REGIONAL TRANSPORTATION AUTHORITY REQUEST FOR PROPOSALS REQUISITION NO FOR MOBILITY MANAGEMENT PROGRAM STARTUP AND ADMINSTRATION

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2 175 W. Jackson Blvd, Suite 1650 Chicago, IL rtachicago.org REGIONAL TRANSPORTATION AUTHORITY REQUEST FOR PROPOSALS REQUISITION NO FOR MOBILITY MANAGEMENT PROGRAM STARTUP AND ADMINSTRATION FOR A PERIOD NOT TO EXCEED 68 MONTHS Confidentiality and Non-Disclosure: Firms requiring assistance shall contact only Maria Biszewski, Procurement Analyst at (312) , or James Kozicki, Manager, Procurement and Contracting, at (312) Firms, including all team sub-consultants, who contact any RTA personnel, either verbally or in writing, directly or indirectly, concerning this solicitation package, are in violation of the procedures for this procurement and any submitted proposals may be disqualified. Proposals may be subject to disclosure under the Freedom of Information Act, 5 ILCS 140/1 et seq. Proprietary information will be protected to the full extent of the RTA s ability, provided that the owner of the information clearly identifies those portions of the proposal containing proprietary information.

3 TABLE OF CONTENTS I. RTA BACKGROUND... 3 II. INTRODUCTION... 3 III. STRATEGIC BUSINESS OBJECTIVES.6 IV. SCOPE OF SERVICES V. RTA ROLES AND RESPONSIBILITIES.28 VI. ASSUMPTIONS..28 VII. PROPOSAL REQUIREMENTS VIII. EVALUATION PROCESS AND CRITERIA Appendicies APPENDIX A Sample Agreement APPENDIX B EEO Requirements APPENDIX C Disadvantaged Business Enterprise APPENDIX D Insurance Requirements APPENDIX E Bid Protest Procedures APPENDIX F Non-Collusion Affidavit APPENDIX G Vendor/Contractor Certification APPENDIX H Vendor/Contractor Affirmative Assurances APPENDIX I Vendor Reference Form APPENDIX J Cost Proposal APPENDIX K Table of Exceptions APPENDIX L- Federal Certifications Attachments ATTACHMENT 1- ADA Brochure and Application ATTACHMENT 2- Travel Training Flyer ATTACHEMNT 3- Requirements Table ATTACHMENT 4- Preferred Site Locations ATTACHMENT 5- Interview Assessment Forms Guidance ATTACHMENT 6- Current Complex Assessment Guidelines ATTACHMENT 7- Eligibility Information ATTACHMENT 8- Appeals Brochure ATTACHMENT 9- Current Mail- In Criteria and Application ATTACHMENT 10- Travel Training Standard Operating Procedures and Curriculum ATTACHMENT 11- Travel Training Forms ATTACHMENT 12- Definitions

4 I. RTA BACKGROUND In 1974, the Regional Transportation Authority (RTA) was created upon approval of a referendum in the northeastern Illinois region including Cook, DuPage, Kane, Lake, McHenry and Will counties. The RTA is considered a special purpose unit of local government and a municipal corporation of the State of Illinois. Initially, the RTA provided financial assistance to existing public transit operators. As the need for public transportation increased, the RTA's role expanded to include the acquisition and operation of public transportation carriers as well as contracting to provide service. In 1983 and again in 2008, the RTA Act was amended with substantial changes made to the RTA's organization, funding and operations. The amended Act created three Service Boards: Chicago Transit Authority (CTA), which operates fixed route bus and L rail service; Pace, which operates suburban fixed route bus service, as well as the region s Americans with Disabilities Act (ADA) Paratransit service on behalf of CTA and Pace; and Metra, which operates commuter rail service throughout the six-county service area. The RTA's mission is to ensure a fiscally sound, comprehensive and coordinated transit system in northeastern Illinois. The RTA is governed by a 16-member Board of Directors, which employs an Executive Director to administer and manage the organization. Its primary responsibilities are financial and budget oversight of CTA, Metra, and Pace, and regional transit planning issues. The RTA is the third largest public transportation system in North America, providing more than 2 million rides a day. The RTA system has 7,200 route miles in the six-county region with a population of approximately 8.3 million people. Pace ADA Paratransit operates an average of 20,000 trips each weekday in the Pace and CTA service areas. The RTA is responsible for determining ADA Paratransit eligibility for the region. Additional information about the RTA can be obtained at II. INTRODUCTION The ADA is a civil rights legislation that prohibits discrimination and ensures equal opportunity for people with disabilities in employment, state and local government services, public accommodations, commercial facilities and transportation. The U.S. Department of Transportation (DOT) ADA regulations contained in 49 Code of Federal Regulations (CFR) Parts 27, 37 and 38 require that fixed route bus and rail facilities, vehicles and programs be made accessible to people with disabilities. Additionally, the ADA regulations require that complementary paratransit system be provided for individuals who are unable to use the accessible fixed route services due to their disability or health condition. Generally, ADA Paratransit is required to be provided within a ¾-mile corridor of fixed route bus service and Page 3 of 40

