and Security Program (TSSP) Certification received August 11, 2011

DOVETAIL CONSULTING


Will Allen, Rail Safety and Security Professional Role/Responsibility: Budget & Safety Management a. Prior Relevant Projects

Budget & Safety Management: GDOT SSO Master Contract / Dec. 20, 2012 – Current

Budget & Safety Management: ADOT State Safety Oversight Contract / Sep. 30, 2013 – Current

Budget & Safety Management: City Lynx Gold Line Streetcar / Jun. 1, 2011 – Aug. 1, 2019 b. Relevant Technical Experience

Will has over 23 years of professional experience including the last 10 years in the rail transit industry. During his tenure with Dovetail Consulting, Will has provided a wealth of hands-on safety and security knowledge and experience gained during his career as a Police Officer with the City of Atlanta Police Department. Will earned his first Bachelor’s Degree in Telecommunications Management. He is currently pursuing a second Bachelor’s Degree in Civil Engineering from Kennesaw State University (formerly Southern Polytechnic University). As such, Will provides leadership and oversight of all program elements related to system security, emergency response, emergency preparedness, emergency drills and exercises, Threat and Vulnerability Assessments, Standard Operating Procedure, Emergency Operating Procedures, and life safety and law enforcement activities. He also oversees the implementation of the certification process of safety and security related elements for major capital projects undertaken by rail transit agencies subject to the state safety oversight program. Will also serves as a lead auditor for bus safety and security. Will significantly contributes to the implementation of programs subject to MAP-21, Section 5329, 49 CFR Part 674, State Safety Oversight Rule, including Georgia Department of Transportation (GDOT), Hawaii Department of Transportation (HDOT), and Arizona Department of Transportation (ADOT). He conducts research, analysis, document reviews, and provides technical advice and interpretation of standards, rules and procedures, particularly as they relate to security and emergency management. Will also manages safety and security projects for our projects with rail transit systems. For the Port Authority Light Rail System (Pittsburgh, PA), Will led the update of the SSPP and SEPP in order to comply with the program requirements specified by FTA in 49 CFR 659. He conducted document review, rules review, records review, interviews with senior management, interviews with safety personnel, interviews with other key personnel and site visits/field observations. Based on the results of the above activities, Will made the necessary plan updates to meet the requirements of the SSPP and Program Standard. He also assisted with the update of the Standard Operating Procedures and Emergency Operating Procedures for Light Rail to prepare for the implementation of the North Shore Connector light rail project. He routinely coordinated with the Port Authority Director of Safety, Chief of Police, and Chief of Pittsburgh Bureau of Fire. The same holds true in his ongoing work to support the oversight of the MARTA Police Department on behalf of GDOT. For the FDOT, District Six, Will conducted audits of Miami Trolley, Miami Lakes, Coral Gables, Key West Transit, and Guidance Care Clinic’s System Program Plans (SSPP) and Hazard and Security Plans (HSP) for compliance with FDOT Rule Chapter 14-90 (Florida Administrative Code: Equipment and Operational Standards for Bus Transit Systems). These audits were conducted to ascertain compliance with this rule and delivery of safe passenger bus service. The compliance requirements include the development of and adherence to a System Program Plan (SSPP), Hazard and Security Plan (HSP), performance of safety and security inspections of all operational buses, documentation of compliance with equipment and operational safety and security standards, and safety and security monitoring of covered contractors. Currently, Will is part of a large multi-disciplinary team assisting FDOT with its Triennial Review process. He is one of the lead auditors conducting the bus safety audits of the Transportation Operating Procedure

DOVETAIL CONSULTING


(which includes safety, event investigation, driver qualification, selection, and training) of all 5310-only agencies within the District (currently there are over 35 transportation providers).

c. TSI Transit Safety and Security Program (TSSP) TSI Transit Safety and Security Program Courses (Drug and Alcohol, Internal Audit, System Security)

DOVETAIL CONSULTING


Frank Ward, RA, Rail Safety and Security Professional Role/Responsibility: Construction Safety a. Prior Relevant Projects

Construction Safety: GDOT SSO Master Contract / Dec. 20, 2012 – Current

Construction Safety: ADOT State Safety Oversight Contract / Sep. 30, 2013 – Current

Construction Safety: City Lynx Gold Line Streetcar / Jun. 1, 2011 – Aug. 1, 2019 b. Relevant Technical Experience

Frank brings extensive experience in program and project management, construction management, safety and security certification, construction safety, cost controls, administration, and architectural design and planning, earned over the 35-year course of his career. For the past 21 years, Frank has focused on major transit development for MARTA, as Project Manager; Charlotte Area Transit System (CATS), as Construction Manager; HDR as Director of Construction, and most recently prior to joining Dovetail as Senior Project Manager for Atkins providing construction management and project management oversight (PMO) services to FTA. As program and project manager, Frank has been responsible for program/project scope development, schedules, budgets, designs, and contract documents. He has planned and administered the design and construction of new and renovation projects, from scope conception through construction completion, certification and commissioning to ensure project requirements were followed. While working directly for transit organizations, Frank has been responsible for the scope, schedule, budget, and completion of projects with budgets up to $463 million. He directed architecture and engineering consultants in civil and facility design and construction, supervised consultants and in-house staff in the preparation of contract documents, and coordinated design and construction performed by other agencies and developers working in the vicinity of MARTA, CATS, and HRT trackway and facilities. Frank’s construction management and safety experience includes the first segment of light rail for CATS in Charlotte, North Carolina and Hampton Roads Transit (HRT) light rail in Norfolk, Virginia. Frank’s experience has continued with his work as part of our SSO consultant team. As Design and Construction Manager, Frank actively participates in FTA reviews (including operational readiness reviews for New Starts) and performs construction field observations of guideway, stations, maintenance facility, trackwork, systems, and traction power including construction safety observations and develops reports. He is also frequently called upon to conduct reviews of Design Criteria Manuals, Technical Provisions, Project Management Plans, Construction Safety and Security Plans, Quality Assurance Programs and Non-Conformance Reports, and other safety related issues that arise during the design and construction phase of major capital projects. As Construction Manager with the PMOC team, Frank provides expertise in construction management, construction safety, and environmental in the oversight of FTA-funded major capital transit project. Frank reviews project sponsors’ construction plans and supporting documentation to ensure that projects are being built safely, on budget, on schedule, within scope, and in conformance with applicable regulations and guidelines. He performs construction field observations of guideway, stations, maintenance facility, trackwork, systems, and traction power including construction safety observations and develops reports. Mr. Ward is a frequently called upon technical resource and subject matter expert in the area of construction management on assigned bus and rail transit projects

DOVETAIL CONSULTING


Lisa Landry, Sr. Training and Development Professional Role/Responsibility: Technical Training Plan Manager a. Prior Relevant Projects

Technical Training Plan: GDOT SSO Master Contract / Dec. 20, 2012 – Current

Technical Training Plan: ADOT State Safety Oversight Contract / Sep. 30, 2013 – Current b. Relevant Technical Experience Lisa Ann Landry is a world-class learning and development professional with over 35 years of experience. She worked with companies like Fred Pryor Seminars that needed a Master Trainer who can deliver programs that ignite, inspire and transform frontline personnel and executive leadership. Ms. Landry provided training program creation and delivery that transformed thousands from frontline personnel to executive leadership. She is unlike many trainers who deliver a day lacking concrete applicable strategies and tools. Instead, Lisa’s programs ensure engagement, knowledge transfer, and skill development in a fast paced focused environment. She did this by working with senior level managers across organizations to maintain learning and development objectives. For over 35 years Ms. Landry has trained audiences in every state in America, in Canada, Australia and Japan. She has delivered training for organizations such as Seattle City Light, Microsoft Corporation, Clorox University, the U.S. Coast Guard, and Touro University, Honda North America, the U.S. /Japanese Air Force, NuScale Power and The Boeing Company. Lisa’s current responsibilities at Dovetail Consulting include assisting in the development of ADOT State Safety Oversight Agency’s Technical Training Plan (TTP) for covered personnel and contractor support personnel who perform safety audits and examinations. In accordance with Federal Public Transportation Act of 2012 (MAP-21), Section 5329 and as specified in 49 CFR Part 672, Interim Safety Certification Training Program Provisions. Within a three-year period from the adoption of the final rule, ADOT is required to identify the tasks related to inspections, examinations, and audits, and all activities requiring sign-off, which must be performed by the ADOT to carry out its safety oversight requirements, and identify the skills and knowledge necessary to perform each task at that system. Working under the direction of our Project Manager, Mignon Allen, Lisa is assisting to develop the skills of covered personnel for ADOT state employees who are directly responsible for safety oversight, and other designated personnel who conduct safety audits and examinations of public transportation systems and contractor support personnel who perform safety audits and examinations. The technical training curriculum will cover the following competencies: Program Standard and Implementation Procedures; Agency organizational structure, System Safety Program Plan and Security Program Plan, Knowledge of agency: Territory and revenue service schedules; Current bulletins, general orders, and other associated directives that ensure safe operations; Operations and maintenance rule books; Safety rules; Standard Operating Procedures; Roadway Worker Protection; Employee Hours of Service and Fatigue Management program; Employee Observation and Testing Program (Efficiency Testing); Employee training and certification requirements; Vehicle inspection and maintenance programs, schedules and records; Track inspection and maintenance programs, schedules and records; Tunnels, bridges, and other structures inspection and maintenance programs, schedules and records; Traction power (substation, overhead catenary system, and third rail), load dispatching, inspection and maintenance programs, schedules and records; Signal and train control inspection and maintenance programs, schedules and records; Vertical Transportation inspection and maintenance programs, schedules, and records; Technology inspection and maintenance programs, schedules, and records. The primary goal of the training is to enable the covered personnel to successfully accomplish the following objectives: Complete training that covers the skills and knowledge the covered personnel will need to effectively perform his/her tasks. Pass a written and/or oral examination covering the skills and knowledge required for the covered personnel to effectively perform his/her tasks. Demonstrate hands-on capability to perform his/her tasks to the satisfaction of the appropriate SSOA supervisor or designated instructor. Establish equivalencies or written and oral examinations to allow covered personnel to demonstrate that they possess the skill and qualification required to perform their tasks.

DOVETAIL CONSULTING


Complete biennial refresher training to maintain technical skills and abilities which includes classroom and hands on training, as well as testing. Maintain training records to demonstrate the current qualification status of covered personnel assigned to carry out the oversight program. c. Why Inclusion of the Key Team Member is Important Lisa is well underway with preparing a TTP, including a curriculum guide, syllabus, presentations, exams, and all other training materials for ADOT and GDOT. Because of this, Lisa will be able to readily leverage her research and progress for the benefit of WSDOT. Within three years of the final FTA rule for technical training, WSDOT must have its TTP implemented as part of its certification as an SSO agency. With Lisa dedicated to our TTP efforts, WSDOT would be very well positioned to meet, and even exceed, FTA’s expectations for enhanced training and qualifications of its SSO staff and contractors.

DOVETAIL CONSULTING


Larry White, RA, Rail Safety and Security Professional Role/Responsibility: Rail Safety a. Prior Relevant Projects

Rail Safety: GDOT SSO Master Contract / Dec. 20, 2012 – Current

Rail Safety: ADOT State Safety Oversight Contract / Sep. 30, 2013 – Current b. Relevant Technical Experience Larry White’s experience within the field of safety, security and emergency management, as well as occupational safety and health, environmental management and risk management has served diverse industries. As a Safety Manager with the Department of the Army, The Smithsonian Institution and, the District of Columbia, Mr. White accepted the responsibility of establishing an Occupational Health and Safety program based on Federal, State and local government regulations where no such program existed within those agencies. While with the Department of the Army, Mr. White was assigned to the G2 of the Military Traffic Management Command which was responsible for Safety and Security in support of transportation operations involving diverse facilities, multi modes of transportation (surface, rail and water) and, various military goods and munitions both domestically and abroad. An innovative change management agent with demonstrated success with major projects to ensure transit agency compliance with federal and state requirements for bus and rail safety and security. Serves as a safety/security expert on Federal Transit Administration (FTA) Oversight matters as a project consultant. Responsible for the development and implementation of the Program Standard on State Safety Oversight Agency projects and assisting the bus and/or rail transit clients in complying with state and federal requirements during system design, construction, testing, operations and maintenance. Establish and implement Program Standards; review System Safety Program Plans, System Security Program Plans, Security and Emergency Preparedness Plans, Accident/Incident Investigation Plans, and Emergency Management Plans; review Internal Audit schedules, reports, and audit materials; review Hazard Procedures/Reports; review Accident/Incident Procedures and Reports; conduct three-year on site safety and security reviews; review Corrective Action Plans; assist SSO in resolving all open audit findings from the FTA reviews (including operational readiness reviews for New Starts); and prepare reports of accidents/incidents, hazardous conditions, corrective action plans or other program information at the request of FTA. Mr. White’s strong presentation, communications, and leadership skills affords him the ability to develop productive relationships with stakeholders throughout a transit organization. c. TSI Transit Safety and Security Program (TSSP)

Certification received February 2016

DOVETAIL CONSULTING


Criteria 4: Firm’s Project Management System Quality is integral with all aspects of the project and applies to the full spectrum of project activity and to all members of the project team. Dovetail utilizes a structured approach to quality as outlined in the Federal Transit Administration’s (FTA) Quality Management System Guidelines, dated December 2012, FTA-PA-27-5194-12.1. Compliance with these guidelines is confirmed through formal auditing and submittal verification. As described in the project delivery approach, a key component of the Project Management Plan (PMP) approach are quality assurance / quality control processes. Dovetail’s internal quality control procedures of checks, verification, and re-checks govern all activities and deliverables. Criteria 5: Project Delivery Approach As Project Manager, Mignon give the team superior guidance, but she will also provide overall direction,

coordination and management of the project activities and key personnel. Mignon will draw upon the depth

of experience, technical skills and insights of her key team leaders as discussed in the Criteria 1 response.

To ensure project quality, timely communications and cost-effectiveness, Mignon will use a structured project

management strategy that includes the development and implementation of a Project Management Plan

(PMP) that describes our proven communications methods and quality assurance / quality control processes

for managing on-call contracts. As a supplement to the terms and conditions of the contract and scope of

services, the PMP will describe the organizational and project management framework for the SSO program.

The PMP will describe the roles and responsibilities of the project manager, key team leaders, and support

members. The PMP will list the core tasks, deliverables, and schedule consistent with the Program Standard

and the scope of services identified in the Project Description of the RFQ. The PMP will describe the

document management process, including the correspondence tracking system, for all paper and electronic

files for ease of retrieval and auditing purposes. The PMP will discuss, daily, weekly, monthly, and quarterly

conference calls, meetings, and site visits with the SSO Program Manager and the rail transit agencies. Such

communications are necessary to fully understand program expectations, to ensure consistency in our

technical approach, to maintain a cohesive team, and to ensure compliance with federal and state

requirements. The training section of the PMP will describe any rail transit agency specific training and

schedule for completion necessary to access worksites or receive safety/security clearances. The contract

management section of the PMP will describe the scheduling and budget monitoring systems that we have

successfully used to monitor costs and time expenditures by task, by personnel, or as otherwise directed by

WSDOT. This section of the PMP will also outline contract, invoice, and progress reporting requirements.

Lastly, the PMP will describe quality reviews conducted by the Project Manager to monitor progress and

provide direction to the technical team on a daily basis. The Project Manager will be required to review

completed work for adherence to contract scope requirements and Dovetail Consulting’s standards of quality.

The PMP is one part of the overall strategic framework for managing the SSO contract. The second part of the framework is the adopted Program Standard, which includes the technical approach and procedures for implementing the SSO program. As the author of other Program Standards for GDOT, ADOT, and HDOT, our firm is qualified and has a thorough understanding of MAP-21, section 5329, Public Transportation Safety Program, and how it affects the roles and responsibilities of WSDOT and the rail transit agencies in its jurisdiction. Under the direction of the WSDOT’s executive management, Dovetail Consulting will assist the WSDOT in achieving the goal of being fully compliant with all MAP-21, section 5329 mandates/final rule-making, and to be certified by the FTA as early as December 2017. To do so, our technical approach will include the following priorities. The first priority will be to follow-through on the FTA-approved action plan steps according to the schedule identified in the WSDOT Certification Work Plan (CWP). These action plan steps should involve the completion of a legal independence legislation, financial independence, enforcement authority, investigative and audit authority, and workload assessment reports. Based upon the results of these

DOVETAIL CONSULTING


analyses, our team will propose revisions the Program Standard, policies, and procedures for consideration by WSDOT, including procedures for annual reporting to the Governor, FTA, and WSTA Board of Directors. Our team will also assist the WSDOT in the facilitation of the CWP steering committee and ongoing activities to demonstrate enhanced investigative and audit capabilities of WSTA. The next priority is the implementation of the Technical Training Plan (TTP) for the Department’s SSO staff and contractors. In anticipation of this goal, Dovetail Consulting has expanded its staff to include a Sr. Training and Development Manager. Our efforts will include the development and delivery of a curriculum guide, syllabus, presentations, exams, and all other training materials for WSDOT. With seasoned personnel dedicated to TTP efforts, WSDOT will be very well positioned to meet, and even exceed, FTA’s expectations for enhancing the training and qualifications of its SSO staff and contractors. The third priority is bringing to closure any and all Corrective Action Plans (CAPs) identified as a result of any previous FTA Audits of the WSDOT SSO Program, or any previous Internal Audits of WSTA. This priority involves frequent and ongoing communications and monitoring of the rail transit agencies’ efforts to comply with the requirements of the findings. We would continue to follow the WSDOT’s procedures for CAP review and escalation, provide timely review and response to CAP logs, and hold regular hazard management meetings to provide technical assistance and clarify issues preventing resolution. An equally important priority is assisting WSDOT SSO with maintaining and advancing its reputation as a leader in the SSO community. Our approach will be to continue to apply our expertise to each of the required SSO program areas. Annual and Periodic Submissions to the FTA: We have considerable experience with managing the data required by the FTA online reporting tool, as well as effectively coordinating responses to FTA Safety Advisories such as right-of-way worker protection, tunnel ventilation assessment, and signal overruns. All of our prior submittals on behalf of GDOT and ADOT have met with the approval of the FTA. Program Standard Updates: We have fostered a close working relationship with the FTA Headquarters and Region 9 that will allow us to continue to incorporate effective best practices into the standards and procedures adopted by WSDOT. Agency Plans Reviews: We will ensure that WSTA uphold the requirements of the Program Standard through our comprehensive technical reviews of the safety and security plans submitted annually and in response to CAPs. A key area of focus for many transit agencies would be the development of an overall Corrective Action Plan Program (CAPP). Amongst the first actions, Dovetail would assess what the key areas of focus should be for WSTA. Internal Audit Annual Report: If any remain, we will continue to review and approve the internal safety and security audit annual reports submitted by WSTA. Accident and Hazard Investigations: We will continue to perform reviews of accident and hazard notifications, status, and final reports to ensure compliance with the rail transit agencies’ adopted accident, hazard, and standard operations and maintenance procedures. We will conduct field observations and interview rail transit agency personnel to verify reports prior to approval by WSDOT. We will continue to work with WSTA in collaborative workshops to review control center and dispatch logs to ensure that unacceptable hazards are identified and mitigated. On-Site Triennial Audit: We will assist the WSDOT in fulfilling its responsibilities to conduct on-site safety and security audits of WSTA. Our team will coordinate the schedule and logistics, perform the audits, and prepare the draft and final reports, and track the CAPs through completion. Safety Certification: We will ensure that WSTA fulfills its commitment to WSDOT to submit a list of projects subject to safety and security certification and upon receipt of the list, we will review the corresponding safety and security certification plans and monitor the implementation of these plans through all project phases, including design, construction/installation, testing, and delivery of the project. Engineering and Construction: In the event that a new rail fixed guideway project enters the engineering phase, we will perform compliance reviews of all safety and security related plans and documents in accordance with Section 5329, 49 CFR Part 633, and FTA Circular 5800.1.

DOVETAIL CONSULTING


Approach to Managing Uncertain Workload, Shifting Priorities and Contingency Planning

Our approach to managing uncertain workloads and fluctuating staffing needs involves a series of effective

management techniques. As discussed previously, we will work closely with WSDOT to define a

comprehensive scope of services based upon known and anticipated FTA requirements for the SSO program

under the new SSO rule, Part 674. A solid scope of services will allow us to effectively manage the delivery

of known tasks on a daily, weekly, monthly, quarterly, and annual basis. We will staff the scope with the

Project Manager, Key Team Leaders and Members, and additional resources as discussed in the

organizational chart, which provides thorough coverage of all required tasks. The Project Manager will

manage the priorities and availability of key personnel on a daily basis, including the assignment of deadlines.

When major work tasks beyond the established scope arises, Dovetail Consulting will follow the same course

of action to perform this work as we have on a number of occasions with other SSOA projects. For example,

in response to the FTA-mandated Right-Of-Way Worker Protection and Tunnel Ventilation System

assessments for MARTA, and Special Assessment of the Safety and Security Program for the Atlanta

Streetcar System, we reviewed FTA’s request, determined the work to be done and expertise required, and

provided a narrative description of the scope and methodology. Next, the Project Manager coordinated with

our COO to determine if we could accomplish the additional task within the existing contract resources. If so,

we reallocated resources and absorbed the work. If not, we worked with the SSO Program Manager to

expedite the establishment of an additional task order to provide the necessary resources. In either case, we

ensured that the routine and additional tasks were integrated into the SSO work program according to the

schedule outlined in the Program Standard, specified in the FTA safety advisory, or other special requests.

Specific Qualifications, Skills, Knowledge of On-Call Contracts Which May Benefit the

Project/Contract:

Our experience spans all phases of safety and security program development from inception of state safety

oversight programs for newly designated oversight agencies including the development of Program

Standards and procedures; to conducting oversight of mature systems such as MARTA and Valley Metro

such as Atlanta Streetcar who seek to stabilize their organization and attract trained and qualified personnel;

to advising SSOs during major hazard and accident investigations; to routine SSO program monitoring and

implementation to ensure effective transition to the current legislation, MAP-21. Highlights of our

qualifications, skills, and knowledge for this type of contract include the following:

Highlights of Qualifications, Skills, and Knowledge Accident/Incident Investigation Plans and

Procedures SSO Program Management and Implementation

Aerial Structures/At-Grade Crossings/Tunnel Safety

Quality Assurance/Quality Control

Major Capital Projects for Rail Transit Rail Operations and Maintenance Plans, Rules, SOPs, EOPs Rail Training Plans and Manuals, Facilities, Equipment

Construction Safety and Security Right-of-Way Worker Protection

Certification Work Plans Safety and Security Audits

MAP-21, Section 5329, SSO Rule Safety and Security Certification Plans

MAP-21, Section 5326, Transit Asset Management

Safety and Security Management Plans

Corrective Action Plan Programs Safety Management Systems

FTA TSO and Regional Coordination Security and Emergency Preparedness Plans

Hazard Management Plans Signals, Communications and Power Systems

Internal Safety and Security Audit Program Plans System Safety Program Plans

DOVETAIL CONSULTING


Maintenance of Way System Integrated Testing Programs

NTSB Coordination Technical Training Plans

Operating Hazard Analysis Threat and Vulnerability Assessments

Preliminary Hazard Analysis Track, Structure, and Facilities Maintenance

Procurement Vehicle Procurement and Maintenance

Program Standards SSO Program Management and Implementation

As stated at the start of this section, Dovetail recognizes and utilizes a series of conference calls, meetings, planning sessions and work sessions to ensure the effective communications internally as a team, in conjunction with our clients, and externally with key stakeholders. These tools are essential in helping to deconflict issues, resolve challenges, and maintain the continuity of the program. The Work Breakdown Structure for all deliverables to include development of audit reports, accident review checklists, CAP logs, submittals to the FTA, and other reports will be developed by Dovetail Consulting. Dovetail Consulting will also be responsible for all special or complex investigations. WSDOT will be responsible for the actual transmittal of documents to external stakeholders and initial investigations for routine incidents. Narrative on Additional Resource Areas and Ability Our safety and security experience spans all phases of program development including development and implementation of state safety oversight programs to comply with the recently issued 49 CFR Part 674, State Safety Oversight Rule. We skillfully develop and strategically implement System Safety Program Plans, System Security Plans, Emergency Management Plans, Safety and Security Certification Plans, Accident/Incident Investigation Plans, Internal Audit Programs and other related safety and security plans and procedures. Because of our first-hand knowledge and experience at performing the same tasks that are required of the rail transit agencies that WSDOT must oversee, we are well suited to be partners in the implementation of the Program Standard and the plan forward to expand the legal, enforcement, audit, and investigative authority of the Department as required by its CWP. We have successfully demonstrated our depth of talent, resources and capabilities with our GDOT and ADOT SSO assignments that have included a number of complex projects requiring fine-tuned technical and interagency coordination skills. These projects have included the MARTA and Valley Metro Three-Year Safety Audits, MARTA Right-of-Way Worker Protection Assessment, MARTA Tunnel Ventilation System Assessment, and initiation of the Atlanta Streetcar System into revenue service, and the subsequent Special Assessment of the Safety and Security Program in partnership with FTA and its safety management inspection criteria. In all cases, the work of Dovetail Consulting, on behalf of its clients, met the scrutiny of the FTA Office of Transit Safety and Oversight and its regional partners. Nationally, we have successfully conducted three year audits, operational readiness reviews, and safety and security readiness reviews for major capital projects for modern and historic streetcar, light rail, heavy rail, and commuter rail transit systems. Our staff has been called upon by the state safety oversight agency to interact with the National Transportation Safety Board on its behalf. We have advised both rail transit and state safety oversight agencies on how to implement programs that respond to the ever-evolving safety and security legislative requirements including safety management systems, Certification Work Plans, Technical Training Plans, and safety management inspections, and safety risk assessments.

DOVETAIL CONSULTING


For WSDOT, we have presented the qualifications of an exceptional team of safety, security, and training specialists to ensure the compliance to the state safety oversight rule. In this response we have presented an overview of our SSO program capabilities and accomplishments. We also provided details from our projects with the FTA and rail transit agencies to demonstrate our hands-on, in-depth, practical knowledge and experience with rail transit management, operations and maintenance and the many integrated layers of oversight in the public transportation industry. Why choose Dovetail Consulting? We offer the following reasons:

We have a close-knit team of veteran, accomplished safety and security specialists. We know each other well and we have worked together on numerous projects which has formed us into a high performing and productive team.

We have a strong grasp and working knowledge of the requirements, interpretation and application of MAP-21, Section 5329 (Public Transportation Safety), Section 5326 (Transit Asset Management), and 49 CFR Part 674 (State Safety Oversight Final Rule) and other rules directly related to state safety oversight.

We have anticipated the issues facing the GDOT SSO program and have appropriately expanded our staff to address these needs and will continue to do so as the new federal and state requirements are made known;

We command a wide range of consulting skills and knowledge of transit operations, safety, security, and emergency management;

We are a highly qualified and cost-effective team of professionals; We have successfully managed multiple SSO programs with transit systems of similar size, modes

and operational environments on schedule and within budget.

MIGNON ALLEN, MBA, TSSP

Project Manager

FRED MEAD

Rail Transit Safety, Operations, Maintenance

MONTY MONTGOMERY,

TSSP

Safety, Security, Emergency Preparedness

WILL ALLEN


FRANK WARD, RA

Design and Construction Management

LARRY WHITE, TSSP


LISA LANDRY

Technical Training Plans

PROJECT SUPPORT ANALYSTS

Key Strengths:• SSPP/SSP Reviews• Investigations• Three Year Audits• CAPs• SSCP, SSCVR Reviews• Engineering Design Review &

Construction • Part 674, SMS• Facilities and Systems

Maintenance• Industrial Safety

Key Strengths:• Project Management• Program Standard Updates• SSPP/SSP Reviews• Investigations• Three Year Audits• CAPs• SSCP, SSCVR Reviews• Engineering Design Review &

Construction • New Starts/System Extensions • Part 674, SMS• Industrial Safety• Rail Transit Operations and

Maintenance

Key Strengths:• Project Management• Program Standard Updates• SSPP/SSP Reviews• Investigations• Three Year Audits• CAPs• SSCP, SSCVR Reviews• Engineering Design Review &

Construction • New Starts/System Extensions • Part 674, SMS• Industrial Safety• Rail Transit Operations and

Maintenance

Key Strengths:• Safety Training

Program Development and Delivery

Key Strengths:• Investigations• Three Year Audits• SSCP, SSCVR Reviews• Engineering Design Review &

Construction • Industrial Safety• Rail Transit Operations and

Maintenance• Part 674, SMS• Construction Management• Construction Safety and

Security Plans

Key Strengths:• Project Management• FTA Reporting• Program Standard Updates• SSPP, SSP Reviews• Internal Safety and Security Audit Programs• Investigations – Accidents, Hazards, Incidents• Three Year Audits, Special Assessments • Corrective Action Plans (CAPs) • Safety and Security Certification Plans (SSCPs)• Safety Training Program (TTPs) • Transit Asset Management • New Starts/System Extensions • Part 674 • Industrial Safety• Rail Transit Operations and Maintenance• Safety Management Systems• Engineering Design Review & Construction

Responsibilities:• Supports PM and key personnel in

all task areas.

Legend:• Purple = Project Manager• Blue = Key Team Leader• Orange = Additional Resources

Dovetail Organization Chart

Key Strengths:• SSPP/SSP Reviews• Investigations• Three Year Audits• CAPs• SSCP, SSCVR Reviews• Engineering Design Review

& Construction • Part 674, SMS• Industrial Safety• Rail Transit Operations and

Maintenance

Request for Qualifications (RFQ)

On-call Accident and Hazard Investigation Services

Prepared For

Summary of Qualifications (SOQ) Packet A

ORIGINAL

SUBMITTED BY: K & J SAFETY AND SECURITY CONSULTING

SERVICES, INC.

June 16, 2017

WSDOT RFQ On-call Accident and Hazard Investigation Services

Statement of Qualifications (SOQ) Packet A June 16, 2017 A-1

Criteria 1 Qualifications / Expertise of Firms on Team

Aging infrastructure coupled with the implementation of new technologies, growing ridership demands, a dynamic and constantly evolving workforce, changing regulatory requirements, and increased governmental and public scrutiny are just a few of the challenges affecting transportation agencies’ safety programs as well as the entities that provide safety oversight of them as it continues to become more proactive, far reaching and effective. As a contractor supporting WMATA, SEPTA, CATS, NYSDOT, ODOT and numerous other agencies providing safety support services to address Federal Transit Administration (FTA) and State Safety Oversight (SSO) recommendations, the team of K & J Safety and Security Consulting Services, Inc. and Vital Assurance possess an unmatched understanding of safety engineering, hazard management, accident/Incident investigations, Safety Certification, Industrial safety. In addition, we are the only Team to offer staff fully trained and certified in Safety Management Systems (SMS), Transit Safety and Security Practitioner (TSSP), Professional Engineers (PEs) and Certified Safety and Security Directors (WSO-CSSD).

Our Team has been instrumental in assisting numerous transportation agencies and oversight entities with implementing many of the key safety program initiatives that have been undertaken to address the above challenges and to foster the growth of the organization’s renewed safety culture. This has included assisting with the development and implementation of new hazard management procedures and corrective action planning processes, managing the safety and security certification programs for key major capital projects and assisting in developing new risk-based certification processes, supporting the investigation of high profile bus and rail accidents, implementing new comprehensive internal safety and security auditing programs, performing fire life safety assessments and facility inspections of critical agency assets, conducting engineering studies and hazard analyses of new and existing structures, equipment and systems, and supporting agencies responses to FTA, SSO, and National Transportation Safety Board (NTSB), OSHA and EPA recommendations and inquiries. WSDOT’s oversight duties are in a state of constant evolution. Transit Agencies overseen by WSDOT are adding New facilities, equipment, vehicles and systems, new extensions and route changes, new employees, and new and changing regulatory requirements all impact WSDOT’s Safety Oversight. Each change must be addressed and reviewed in terms of safety and security, regulatory compliance, impact to rules and procedures, and training. WSDOT requires a partner in this process that can provide the best and most practical technical approach applicable to WSDOT’s unique operating environment. This partner must also have a proven track record of successful project management. The incumbent Team of K & J Safety and Security Consulting Services, Inc. and Vital Assurance, presents such a partner.



Our Corporate Experience K & J Safety and Security Consulting Services, Inc. (K & J) is a wholly owned, small business specializing in transportation, safety and security consulting services. The company, which began operation in 1997, is headquartered in Cantonment, Florida, and has shown steady growth in fees, industry recognition, and employee size since its inception. K & J focuses on providing safety and security reviews of existing and new start transportation systems throughout the United States. K & J also assists transit agencies by providing safety and security training, Threat and Vulnerability Assessments (TVA), OSHA compliance audits, Hazard Analysis (HA), Operating Hazard Analysis (OHA), Failure Modes Effects and Criticality Analysis (FMECA), Fault Tree Analysis, Safety and Security Certification (SSC), subject matter expertise for accident and incident investigations, and system safety, security and operational audits. K & J’s client base includes state and federal governments, and general industry. In addition to our current contract with WMATA, SEPTA, NYS-PTSB, ODOT and HART, K & J has contracts with the Federal Transit Administration (FTA), United States Department of Transportation (USDOT), Federal Bureau of Investigation (FBI), National Aeronautical Space Administration (NASA), University of South Florida, Center for Urban Transportation Research (CUTR), the California Transit Insurance Pool (CalTIP), several State DOTs, and a number of other large transit agencies including the Greater Cleveland Regional Transportation Authority (GCRTA), Charlotte Area Transit System (CATS), Houston Metro, Central Florida Regional Transportation Authority (LNYX), New Jersey Transit (NJT), and the Jacksonville Transportation Authority (JTA). K & J currently employs 21 staff including professionally registered engineers, architects, fire/life safety experts, and safety and security specialists. The company is led by Mr. James Tucci, who serves as President and Chief Engineer. Mr. Tucci, who will serve as our Project Manager for this assignment, is a registered Professional Engineer (P.E.), and has been certified by the World Safety Organization (WSO) as a Certified Safety and Security Director (CSSD). The USDOT Transportation Safety Institute (TSI) has also awarded him the Transit Safety and Security Program (TSSP) certificate for both bus and rail and a Certified Crime Prevention Through Environmental Design (CPTED) Practitioner (FCP).

Supporting K & J on this assignment will be our proposed sub-contractor Vital Assurance. Vital Assurance has been in business for four years, but the core team at Vital Assurance has twenty-five years of practicing safety expertise and over sixty years of combined transportation experience. Vital Assurance provides expert capabilities in transit safety and security programs not only for projects, but also for transit agency operations and maintenance. We provide a detailed engineering-based understanding of system safety and safety management systems (SMS) that the FTA has incorporated into their safety program requirements/regulations from Moving Ahead for Progress in the 21st Century (MAP-21) and Fixing America’s Surface Transportation (FAST) Act.



Team Organizational Chart (K & J and Vital Assurance) The following team Organizational Chart shows the relationship between Vital Assurance and K & J Consulting Services for the purposes of supporting the needs of the WSDOT Scope of Work.

K & J Safety and Security Consulting Services, Inc. has office and client support locations throughout the United States. Neither K & J or Vital Assurance has an office location in the state of Washington or Oregon but we do have an office location in both Los Angeles and a field office in Oakland California. Though K & J and its teaming partner do not have an office location in Washington State, we feel confident that we can adequately and economically support the needs of WSDOT from our array of other offices.

Team Working Relationship



K & J Safety and Security Consulting Services, Inc., has had a professional working relationship with Vital Assurance for the past year supporting the Public Transportation Safety Board (PTSB) of the State of New York, State Safety Oversight Support Contract (SSOC). The services that K & J and Vital Assurance are providing to the PTSB are very similar in scope to that requested by WSDOT. The relationship between K & J and Vital Assurance is one of technical respect and professional appreciation. Vital Assurance is the contract lead for the PTSB project and as such is responsible for making all work assignments and managing all project deliverables, delivery schedules and overall quality. Additionally, both K & J and Vital Assurance staff teach for the Federal Transit Administration, Transportation Safety Institute (TSI), the safety, security and emergency management. TSI is the FTA’s training arm for transportation systems throughout the United States. K & J staff along with Vital Assurance staff teach the Rail System Safety (RSS) and Safety Management Systems (SMS) classes. In supporting TSI with industry training, K & J and Vital Assurance have been able to maintain a keen understanding of the industries safety needs and continue to refine and mature our working relationship.

Staff Availability Table

Proposal Team’s Current Projects

Proposing Firm Project Name Labor Hours

Remaining

Estimated Completion

Date

Percentage of

Completion K & J Safety and Security Consulting Services, Inc. - Brinson / Harper / Heinrich

HART – Honolulu: Safety and Security Certification of the Heavy Rail New Start Railroad.

10,000 2017 90

K & J Safety and Security Consulting Services, Inc.- Pernie / Tucci / Brinson

CATS – Charlotte: Safety and Security Certification of the BLE Light Rail Project.

4,000 2018 90

K & J Safety and Security Consulting Services, Inc. - Boone / Zielonka

GCRTA – Cleveland: Safety and Security Certification of 7 Rail Stations.

2,500 2021 25

K & J Safety and Security Consulting Services, Inc. – Tucci / Brinson / Pernie / Zielonka / Boone / Joyce / Dougherty / Flanigon

Transportation Safety Institute (TSI) – Oklahoma City: Providing training in Safety, Security and Emergency Management.

2,750 2018 50

K & J Safety and Security Consulting Services, Inc. - Boone / Zielonka

LYNX – Orlando: Safety and Security Certification of 1 BRT line. 500 2017 90

Vital Assurance – Josh Gearhardt, Kevin Chandler

ODOT – State of Ohio: SSO Support Services 4,500 2018 80

Projects That Demonstrate Team Experience



K & J Safety and Security Consulting Services, Inc. and Vital Assurance have worked on several projects of similar size and scope to that requested by Request for Proposal (RFP) No. CQ15071. The following six (6) projects (3 K & J projects and 3 Vital Assurance projects) are just a few examples of our past experience on similar projects.

Project 1: Washington Metropolitan Area Transit Authority 600 Fifth Street, NW Washington, DC 20001-2651 James Dougherty, Chief Safety Officer Phone: (202) 962-2297

Description: Safety Engineering Services, Contract No. CQ11242/KB Key Project Personnel: James Tucci, Kevin Lyons, Tim Pernie, Dennis Mullaney, Debbie Zielonka, Robert Boone, Rich Buettner

Services Provided: The K & J Team provides a wide range of Safety Engineering Services. Primary tasks have included supporting Safety and Security Certification of the 7K Vehicle Acquisition Program, Dulles Corridor Project, and Track Geometry Vehicle; conducting fire/life safety assessments and inspections of WMATA Bus and Rail facilities and stations; supporting the performance of internal safety and security auditing; performing accident and investigations; assisting with the development and implementation of new hazard management procedures and corrective action planning processes; conducting engineering studies and hazard analyses of new and existing structures, equipment and systems; and supporting WMATA’s responses to FTA, TOC, and National Transportation Safety Board (NTSB) recommendations and inquiries. Total K & J Consulting Services Fees: $7.5 Million

Project 2: Charlotte Area Transit System 600 East Fourth Street Charlotte, North Carolina 28202 Jill Brim, Senior Engineer Phone: (704) 336-2267

Description: Safety and Security Certification for the Charlotte Area Transit System (CATS) – North East Corridor Light Rail Project (NECLRP), Contract #18-45277, Task Order # DRWSS 1 Key Project Personnel: James Tucci, Robert Brinson, Tim Pernie, Bob Boone, Debbie Zielonka, Justin Tucci and Steve Safranek Services Provided: K & J was contracted to support the safety and security certification of the complete NECLRP for revenue service. Tasks performed included:



• Developing the NECLRP Safety and Security Management Plan (SSMP), Safety and Security Certification Plan (SSCP) and Safety and Security Certification Methodology for the Project, and providing training to the management team.

• Updating CATS’ System Safety Program Plan and Security Plan to address the NECLRP.

• Performing a Threat and Vulnerability Assessment (TVA) of the alignment and operational safety and security hazard inspections of the 18 rail stations and the 10.3-mile rail corridor in preparation for revenue service and long-range operational needs.

• Providing technical assistance/advice to the NECLRP Safety and Security Review Committee (SSRC), Fire Life Safety and Security Committee (FLSSC), NECLRP project team, NECLRP Light Rail start-up committee, the senior CATS management team, and FTA/PMOC team.

• Converting the Preliminary Hazard Analysis (PHAs) to Operational Hazard Analysis (OHAs) as needed for operation.

Total K & J Consulting Services Fees: $1.5 Million The following three (3) projects support Vital Assurance’s technical capacity to support this project:

Viral Assurance Projects

Project 1: Ohio Department of Transportation (ODOT) State Safety Oversight (SSO) Technical Support (2007 to present; Locations – Columbus, Cleveland, and Cincinnati, OH). Vital Assurance staff members have been leading and deeply involved setting up the 49 CFR Part 674 compliant ODOT SSO program. These activities have included expanding the SSO program due to MAP-21/FAST Act related requirements, adding another RTA with the Cincinnati Streetcar project, and responding to issues with the existing RTA, Greater Cleveland Regional Transit Authority (GCRTA). The Vital Assurance Team is supporting the ODOT SSO program in actively monitoring and responding to significant issues resulting from multiple GCRTA staff retirements (at both the department management level and worker level), aging vehicles and infrastructure, and overall decline in the safety culture, all of which is being addressed with the ODOT SSO program working to be part of the solution, as well as the start-up issues from Southwest Ohio Regional Transit Authority (SORTA)/Transdev as the Cincinnati Streetcar continues in its first year of revenue service. We have a detailed understanding of the complexity of continuing to manage and operate the Part 659 SSO program while developing and implementing an expanded or next generation version of that SSO program compliant with Part 674.

The following are summaries of the various activities that Vital Assurance Team personnel have been leading and participating in for nearly 10 years working with the ODOT SSO program.

• Operation of the ODOT SSO program. Provide management support and operate the day-to-day activities for the ODOT SSO program including



interactions with ODOT Office of Transit, FTA, and the two RTAs (GCRTA and SORTA/Cincinnati Streetcar) in the state.

• Program Standard. We are responsible for keeping the ODOT SSO Program Standard up-to-date. We have completed a full redesign and revision of the Program Standard to address the addition of the Cincinnati Streetcar project and many of the implications of the MAP-21/FAST Act SSO program enhancements. We have developed a Part 674 compliant program standard that was required in order to become certified by the FTA..

• Internal Safety and Security Audits and Annual Certification. We are responsible for tracking the GCRTA safety and security internal audits for the three-year cycles, the planned audits for the current year, receiving checklists, tracking completion, and reviewing the reports and reviewing and approving the corrective actions developed.

• Triennial Reviews and Audits. Our staff (Mr. Donald Eldredge and Mr. Kevin Chandler) have planned and led the last three triennial reviews and audits of GCRTA for the ODOT SSO program (2009, 2012, and 2015).

• Notifications and Investigation Tracking and Reporting. We receive all of the communication with GCRTA and SORTA for notifications and investigation reporting for all reportable events including accidents, incidents, and significant hazardous conditions.

• Monitoring Daily Incident Logs. We review and monitor the Daily Incident Logs and Hazard Logs from both GCRTA and SORTA to determine if there are emerging trends that may need additional attention before they become undesirable hazards or result in incidents or accidents affecting infrastructure, operational personnel or passengers.

• Annual (and Periodic) Submissions to FTA. We provide all of the annual information and data required by the FTA SSO program. We have also been responsible for coordinating GCRTA responses for the Safety Advisories received from FTA, based on National Transportation Safety Board (NTSB) and FTA analyses of recent issues.

• FTA Headquarters Triennial Audit of the ODOT SSO Program. We support the ODOT SSO program in responding to scheduling these audits, providing the documents requested, attending all of the interviews and tours at GCRTA, review and comment on the audit report, and collect and monitor the completion of all corrective actions.

• MAP-21 (and FAST Act) Support to the ODOT SSO Program. We have supported the ODOT SSO program for comments on FTA’s Advanced Notice for Proposed Rule-Making (ANPRM), comments for the SSO program grant funding allocations, providing the self-assessment, and certification work plan (CWP) for the new MAP-21 based SSO program and applying for the FTA SSO grant funding.

Key Project Personnel: Kevin Chandler, Josh Gearhardt

Total Vital Assurance Consulting Services Fees: $600 Thousand



Project 2: Wisconsin Department of Transportation (WisDOT) State Safety Oversight Consultant (2016-present). Vital Assurance will provide WisDOT with support and representation in terms of interactions with the RTAs (Kenosha Streetcar and Milwaukee Streetcar), FTA, FTA Region V, and WisDOT staff and management. As part of this work, Vital Assurance staff will provide technical support for WisDOT’s SSO program and staff as well as be an extension of staff for this SSO program, as needed. These responsibilities include leading and directing any assigned day-to-day activities for WisDOT, providing development support for the SSO program and its staff, and communicating with and receiving direction from the WisDOT SSO program manager to ensure that the program runs smoothly and as expected by WisDOT management. Vital Assurance will support development and implementation of the new MAP-21/FAST Act compliant SSO program, including execution of the Certification Work Plan (CWP) in preparation to apply to become certified by FTA to operate under 49 CFR Part 674. Planning for the Triennial Review for the Kenosha Area Transit (KAT) rail system is underway, with the onsite planned for May 2017.

Key Project Personnel: Kevin Chandler, Josh Gearhardt

Total Vital Assurance Consulting Services Fees: $400 Thousand

In addition to the vast depth of experience we have providing safety and security certification analysis, implementation and technical support to numerous transportation agencies, we have an equally impressive breadth of experience providing similar services to State Safety Oversight (SSO) Agencies. Our Project Manager for this engagement, Mr. James Tucci, also serves as a Senior Associate Instructor for the Transportation Safety Institute (TSI) where he has developed and delivered training programs pertaining to system safety and FTA’s safety and security certification processes, as well as FTA’s new SMS program.

Criteria 2: Qualifications of Proposed Project Manager Our proposed Project Manager for this assignment, Mr. James Tucci, serves as President and Chief Engineer of K & J Safety and Security Consulting Services, which he founded in 1997 and has led through continued growth and expansion since its inception. Mr. Tucci is a nationally recognized expert in the fields of transit system safety and security with nearly thirty years of directly applicable experience. He holds degrees in Environmental Engineering and Analytical Chemistry, and is a registered and licensed Professional Engineer (P.E.) in Florida, Alabama, Ohio, Mississippi, and South Carolina and has been certified by the World Safety Organization (WSO) as a Certified Safety and Security Director (CSSD). The U.S. Department of Transportation (USDOT) Federal Transit Administration (FTA) Transportation Safety Institute (TSI) has also awarded him the Transit Safety and Security Program (TSSP) certificate for both bus and rail. Additionally, he has completed and received certifications in Safety Management Systems (SMS), and serves as Senior Associate Instructor for TSI, where he has led the development, revision, and delivery of nearly all of TSI’s transit safety and security related courses,



teaching hundreds of courses nation-wide and abroad. Mr. Tucci also holds the Crime Prevention through Environmental Design (CPTED) Certification FCP.

Mr. Tucci has worked with the nation’s largest transit agencies, delivering a multitude of safety and security related engineering services similar to those called for by the scope of work for this assignment. This has included executing safety and security certification programs for large-scale major capital projects; completing engineering analyses, hazard analyses, and TVAs of systems, equipment, infrastructure, processes, and critical transit assets; conducting accident, incident and unacceptable hazardous condition investigations and developing corrective action plans in response to findings; developing, reviewing and revising safety and security policies, plans, procedures, and rules; developing and implementing processes to monitor contractor safety and developing construction safety program plans and workplace policies and instructions; developing and delivering comprehensive training programs; performing internal safety and security audits; and assisting transit agencies with developing and implementing proactive safety and security programs.

For the past four years, Mr. Tucci has served as Project Manager on WMATA’s existing Safety Engineering Services contract (Contract No. CQ11242/KB) where he has successfully managed and overseen the delivery of all tasks completed in support of this contract. In this capacity, he has become a trusted advisor and valuable technical resource to WMATA SAFE. Mr. Tucci’s full resume is provided in Packet B.

The following three (3) projects are an example of Mr. Tucci’s experience and capabilities as a Project Manager (PM).

Project 1: Charlotte Area Transit System 600 East Fourth Street Charlotte, North Carolina 28202 Jill Brim, Senior Engineer Phone: (704) 336-2267

Description: Safety and Security Certification for the Charlotte Area Transit System (CATS) - South Corridor Light Rail Project (SCLRP), Contract #18-11595, Task Order # KJSS 1

Services Provided: James Tucci of K & J Safety and Security Consulting Services, Inc. was the Project Manager responsible for ensuring that the following activities were provided:

Development, preparation, and drafting of written and electronic formats of, Certifiable Items Lists (CILs), as a component of the safety and security certification process, for each of the nine (9) contracts of the South Corridor Light Rail Project (SCLRP). The CILs were to be developed in accordance with the Federal Transit Administration (FTA) publication entitled: Safety and Security Certification Guidebook and transit industry best practices.



In addition to preparing the CILs, K & J was required to verify and validate the design phase of the CILs. This included a comprehensive review of all related contract documents, including specifications and drawings; populating of the reference block with the respective regulatory requirement (Code of Federal Regulations / North Carolina Programs and Standards, local regulations, etc.) or industry practice (Guidebooks, National Fire Protection Association, Safety and/or Security Standards documents, etc.); and where the reference standard is addressed in the SCLRP documents. An additional requirement included interviews and/or meetings with design engineers, architects, resident engineers, project managers and others to validate the CIL. The final CATS approved documents included validation of the design phase, fields for construction, pre-revenue service testing and final verification.

K & J Safety and Security Consulting Services, Inc. was contracted in May 2006 shortly after the delivery of the 9 construction CILs to safety and security certify the complete SCLRP for revenue service. Certification tasks accomplished include the following:

• Performing a Threat and Vulnerability Assessment (TVA) of the SCLRP alignment, and conducting operational safety and security hazard inspections of the SCLRP 15 rail stations and the 9.6-mile rail corridor in preparation for revenue service and long range operational needs.

• Identifying and completing forty-five (45) Safety/Security Investigation Reports (SSIRs), and performing construction specification conformance verifications.

• Updating the CATS’ Safety Systems Program Plan (SSPP) and the Security Plan.

• Providing technical assistance/advice to the SCLRP Safety and Security Review Committee (SSRC), Fire Life Safety and Security Committee (FLSSC), SCLRP project team, SCLRP Light Rail start-up committee, the senior CATS management team, and FTA/PMOC team.

• Managing the SCLRP Testing and Start-up Integrated Schedule for the SCLRP Light Rail Start-up committee meetings.

• Developing and executing five emergency response drills/training with local emergency responders.

• Issuing Interim Operations Permits/Certificates with a safety and security critical items checklist of all construction packages, operational, and LRV CILs for Test Tracks, LRVs, Pre-revenue testing and revenue service.

• Developing the SCLRP Safety and Security Certification Plan (SSCP), and Safety and Security Certification Methodology for the Project and training the SCLRP management team with regards to the process.

• Converting Preliminary Hazard Analysis (PHAs) results into Operational Hazard Analysis (OHAs) as required for operation.

Project 2: Maryland Transit Administration (MTA – Baltimore) 1515 Washington Boulevard, Suite 2200B Baltimore, MD 21230-1794 Bernadette Bridges, Safety Manager Phone: (410) 454-7145



Description: Safety and Security Certification of the Metro Heavy Rail Maintenance Facility, Contract # T-0459-0140

Services Provided: Mr. Tucci acted as the Project Manager responsible providing the following consulting services:

K & J Safety and Security Consulting Services, Inc. were engaged to Value Engineer (Safety) and safety and security certify a 75,000 square foot heavy rail maintenance facility. K & J’s contract responsibilities also included the generation of Standard Operating Procedures (SOPs) for the Heavy Rail Maintenance Yard, Traction Power Substations and Operations Control Center (OCC). K & J coordinated the activities of the Fire/Life Safety Committee and has begun emergency preparedness training with community responders. This project began in April of 2002 and completed in October of 2006.

The Metro Heavy Rail Maintenance Facility Project requires all of the Safety Critical Items (SCILs) to be certified prior to building occupancy with the certifiable items following later. K & J performed safety design review, Value Engineering (VE) review, generation of Safety and Security Certifiable Item Lists (CILs), Hazard Analysis (HA), safety training, OSHA complaint worker training and procedures writing.

In addition to the small selection of projects provided above, Jim Tucci also provided program management and oversight of the FTA strategic research project titled, FTA Safety Standards, Strategic Plan, and Data Collection. Researched and drafted the Compendium of Existing Safety Standards that were published in the Federal Register as well as drafting recommended Safety Standard Topics for USDOT review and consideration. These two documents will be used to support the FTA’s evolution to a Safety Management System approach to regulatory oversight.

Mr. Tucci has been supporting the transit industry with clarification and implementation of the requirements in 49 CFR Part 659 and as well as the new regulations codified in 49 CFR Part 670 and Part 674. This manifests itself with the work he is doing in support of the PTSB SSOC contract with New York State.

Criteria 3: Key Team Members Qualifications

The team of K & J Safety and Security Consulting Services, Inc. and Vital Assurance represents a transit industry leader in system safety and security engineering services and includes registered Professional Engineers (P.E.), World Safety Organization Certified Safety and Security Directors (WSO-CSSD), staff that have obtained WSO Certified Safety Specialist (WSO-CSS) designations, staff that have obtained Transit Safety and Security Practitioner (TSSP) certificates, and staff that have completed and received certifications in Safety Management Systems (SMS). Collectively, our Team of highly skilled professionals possesses several hundred years of transit safety, security and engineering experience. This varied experience has allowed us to develop a technical



approach geared specifically towards supporting WSDOT’s needs with a clear vision of the future to set the foundation for sustained safety performance improvement.

The K & J Team presents WSDOT with staff that has an unmatched technical expertise and knowledge of transportation safety programs and varying operating environments, coupled with a project management approach that has successfully delivered highly responsive, top quality services to transportation agencies throughout North America exemplified by our support of several of the nation’s largest transit systems through Safety Engineering Services contracts. Throughout this assignment, we will partner with WSDOT staff and managers as we respond to WSDOT’s needs and develop, review, and refine project deliverables. Our philosophy is to collaborate with staff across the organization to afford all parties the opportunity for maximum input throughout the assignment. Our staffing plan is designed to efficiently and effectively respond to WSDOT’s needs, and highlights the following:

• A core team with a breadth and depth safety expertise and transit experience that will be dedicated to WSDOT’s needs, working as a partner with WSDOT, and which will be supported by a pool of qualified technical experts.

• Key staff with long-term technical and institutional knowledge of transportation and system safety that bring lessons learned, best practices from their past experiences, as well as an expert understanding of Federal and state safety oversight requirements.

• A Team that has successfully worked with Transit Agencies, State and Federal entities for the past twenty years and that understands transit operations, maintenance practices, quality standards, processes, and procedures, as well as the organization’s Safety vision and priorities.

As depicted by below, our staff will be led by our Project Manager, Mr. James Tucci. Mr. Tucci has nearly thirty years of directly applicable experience and is a registered and licensed P.E., WSO-CSSD, FCP and TSSP. Task Leaders, meeting the qualification requirements of the RFP have also been assigned and will be supported by the personnel shown. The complete resumes of all proposed staff to include all applicable certifications, registrations and licenses are attached in Packet B. Our Team has extensive experience across an array of safety and security disciplines, including safety and security planning and analyses, safety and security certification, project management, value engineering, project controls management, safety and security training, regulatory compliance (i.e. FTA, OSHA, NFPA, FRA, etc.), accident investigation, transit fire/life safety analysis, hazard analysis, threat and vulnerability assessments, safety auditing and oversight, operationally-related safety culture reviews, and implementing initiatives to improve safety performance.

Our designated Task Leaders meet all of the qualification requirements of the WSDOT RFQ, hold various engineering degrees and certifications and have a depth of directly applicable transit experience and knowledge spanning decades.



All staff proposed for this assignment has a minimum of five (5) years’ experience in the transit safety and security and emergency management and a wide variety of applicable licenses, certifications and professional registrations.

Criteria 4: Firm’s Project Management System

In that both K & J and Vital Assurance are professional consulting services firms, we manage our work activities differently than traditional design or construction firms. We expect our tasks to be developed and presented to us in an expedient manner with short Periods of Performance (POP) to deliver the final product.

As assignments are tasked to K & J, the Project manager, James Tucci will assign them to the applicable Task Lead. At the same time, our Project Controls Manager, Mr. Robert Brinson will build a project schedule using either Microsoft Project OR Primavera depending on the project task and sub-task complexity. In building these work and performance schedules, K & J employs a simple Work Breakdown Structure (WBS) approach to building our work and performance schedules while also utilizing Critical Path Methodology (CPM) to ensure these items and other key milestones are attained.

K & J has an internal Quality Control Department that is responsible for reviewing ALL deliverables PRIOR to sending them to our clients. This review is a two-part process. A quality, contractual, grammar and format review is performed by our Quality Control Department. Additionally, our Technical Department reviews all of our client deliverables to ensure that the technical requirements of our work tasks have been attained. K & J has utilized this quality oversight since K & J was originally founded and has been instrumental to K & J’s success in the safety, security and emergency management industry

All work performed by our sub-contractor Vital Assurance will go through the same process identified above. WSDOT deliverable will be accounted for in our task based project schedule and tracked by our Task Lead. Time will be allocated in the project schedule for necessary internal reviews for both technical and quality compliance.

Lastly our internal management and communication as it relates to client work tasks is elaborated in greater detail below. Daily and weekly team meetings coupled with a horizontal built organizational structure allow for rapid movement of information from our clients to our task leads to our support staff.

Criteria 5: Project Delivery Approach

Methodology and Approach Our methodology and approach is structured to maximize responsiveness. For each task, we will evaluate WSDOT’s needs and will allocate the most qualified staff capable of



meeting those needs. For this assignment, we are proposing staff that has successfully supported other SSOs as well as transit agencies that meet the qualification requirements of the scope of work, and that have expert knowledge of operations and system safety needs. No personnel substitutions will be made without first obtaining WSDOT’s approval.

As work is performed, we will effectively communicate and coordinate activities with project stakeholders to ensure that WSDOT remains involved with, and has ample opportunity to provide input into the completion of all assignments and deliverables. Our collaborative team approach minimizes surprises and potential conflicts or miscommunications by ensuring that the WSDOT Management Team are provided with timely information that will allow them to make well-informed decisions to appropriately prioritize the implementation of findings and recommendations. We will combine our knowledge of multi-modal operations, safety program, organizational structure, and State and Federal regulations, with our highly-qualified staff of system safety and engineering experts to develop consistent, high quality deliverables that will be immediately useful to the WSDOT.

We understand that safety performance results must be objectively assessed, substantiated through quantitative and qualitative analyses, and presented from a balanced perspective. Likewise, findings need to be presented in the appropriate context and focused on the cause(s), not the symptoms, of the issues at hand. Findings that may have a significant impact on safety performance or present a clear hazard will be immediately reported to WSDOT.

Throughout the execution of this assignment, we will implement project controls that have been proven through our past support of our clients. We routinely use these controls to ensure that project status is visible, to ensure that work activity is timely and directed at task objectives, and to allow corrective action (if needed) to be taken quickly. Our approach highlights the following control mechanisms:

• Frequent discussions and communications with WSDOT technical and managerial staff. During the execution of each task, we expect that weekly or daily discussions among WSDOT and K & J Team staff will be held. Through regular meetings, teleconferences, emails, monthly progress reports, and frequent on-site or off-site activities at WSDOT, we will make certain that all work activities are coordinated and completed as efficiently as possible and in a manner, that meets WSDOT's expectations and requirements.

• Briefing meetings. We recognize the important, time sensitive, and high-profile nature of the tasks to be performed during this assignment. As such, it is essential that WSDOT be provided with the most accurate and timely information possible. To accomplish this, we will hold weekly (or more frequent) briefings with designated WSDOT personnel as required, ensuring all parties remain up-to-date regarding all project activities, schedules, and actions being taken to resolve any issues or concerns.

• Monthly Progress Reports. Each month we will prepare and submit a progress report that will include discussions of each task. At a minimum, the progress report will document activities completed over the preceding month,



activities planned for the coming month, schedule information including progress towards meeting stated milestones and anticipated completion dates, a discussion of issues and/or concerns requiring WSDOT’s attention and the actions being taken to resolve them, and a summary of financial data (i.e., labor costs and expenses incurred, total remaining funds, etc.). The reports will be formatted to facilitate ease of comprehension and will be consistent with the format that has been used by K & J over the course of our current contract.

• Schedule Management. We will define milestones and deliverable dates for each task, and will monitor progress toward reaching each milestone and completion date. This progress will be reported as part of our Monthly Progress Reports.

• Quality Management. All deliverables will be reviewed by the K & J Project Manager prior to being submitted to WSDOT to ensure they meet their intended purpose and are of the highest quality. We will also conduct deliverable reviews with WSDOT technical and managerial staff, as appropriate, to ensure they meet WSDOT’s expectations.

Our Project Manager for this assignment, Mr. James Tucci, will have management authority over all tasks, personnel and subcontractors. As task needs are identified, Mr. Tucci will meet with the appropriate WSDOT representatives to ensure a common understanding is agreed upon regarding the work to be completed and the desired end product(s) of the assignment. Mr. Tucci will then identify and assign an appropriate Task Leader and the staff necessary to complete the assignment. Work schedules, including deliverable milestones, will be developed consistent with the project master schedule as task budget. All work will be performed with the goal of making clear, balanced findings that highlight WSDOT achievements and successes, as well as recommendations for future progress.

Key Work Tasks

Task 1: Provide Support for Analysis of the Safety and Security Certification Program

Developing and implementing effective Safety and Security Certification Programs can be both time-consuming and complex. But in today’s rapidly changing transit environment, the need for such programs has never been so great. Not only are Safety and Security Certification Programs required to comply with Federal regulations, such as those of 49 CFR Part 659, Rail Fixed Guideway Systems, State Safety Oversight, and 49 CFR Part 633, Project Management Oversight, but they have also become essential to ensuring new technologies, equipment, processes, and systems can be safely and successfully applied by the transit industry. Indeed, new and evolving technologies are now being regularly applied throughout the industry to improve system safety and security, operational performance and reliability, maintenance capabilities, and overall management proficiency



FTA’s “Handbook for Transit Safety and Security Certification” and FTA Circular 5800.1, “Safety and Security Management Guidance for Major Capital Projects” provide guidance to assist States and transit agencies in developing Safety and Security Certification Programs compliant with the requirements of 49 CFR Part 659 and 49 CFR Part 633. Section 7.0 of the SSPP establishes the foundation for certification process as required to comply with these requirements and those of the SSO. The Safety and Security Certification Program Plan further documents certification requirements and establishes the agencies processes for “verifying the incorporation of essential safety and security requirements into all new and rehabilitated agency alignments, facilities, systems and equipment”. Lastly, separate certification plans may be developed as necessary for major capital projects, such as vehicle acquisition programs to establish project specific safety and security certification requirements. The K & J Team has an expert and demonstrated understanding of these requirements and has been directly involved in every aspect of Safety and Security Certification since its inception, conducting all safety and security certification tasks required. We have worked hand-in-hand with transit agency safety personnel to review and improve an agencies existing certification processes and have developed and delivered training programs to implement these processes throughout the organization. We have developed hazard analyses to assist in prioritizing safety and security Certifiable Items Lists (CILs), and we have managed all aspects of vehicle acquisition Safety and Security Certification Program. We have conducted technical reviews of program documentation including design review packages, test plans and reports. We have also conducted various forms of safety analyses including Preliminary Hazard Analyses (PHA), Operating Hazard Analyses (OHAs), Failure Modes, Effects and Criticality Analyses (FMECAs), Job Hazard Analyses (JHA), System and Sub-System Hazard Analyses (SHA and SSHA), Fault Tree Analyses (FTAs), Operating and Support Hazard Analyses (O&SHAs), and Fire Safety Analyses conducted for vehicles, facilities, systems, and subsystems. We have produced and overseen the development of acceptable safety certification program documentation including Safety and Security Certification Plans (SSCPs), Safety and Security Management Plans (SSMPs), CILs, Design and Construction Conformance Checklists, and Hazard Tracking Logs. Further, we have provided ongoing support to Project progress meetings, as well as transit agencies own Safety and Security Certification Review Committee (SCRC), presenting status reports and presentations on assigned certification activities. In each instance, we have provided services that have enabled the agency to move beyond mere compliance with stated requirements to implement industry-leading safety and security certification processes that are forward thinking and readily adaptable to the FTA’s new Safety Management Systems (SMS) Framework. Because of this experience, we are well equipped to provide safety and security certification support services to WSDOT as needed. Task 2: Technical Engineering Services / Design Reviews



One of the largest challenges facing any transit oversight entity is providing staff with the technical knowledge, education and experience necessary to carry out the safety critical functions of the oversight agency. In many cases, these functions and tasks vary depending on known issues (i.e. assessing aging and non-compliant facilities, infrastructure and vehicles) as well as unknown conditions (i.e. conducting accident investigations or analyzing system failures and reliability issues). Resourcing full time staff with specific expertise in every potential technical discipline that may be in demand is not always feasible or prudent. However, when needed, it is often very difficult to find these experts available on the “as-needed” or short demand necessary to conduct the ad-hoc analysis and support required.

The K & J Team understands the engineering needs of WSDOT better than any of our competitors. We have formed a core team of key technical staff who provide in-depth, discipline specific, and comprehensive engineering capabilities. Our Team offers a staff of transit safety and security professionals with technical expertise in varying engineering disciplines including mechanical, safety, fire protection, civil, industrial, systems, and environmental engineering. Our staff holds graduate engineering degrees, maintain Professional Engineering (PE) licenses, and have helped to prepare national guidelines for transit system safety and security. Moreover, our staff has direct practical experience providing engineering services to major US transit agencies, and has served as directors of safety for transit systems and lead engineers on major capital projects including new start projects, system expansions and modifications, and vehicle procurements.

Our staff have managed safety certification programs; worked for the regulator (FTA); developed and implemented training programs for countless transit professionals; led successful accident investigations; and, most importantly, worked as engineering consultants and contractors to many transit agencies. In doing so, we have worked hand-in-hand with transit agency staff to review and develop technical analyses such as fire investigations, fire and life-safety assessments, fire protection engineering studies and reports, design reviews, reliability studies, TVAs, FMECAs, Safety Risk Assessments, Hazard Analyses, Corrective Action Plans (CAPs) and recommendations for a wide array of projects. Our Project Manager and Task Leader for this task, Mr. James Tucci, is a P.E. and has performed multiple engineering analyses, studies and assessments throughout the transit industry. For WSDOT, he led the K & J Team in conducting structural engineering assessments for parking structures, storage facilities, and the railcar friction ring fractures. For the latter, he was able to draw on the assistance of a metallurgical lab to conduct metallurgical analysis of the disks to determine defects in materials. Mr. Tucci also oversaw K & J’s engineering analysis on the ventilation and exhaust systems for seven paint booths under construction as part of large capital contract. This included reviewing the systems to determine their capability for use in a hazardous atmosphere and if they were appropriately designed and engineered to meet local building codes

The hallmark of our approach is to deliver on all aspects of program management and engineering, including vehicles, track, signals, communications, and infrastructure. In



addition to performing safety analyses for systems, equipment and infrastructure during design and operation, our engineers have assisted with the design of systems, created technical specifications, and supported commissioning of major transit capital investments. Our core Team provides transit agencies with primarily local support to respond immediately and efficiently to engineering analysis requests. Regardless of the type of engineering service task required, we follow the same approach to ensure the highest quality and most efficient response to meet our client’s needs:

1. Working with WSDOT to Develop Specific Requirements: For each task, the K & J Task Lead will meet with the WSDOT Lead and other key WSDOT staff to develop a specific and comprehensive list of needs and requirements. These include timeline/schedule, cost/resource limits, expected outcomes/results, etc.

2. Developing a Detailed Schedule and Milestones Chart: The purpose of the schedule is to provide the WSDOT Lead with specific and easy to understand activities, milestones and due dates of deliverables. The schedule is also used to track progress and serves as a metric to evaluate how we are meeting the needs of WSDOT.

3. Identifying and Assigning Key Staff: Staff is identified based on education/skills, experience, knowledge of similar systems, and availability. The final team is then vetted by WSDOT’s Lead and provided with appropriate background information and introductions to the WSDOT staff they will be supporting.

4. Delivering the Required Engineering Services: The type of engineering services provided is dependent on the engineering services requested (i.e., electrical, civil, mechanical, fire/life safety, traffic, etc.). We will perform the analyses, testing, field verifications and measurements, inspections, and other engineering activities required to complete the task and respond to WSDOT’s request.

Detailed reports will be written documenting the methodology, analysis, results and recommendations for all engineering analyses performed. The K & J Team Leader and Project Manager will review all deliverables prior to submittal to WSDOT to ensure findings and recommendations are appropriate to the needs and expectations of WSDOT, consistently formatted, and fact-checked. As appropriate, drafts will be submitted to WSDOT with sufficient time for feedback prior to final release.

Task 3: Accident / Incident Investigation and Reporting

The K & J Team is uniquely qualified to perform accident investigations on WSDOT’s behalf as a third-party investigator, or to assist WSDOT as it conducts its own investigations. Our proposed Program Manager, Mr. James Tucci, has performed investigations of accidents, incidents and hazardous conditions at transit agencies from across the nation, and has developed, revised and regularly teaches, throughout the United States and abroad, the Rail Transit Incident Investigation and Advanced Rail Incident Investigation courses offered by the U.S. Department of Transportation, Transportation Safety Institute (TSI). The principles and methods taught in these TSI



courses are the same as those required to be implemented by transit agencies to meet the requirements of WSDOT’s Program Standard and Procedures and FTA’s State Safety Oversight Rule, 49 CFR Part 659 as well as Part 674.

Additionally, Mr. Tucci has performed incident investigations for Class 1 railroads, including CSX and Union Pacific and acted as the lead investigator in charge for the city of Baltimore, Office of Emergency Management CSX tunnel fire in Baltimore where he worked closely with the NTSB. Our task support personnel include Mike Flanigon who worked for the NTSB conducting incident investigations for railroads through the Unided States. Further, our team member, Mr. Kevin Lyons, brings 36 years of accident and incident investigation and reporting experience to the K & J Team. Mr. Lyons, who was a 26-year employee of WMATA, has performed all levels of rail, bus, construction and employee injury investigations, serving as a first responder, safety officer, safety engineer, senior safety engineer, manager, chief investigator and director.

He has chaired internal WMATA investigation committees and served as the WMATA point of contact to the NTSB for the 1996 Shady Grove Accident, the 2004 Woodley Park accident, and the 2006 DuPont Circle and Eisenhower Avenue employee accidents. He developed WMATA’s comprehensive accident investigation procedures and the accident investigation requirements of the SSPP and worked with WMATA’s bus and rail management to implement these procedures. He also performed investigations of industrial and construction related accidents that occurred in the State of Maryland for the Maryland Occupational Safety and Health Service (MOSH), and testified as an expert witness on behalf of the State of Maryland during formal administrative hearings pertaining to alleged violations of the Maryland Occupational Safety and Health Act.

Our services have included conducting both formal and informal accident and incident investigations and analyses. We have conducted both complete third-party investigations as well as served as subject matter experts on existing transit agency investigation teams. Our Team has helped to identify accident root causes, reviewed and supported the development of transit agency accidents and incident reports, inspected equipment, facilities and systems involved in accidents, and developed and delivered investigation reports and presentations to transit agencies senior leadership, including Board and executive staff level presentations detailing identified root causes and recommendations to prevent recurrences.

For this assignment, the K & J Team will continue to implement its approach of working with WSDOT to review and revise its existing policies and supporting documents as necessary to ensure all departments are adequately represented, while providing unbiased, accountable and verifiable investigative procedures. If assigned, we will also develop and implement a training program to support comprehensive implementation of the revised policies system-wide.

Task 4: Provide Support for Safety, Construction Assessments

Transit agencies have multiple active construction sites and projects within its system at any given time. These projects can be either large or small in scope, involving the



Infrastructure Repair Program, various rehabilitation projects, construction of in-fill Metrorail stations, escalator repair and replacement projects, track and interlocking replacements, facility renovations, and construction of new facilities, garages, terminals, control centers, and test tracks and system extensions. Each project is different, presenting its own unique challenges, hazards, and requirements needed to achieve success. For instance, work performed during revenue hours on the Metrorail right of way adjacent to the third rail will present hazards different from work performed to repair a station escalator, to rehabilitate a bus maintenance facility, or to replace an underground fuel storage tank. Likewise, depending on the size and complexity of the project, construction contractors might have well-developed safety programs in place, with corporate safety staff reporting to a safety executive, overseeing the activities of project specific safety professionals. In contrast, smaller construction firms may not have existing written corporate safety plans, procedures, or dedicated personnel, instead fulfilling these activities as collateral responsibilities of the Project Supervisor or job foremen. In all instances however, strict safety rules and procedures must be followed and enforced to ensure worksite safety, compliance with Federal, state and local regulations, and to ensure the safety of transit agency staff and contractor employees, customers, visitors, equipment and the general public.

The SSPP outlines a transit agencies processes for contractor safety coordination, and contractors are required to obtain the transit agencies Construction Safety and Environmental Manual (CSEM), which provides guidelines to assist contractors in complying with the safety and environmental requirements embedded in the contracts.

These programs are also implemented to ensure compliance with applicable Federal, state and local regulations, the transit agency Safety Rules and Procedures Handbook (SRPH), Roadway Worker Protection Manual (RWPM), SSPP, Construction Safety and Environmental Manual (CSEM), and the Site-Specific Work Plans (SSWPs) that must be developed and implemented by the contractor and submitted to the transit agency for approval, as well as their own Health and Safety Plans (HASP). Contractors are subject to random monitoring, auditing, inspections, and/or document reviews to ensure compliance.

Reviews are typically performed by the transit agency Construction Safety staff to evaluate how effectively contractors are implementing the required safety programs. Transit agency Construction Safety staff work together with the resident engineer (RE), authorized representative (AR), and/or the contracting officer’s technical representative (COTR) to assure that the safety and accident prevention requirements of the CSEM and the HASP are being followed.

The K & J Team has in-depth experience in developing and implementing construction safety programs, plans and workplace safety policies and instructions. Our team includes, Mr. Kevin D. Lyons, who has 36 years of experience in construction safety, which includes working for the Maryland Occupational Safety and Health Service (MOSH), where he performed safety inspections of major construction projects in Maryland and the suburbs of Washington, DC, including Metrorail construction projects.

WASHINGTON STATE DEPARTMENT OF TRANSPORTATION

ON-CALL ACCIDENT & HAZARD INVESTIGATION SERVICES

SUBMITTED 2017.06.20 PTS PRIME TEAM SYSTEMS, LLC

FINANCE & DEVELOPMENT

PO BOX 1535

WALDPORT, OR 97394

STATEMENT OF QUALIFICATIONS

PACKET A

FOR

THE PROPOSED EXPERT TEAM

FROM

PRIME TEAM SYSTEMS, LLC.

A MINORITY AND WOMAN LED

DBE, MBE, ESB, ACDBE

PACKAGE A CONTENTS

Criteria 1: Qualifications/Expertise of Firms on Team

Criteria 2: Qualifications of Proposed Project Manager

Criteria 3: Key Team Members Qualifications (Prime and Sub-Consultants)

Criteria 4: Firm’s Project Management System (Prime Consultant Only)

Criteria 5: Project Delivery Approach

PRIME TEAM SYSTEMS, LLC 2017.06.20 ON-CALL ACCIDENT & HAZARD INVESTIGATION SERVICES

1: Qualifications/Expertise of Firms on Team

A. Proposed Special Expert Team (SET)

1. Team members

The Washington State Department of Transportation (WSDOT) on-call accident and hazard

investigation services is to be provided by Prime Team Systems, LLC, using its Special Expert

Team (SET) approach for expert investigation teams. The SET is uniquely formed to best deliver

the scope of work, on time and within the budget. These SET top experts are drawn from Prime

Team Systems, LLC (PTS), CYS Structural Engineers, Inc (CYS), and Waterleaf Architecture, LLC

(WTA). The SET team is supplemented by several independent top investigators and subject

matter expert consultants, who regularly work for the top transit and rail firms in the USA such

as Parsons Corporation and for DBE stalwarts like Raul Bravo and Associates (RBA). The team is

ready and available to go to work immediately, or as needed by WSDOT.

The proposed Special Expert Team (SET) is an innovative approach that ensures that WSDOT

gets the best value and expert results for the scope of work by drawing on the collective

expertise, acumen, experience and relevant attributes of the team as a whole. The SET team

leads have TSI certifications with extensive experience, expert qualifications and many other

accreditations. In addition to providing accident, incident and hazard investigation services,

each expert on the SET also has multiple individual achievements and qualities that are

beneficial to WSDOT, and directly relevant to the scope of work for this proposal.

2. Expertise and Experience

This proposed SET has experts in areas like safety management systems, security, industrial

safety, safety certification, rail transit operations and maintenance, and engineering design

review. The experts have provided similar services for their firms as shown in the table below:

TOP EXPERT (AFFILIATED FIRM IN BRACKETS) FIRM’S DIRECT/ RELEVANT EXPERIENCE

Police Chief and Expert Bell 43

Safety and Security Expert Kendall 32

Systems Expert and Engineer Kinoshita 11

Safety Expert and Superintendent Hume 34

Safety Expert and Project Engineer Jones 26

Civil Engineering Expert Luttrell (CYS) 51

Transit Rail Structures Expert Whittaker (WTA) 44

Incident Investigation Expert Fletcher (RBA) 46

Rail Engineering Expert Gallo (RBA) 23

Project Administration Expert Bigler (PTS) 15

Project Manager and Top Expert Kyei (PTS) 17

TOTAL 342

1


The firms associated with the proposal SET leads are indicated in the chart above and include

PTS, CYS, WTA, RBA and several independent experts. These firms’ expertise and experience

correspond directly to the expertise and experience of their experts who have been selected to

be part of this proposal, and are shown listed in the table above.

3. Organizational Chart

The organizational chart for the SET is provided within this document. It shows the relationships

from the project manager to the SET leads.

B. Location and Availability

Prime Team Systems, LLC, has experts available in locations around the state and the Greater

Portland metro area, and other experts who can be called on to be immediately available as

needed by WSDOT. All the types of expertise listed or necessary for WSDOT investigations are

available as well. Four of the SET leads are based in the northwest and the rest come through as

well on a regular basis for consultations.

C. History of Work Together

Several experts on the proposed SET have successfully performed many transit and rail

investigation work together. For example, Bell and Kyei have successfully performed multiple,

comprehensive investigations on the TriMet MAX transit rail systems in the Portland metro

area in Oregon, including the Blue Line, the Red Line, and the Yellow Line, and at all stages

including rail construction, testing, safety and security certification, commissioning, pre-

operational audits, to regular passenger operations.

Kinoshita and Kyei have already worked together for the hazard assessment, investigations and

the safety and security certification of the $6 Billion Dulles Corridor Metrorail Project, aka Silver

Line Project (DCMP 2A), while also collaborating with WMATA SAFE and MWAA’s safety and

security manager to implement hazard management processes. Hume and Kyei have previously

collaborated together to develop and implement incident investigations, safety, security and

hazard management frameworks along the 65-mile alignment of the $1.6 Billion, CP2-3 project

contract for the California High Speed Rail project.

Kendall and Kyei have collaborated at the highest levels of state and federal safety and security

oversight of transit and rail systems on both coasts of the continental USA. Bigler, Kyei and

Whittaker have collaborated for complex, transportation and hazard related projects in the

Columbia River basin, including the Dalles, and as classified for government operations in the

Pendleton, Oregon areas.

D. Table of Key Experts and Availability

The table below shows that the SET can have up to 920 total combined expert hours available

to WSDOT for the on-call accident and hazard investigation services:

2

ORGANIZATIONAL CHART OF EXPERT INVESTIGATION TEAM FOR WSDOT ON-CALL ACCIDENT & HAZARD INVESTIGATION SERVICES

SUBMITTED 2017.06.20 PTS PRIME TEAM SYSTEMS, LLC

FINANCE & DEVELOPMENT

PO BOX 1535

WALDPORT, OR 97394

Project

Manager

K Kyei

Safety

IncidentsR Kendall & R Hume

Security

IncidentsChief Bell & B Fletcher

Civil Eng &

StructuresK Luttrell & T Whittaker

Systems & Rail

EngineeringH Kinoshita & D Gallo

Project

AdministrationKM Bigler & J Jones

3

"1 I1

~ran~portation ~aftt!' lIn~titutt. (firrtifirntr.

KOFI O. KYEIQ,:j,Laving mst tI". I'BfuiHms~ /0,1' tI". ,

JraMit Sa/st'l ad SscuI'it'l Pl'O'I'am

on,tIud Ja'l 0/ Ssptsmt.I' 13, 2002

4

TI -- - -

~ran~portation ~aftt!' 1fn~titutt(!1rrtifirntr

Kofi O. Kyeihas successfullycompleted the

Federal Transit Administration Course in

Transit Rail Incident Investigation

Conducted at: Atlanta, GASeptember 9-13, 2002

ContinuingEducation Units3.45

es T. Lopez, Acting DivisionManager Frank B.Tupper, Dit'ecfor, TSI

I

5

rT

Utransportation ~aftt!' lfnstituttOIrrtifiratr

Kyei O. KofiHAS SUCCESSFULLY COMPLETED THE

FEDERAL TRANSIT ADMINISTRATION'S COURSE IN

EFFECTIVELY MANAGING TRANSITEMERGENCIES

Conducted at ORANGE, CAJULY 22 -25, 2002

Continuing Education UnitsAwarded 3.1

Frank B. Tupper, DIrlctor

6

I

~ran5portation ~aftt!' l1n5titutt(firrtifirntrKoft O. Kyei

has attended theFederal Transit Administration's Course in

Transit Rail System SafetyConducted at Orange, CA

May 13-17, 2002

JameS T. Lopez, Acting DivisionManager Frank B.Tupper, Director,-TSI

7

r-- -- --- - -- - _ __~I :1 - - -

~ransportatton ~aftt!' 3Jnstitutt(firrtifirntrKofi O. Kyei

HAS SUCCESSFULLY COMPLETED THEFEDERAL TRANSIT ADMINISTRATION'S COURSE IN

TRANSIT SYSTEM SECURITY

CONDUCTED AT Phoenix, AZJune 3 - 7, 2002


Ja~s T.Lopez,Acting Division Manager Frank B.Tupper, Director

I

8

r-- -- --- - -- - _ __~I :1 - - -

~ransportatton ~aftt!' 3Jnstitutt(firrtifirntrKofi O. Kyei

HAS SUCCESSFULLY COMPLETED THEFEDERAL TRANSIT ADMINISTRATION'S COURSE IN

TRANSIT SYSTEM SECURITY

CONDUCTED AT Phoenix, AZJune 3 - 7, 2002


Ja~s T.Lopez,Acting Division Manager Frank B.Tupper, Director

I

9

Department ofthe Treasury1J1t~tntl1£aUtiEufntttutJmtIDntiuittgilltuftr

Gl~n'f(); GeDTgia

May 23,2003

fJ)ate

10


TOP/ RENOWN EXPERT HOURS AVAILABLE PER MONTH












TOTAL 920

2: Qualifications of Proposed Project Manager

The proposed expert and Project Manager, Kyei (PTS), has over 17 years of high-level, direct

and relevant experience for this project. This includes extensive management and hands-on

experience in directly administering investigations, emergency preparedness, safety, security,

rail transit systems and government programs. It also includes written white papers with

innovative safety, security, investigations and emergency preparedness solutions.

A. Examples of proposed Project Manager experience

1. Dulles Corridor Metrorail Project (DCMP) also known as The Silver Line Project

• FTA funded rail fixed guideway public transportation project

• Primary client is Metro Washington Airport Authority (MWAA)

• Secondary client is Washington Metro Area Transportation Authority

• Original total estimated cost $6 Billion

• Largest fully funded rail infrastructure project

• DCMP Phase 2 Project original estimate was $2 Billion

From 2014 to 2015, roles were:

• Safety and security certification manager

• System safety and security project manager

• Fire Life safety systems manager

• Lead project incident investigator

• Senior Systems Safety and Security Engineer

• Senior Safety and Security Certification Specialist

11


Description

The Silver Line Extension project by the Metropolitan Washington Airports Authority (MWAA)

includes the design and construction of an 11.4-mile segment of double track and systems, 6

transit stations, and roadway improvements running from Reston, VA, through Washington

Dulles International Airport into Loudoun County, VA. The complete MWAA 23-mile Metrorail

extension to Dulles (Phase 1 and Phase 2) is one of the largest public infrastructure projects in

the world, totaling over $6 billion. It creates a critical extension through Dulles International

Airport to the Washington Metropolitan Area Transit Authority (WMATA) system.

2. California High Speed Rail (CHSR) Project

• Original total estimated cost $64 Billion

• Construction Package 2-3 (CP2-3)

• Projected cost for CP2-3 is $2 Billion

From 2015 to 2016, roles were:

• Project System Safety and Security Manager

• Project investigations lead

• DFJV Consultant (Dragados Flatiron Joint Venture)

Description:

California high-speed rail will connect the mega-regions of the state, from San Diego in

southern California up to San Francisco and Sacramento. By 2029, the system is expected to run

from San Francisco to the Los Angeles basin in under three hours at speeds capable of over 200

miles per hour. The system will eventually extend to Sacramento and San Diego, totaling 800

miles with up to 24 stations.

B. Familiarity with State/ Federal regulations and State Safety Oversight

Project Manager prior experience includes performing state safety and security oversight of the

rail transit agencies in Oregon under state and federal rules, investigations, safety and security

certifications, as well as providing direct assistance to other federal agencies and sister state

oversight programs for compliance activities and investigations, and in developing and revising

agency safety and security oversight rules and standards. Also led incident investigation teams,

developed policy, best practices, conducted investigations, analyzed accident reports, compiled

rail transit statistics and written annual reports to submit to federal, state and other agencies.

This required diligent observations, records keeping, thorough inspections, and attention to

detail as well as the leadership of investigation and audit teams.

Examples from the DCMP project are:

• Aligned project with federal, state, local and contractual requirements, rules and laws

• Trained project managers, engineers, technical experts on project certification

• Created certification training modules to train project engineers, managers, experts

12


• Subsequently conducted one training class for 25 every week for 6 months

• Completed writing mandatory project plans, processes and procedures

• Obtained mandatory approvals for project plans, procedures from federal agencies

• Project plans completed included the System Safety and Security Certification Plan

• Provided Systems Safety and Security advice and direction to the Silver Line Project

Examples from the CHSR project are:

• Established the Project Incident Investigations working group

• Wrote the mandatory System Safety and Security Certification Plan (SSCP)

• Obtained approvals for mandatory SSCP from federal and state agencies

• Wrote the Sensitive Security Information (SSI) plan and policy

• Provided assessments, reviews, updates to Safety and Security (SS) related plans

• Provided certification resources and information at pivotal project working sessions

• Led the DFJV team in weekly safety and security training sessions

• Established the required Internal Safety and Security Committee program

• Established the required System Safety and Security Certification Program,

• Led multiple field investigations and created corrective action plans for client

• Performed site specific safety and security assessments

• Performed risk management that resolved possible serious injury or fatality hazards

C. Handling schedule, scope, budget and changes

During 17 years of direct and relevant experience, the proposed Project Manager led incident

investigation teams, performed threat and vulnerability analysis, eliminated or mitigated risks,

and applied Crime Prevention Through Environmental Design (CPTED) principles to rail fixed

guide-way systems. He has established the rail transit agency role in managing community crisis

and emergencies, assessed emergency preparedness and related cross-jurisdictional roles of

emergency responders, implemented and developed emergency response plans as well as the

training plans for their smooth operation. He has also provided technical assistance and training

to both state, federal and rail transit agency personnel in addition to regulatory, oversight and

enforcement functions for safety and security. This ranged from design, construction and

operations to maintenance processes and programs. His experience therefore included the

application of his expertise to manage project schedules, scope of work, scope creep, budget

issues and the changes that arise throughout the life of the project.

Examples from the DCMP project are:

• Completed project analysis and assessments including hazards, threats, vulnerabilities

• Managed and participated on the project’s Fire Life Safety Committee

• Performed System Safety and Security Certification and program implementation

• Performed project safety and security assessments, reviews and analysis

• Reviewed change orders and modifications for impact on system safety and security

• Participated in project System Safety and Security Certification working group

• Participated in project design, installation, testing and commissioning working groups

13


• Supervised design criteria conformance work with respect to system safety and security

• Supervised Systems Integration experts on safety, security engineering and interfaces

• Supervised Project Engineers on safety and security engineering and systems interfaces

Examples from the CHSR project are:

• Conducted investigations and led incident investigation teams

• Developed SS project staffing, scope and budget forecasts and plans for Early Start

Initiative, project construction, and for the CP2-3 project duration

• Budgets developed included detailed allocations, schedules, and contingencies

• Managed safety and security timelines, benchmarks and investigations

• Produced multiple processes, checklists and logs as required by client contract and

applicable federal standards and rules

• Performed research and analysis, including DOORS system database for SSC related data

• Led OTS (Over The Shoulder) sessions with client for Safety and Security Certification

• Produced, obtained agency approvals for Certifiable Items Lists in time for construction

• Led collaborative working sessions with V&V QA QC management to define and

streamline contract requirements submittal processes

D. Sample professional accreditations

1. TSI and Related Certifications

Transportation Safety & Security Institute, US Dept of Transportation

Five (5) distinct separate certificates from 2001-2003

Federal Law Enforcement Training Center, US Dept of the Treasury, Glynco, GA

Land Transportation & Anti-terrorism-Course Certificate in 2003

Federal Transit Administration, US Dept of Transportation, Washington DC

State Safety, Security Oversight & Management Annual Training Workshops

Every year from 2001-2006

National Transit Database, US Dept of Transportation, Washington DC

NTD Training-Course Certificate in 2003

OR-OSHA, OR Dept of Consumer & Business Services, Salem, OR

Occupational Health & Safety Administration-Course Certificate in 2001

2. Relevant Education

Charles H. Lundquist College of Business, University of Oregon, Eugene, OR

BS multiple degrees in Business Administration, Finance, Management in 1989

14


Willamette University, Salem, OR

BA Business Economics

Graduate School of Management in 1990

University of Science and Technology, Kumasi, Ghana, West Africa

Engineering, Math, Physics

Achimota School

GCE Advanced Level Certificates in Engineering, Math, Physics

3: Key Team Members Qualifications

SPECIAL EXPERT TEAM (INVESTIGATIONS) YEARS OF RELEVANT EXPERIENCE












TOTAL 342

A. Safety and Security Expert Kendall

1. Team role

Responsible for providing safety expertise in collaboration with Safety Expert and

Superintendent Hume

2. Prior relevant work, roles, experience with rules and procedures

• Veteran oversaw safety assessments in the United States Air Force

• Recent role as Safety Director for Hillsborough Area Rapid Transit (HART) in Florida

• Manages federal safety, security grants of 3 million dollars annually

• Manages annual risk management department budget of 7 million dollars

• Conducts investigations, TVA’s, safety reviews, audits, safety inspections, security

assessments, and write reports to the Federal Transit Administration (FTA) and the

Florida Department of Transportation (FDOT)

15


• Investigates hazards and incidents, including self-insured transit agency programs

• Administers federal safety, security compliance projects

• Administers safety and security policies, and implements training programs

• Develops and crafts safety, security maintenance policies and procedures

• Provides occupational health and safety training to other safety professionals

• Leads safety committee and inspection teams

• Manages environmental safety program with includes storage tank compliance

• Implements loss prevention, hazard, threat and vulnerability and risk assessments, and

safety and security strategies, policies and investigative analysis

3. Certifications

• Transportation Safety Institute- Rail Investigation Certification-2005

• Tampa Bay FBI Citizens Academy

• Private Investigation License

• Florida Department of Insurance Independent Adjuster License

• Risk Management for Public Entities Certified (RMPE) 2011

B. Police Chief and Expert Bell

1. Team role

Responsible for providing leading security and investigations expertise in collaboration with

Transit Investigations Expert Fletcher


• Former Portland Transit Police Division Commander

• Also Director of Safety and Security for TriMet

• TriMet MAX projects included the Yellow Line: $350 Million; the Red Line: $125 Million;

the Westside Blue Line: $963 Million; the Green Line: $575 Million

• Portland Streetcar projects included the initial downtown loop of $57 Million, its first

$18 Million extension and its $147 Million Eastside extension

• Performed numerous investigations, Threat and Vulnerability Assessments (TVA),

including work with US Secret Service, US State Department, and selection to attend

prestigious US Secret Service Dignitary Protection Academy in August 2001

• Served as liaison to Oregon State Legislature, performed TVA’s and subsequently

drafted ordinances that became template for state law

• Attended US Secret Service Dignitary Protection Academy in Washington D.C. (2001)

• Received Certificates from Oregon Department of Justice (DOJ) in Criminal Intelligence

Officer and Supervisor Courses

• ATF Post Blast Investigator Course

3. Certifications

16


Possesses every available Certificate for every level of combined education and experience

from the Oregon Department of Public Safety and Security (DPSST), with well over 3,000 hours

of documented training at Advanced, Supervisory, Management and Executive levels

C. Rail Systems Expert and Systems Engineer Kinoshita

1. Team role

Responsible for providing systems and rail engineering expertise in collaboration with

Transit Systems Expert Gallo


• Investigated, assessed and developed systems integration plans and testing procedures

for the Houston METRO Light Rail Transit’s North, Southeast, and East End expansion, a

$1.4 billion project (Location: Houston, TX, Mar 2012)

• Investigated, assessed and developed project management safety procedures and

protocols for an automatic train control upgrade for the Toronto Transit Commission’s

Yonge-University-Spadina subway line to increase ridership by 40% and decrease train

headways by 40%, a $300 million project (Toronto, CANADA, Mar 2011 - Jan 2012)

• Developed the contract specifications for two design packages and oversaw design

drawings for the World Trade Center Port Authority Trans-Hudson Transportation Hub,

a $3.2 billion project (May 2012 - Aug 2012)

• Managing systems interfaces for Metropolitan Washington Airports Authority (MWAA)’s

Dulles International Airport Silver Line Extension, a $6 billion project. Closed 94% of

open ICDs in 1.5 years (Location: Herndon, VA, Apr 2014 – Present)

• Managed systems design of the Passenger Communications System (Dynamic Signage

and Public Address Systems) and Ticket Vending Machine System for the Trans-Hudson

Express Tunnel and New York Penn Station Expansion for New Jersey Transit, a $8.7

billion project (Nov 2008 - Apr 2010)

• Currently overseeing the retrofitting of 506 R142A cars into CBTC enabled R188 cars to

form 46 11-car trains for New York City Transit’s Flushing Line, 7 train. Reduced CBTC

installation time by 87% (Location: Flushing, NY, Oct 2011 – Present)

3. Certifications

• M.S., Electrical Engineering, Concentration in Microelectronic Devices May 2006

• B.S., Electrical Engineering, Dean’s List Honors

• B.A., East Asian Studies, Minor in History May 2004

• Professional Engineering (EIT Candidate), State of New York, October 2015

• Graduate Certificate in Engineering Management, The City College of New York, 2007

• IEEE Vehicular Technology Society: 2011 Vice President, 2010 Treasurer, & 2009

Secretary

17


D. Civil Engineer and Structural Expert Luttrell

1. Team role

Responsible for providing civil engineering and structures incident expertise Expert Luttrell in

collaboration with Structures Investigation and Expert Architect Whittaker


• Managed Sacramento Valley Rail Station and Railyard Depot project

• Los Angeles Department of Transportation Maintenance and CNG Fueling Facility

• 50 years of experience in structural design, project management and code development

• Previous Chairman of the Structural Engineers Association of California (SEAC)

Seismology Committee at the time they completed development of the seismic code

provisions incorporated in the 1995 California Building Code (CBC)

• Designed the seismic renovation of three bridges after the Loma Prieta Earthquake

• Served seven years as a Board Member for the Applied Technology Council, a nationally

recognized non-profit organization that promulgates research in seismic design; seismic,

wind and flood damage assessment methods; seismic resistance evaluation; means to

mitigate damage due to seismic, wind, floods, high tides events, other natural disasters

• Involved in the evaluation of over 200 facilities for the State Seismic Program,

recommending seismic retrofit solutions

3. Certifications

• M.S., Structural Engineering, Stanford University

• B.S. Civil Engineering, CSU, Chico

• Registered Structural Engineer, California No. S1418

• Registered Civil Engineer, California No. C14043

4: Firm’s Project Management System

A. Quality Assurance and Quality Control

Through a system of checks and balances, every investigation project is fully monitored,

supported, reviewed and checked by multiple experts on the PTS team for quality, and to

ensure excellent results. Effective communications form part of the Quality control and

assurance activities by which PTS experts review all outgoing work interdependently to ensure

deliverables of the highest quality.

B. Tracking methods

PTS has created its own proprietary methods, systems and templates for use in managing the

logistics, schedules and cost and expense tracking in real time. Therefore, the client gets the

same high quality, consistent results every time. These systems are also nimble and versatile to

18


fit the different situations that arise. The systems are also integrated with PTS communications

technology to provide seamless use and coordination in the field. Protocols are firmly in place

to ensure that the work, schedule and expenses are all monitored daily and each result is

reviewed by other experts.

For the proposed investigations services for WSDOT, PTS and its support firms and top expert

consultants are managed by top transit and rail project veterans. The PTS inventory of

advanced and modern investigations tools and equipment are also available for deployment

into the field for use in WSDOT investigations.

C. Scheduling

The team is put together not just for its expertise and availability on short notice, but also for its

synergies as a well-functioning team unit. To remain nimble while providing expert results, PTS

makes communications and availability its primary goals. The project manager and experts are

always available on short notice to investigate any accidents and hazards as needed.

Accidents are never planned, and so the PTS investigations team is always available 24 hours/ 7

days a week to meet client demands and satisfy all stakeholder requirements. Mobilizing the

team is as simple as a cell phone call or page to the project manager, who then activates a pre-

set sequence of communications that result in a fully staffed team onsite and ready to work as

needed. The pre-set system has a template and checklists to assure the same quality response

from the expert team every time for clients and stakeholders.

D. Interactions

The PTS project management system is based on effective communications and forward

planning. PTS uses all modern communications tools ranging from video and email to mobile

devices. The project management system in place has the project manager overseeing 10 of the

top transit and rail investigation experts, to collectively ensure that all investigations are

completed thoroughly, reviewed and completed.

5: Project Delivery Approach

A. Work Plan development

Upon receiving the notice to proceed with an investigation, the project manager and PTS team

experts communicate with the client to ensure that key issues, specific information, milestones,

goals, timelines and other requirements and variables are determined at the outset. The

information is then fed into the PTS proprietary templates to produce project details that are

then communicated to the client and modified in accordance to the client’s needs.

19


For investigating accidents and hazards, PTS provides the top subject matter experts in the field

under the disciplines of Safety, Security, Civil Engineering and Structures, Rail Engineering, Rail

Systems Engineering, Transit Safety Management Systems, and Transit Project Administration.

B. Issue Resolution

The PTS issue resolution model is based on continuous communications, feedback and

monitoring both internally and with the client and stakeholders. This usually serves to pre-empt

issues from developing, or resolve them quickly once they arise. If any issues prove

problematic, an issue resolution or debriefing session is planned. This applies both internally

and with the client and stakeholders, and is effective and providing a final resolution.

C. Work Plan structure

The PTS expert team initiates its plan by traveling to the site of the accident or hazard for direct

information gathering and documentation, and formulating requests and questions for the

client that are designed to aid the investigation. Pertinent information is gathered from the

client and interviews are conducted in accordance with specific questions designed to aid the

investigation. The information gathered is sorted into templates and labeled for easy reference.

Interviews are arranged and conducted as needed in direct collaboration with the client and

stakeholders.

D. Issues and Milestones

As part of the pre-work planning and information gathering, PTS ensures that client

requirements for critical milestones, investigation specific issues, and required deliverables are

well documented. When necessary, a meeting is conducted with the client and stakeholders to

gather necessary information and status updates. All written materials are catalogued using MS

Office suite programs.

Testing is completed as necessary. Confidentiality is maintained as required. Once the

preliminary investigation is completed, then an onsite meeting or presentation is conducted

and a draft report completed for review by client and stakeholders. Follow up investigations

and information gathering is done. Draft report comments are solicited.

The draft report includes proposed Corrective Action Plans with timelines and responsible

parties that also invites comments from the client and stakeholders. Per client needs, PTS

provides a comprehensive array of follow up services to ensure that the conditions that gave

rise to the accident or hazard are properly and timely mitigated.

After acceptance of the Final Report and completion of all follow up services to the satisfaction

of the client and stakeholders, the project is deemed completed.

20

on-call accident and hazard investigation services · pdf fileon-call accident and hazard...

Documents