5 within a ¾-mile radius of rail stations, during the same days and hours of service when fixed route service is available. Under the ADA, complementary paratransit service is only required for trips that cannot be made on the fixed route system because of a person s disability. Some individuals may be eligible for ADA Paratransit for all of their travel, while others may be eligible to use ADA Paratransit for some trips and not others. As described in 49 CFR Part 37 Subpart F, eligibility depends on the individual s functional abilities and need for accessible equipment as well as relevant architectural and/or environmental barriers. The RTA s Mobility Services Department operates a variety of programs aimed at improving and managing the mobility of customers across the RTA region, with a particular focus on people with disabilities and older adults. These programs currently include operating the ADA Paratransit Certification Program (with a third-party contractor providing in-person interview and assessment services), administering an individual and group Travel Training Program, and managing the RTA s Ride Free and Reduced Fare permit programs. Trends indicate that the region s population is aging and will continue to age. As an increased number of older adults are acquiring disabilities, the demand for ADA Paratransit service is also increasing. Current projections suggest that applications for ADA Paratransit service in the RTA region will grow at an average rate of 8% annually over the next five years. In order to better manage this projected growth in demand, the RTA seeks to more completely integrate a comprehensive mobility management approach into its ADA Paratransit certification process. Information about fixed route and community-based transit options, Travel Training, and RTA Fare Programs will be discussed at various points during the ADA Paratransit Certification process. Providing information regarding RTA Fare Programs and transportation resources available in the customers communities will also be an integral part of the Travel Training program. Our intent with this expanded mobility management approach is to assist people with disabilities and older adults to achieve greater travel independence by proactively educating ADA Paratransit applicants and current customers, community agency staff, families and caregivers about available transit options in the six-county region. A key goal of this new service delivery model is to help customers find the transportation options that will best meet their travel needs before they apply for ADA Paratransit service, during the ADA Paratransit certification process or as part of the Travel Training program. Over time, we believe that this approach will reduce reliance on ADA Paratransit service by helping customers transition some of their ADA Paratransit trips to fixed-route and other transportation modes. In order to expand the education component of the program, while managing the increased demand for ADA paratransit and travel training services, the RTA is reorganizing its internal approach to providing services to older adults and people with disabilities, and also seeks to Page 4 of 40

6 procure a contractor to operate both the ADA Paratransit Certification Program and One-on- One Travel Training Program on its behalf. Overview of the Current ADA Paratransit Certification Program The RTA has been responsible for certifying people with disabilities for ADA Paratransit service in the Chicago region since At that time, the RTA implemented and administered a selfcertification process based on the submission of a paper application. In 1999, the RTA transitioned to a certification process that requires all applicants to have an in-person interview and possible functional assessment(s) in addition to submitting a paper application. The RTA uses a comprehensive, consistent, and fair approach to ADA Paratransit certification. All new applicants must participate in an in-person interview and may be required to complete additional functional assessments. Every four years, most recertification applicants are required to participate in an in-person interview and possible functional assessments in order to complete the recertification process. The RTA also has a mail-in recertification process for defined groups of certified customers. Responsibilities for the operation of the current ADA Paratransit Certification Program are split between RTA staff and a third-party contractor. Presently, RTA staff is responsible for handling general information calls, screening potential applicants, distributing applications, scheduling in-person interviews and arranging transportation for applicants to travel to and from their interview and assessment appointment. The RTA provides transportation at no cost to applicants through an intergovernmental agreement (IGA) with Pace, the regional ADA Paratransit service operator. The current third-party contractor operates five interview and assessment sites (two sites in Chicago, one site in Alsip, and two part-time sites in Naperville and Libertyville). The contractor is responsible for collecting the completed application and any third-party documentation brought to the appointment, taking a digital photo of the applicant, conducting the interview and assessments, and providing results and observations to the RTA. RTA staff is then responsible for obtaining any additional information/professional verification necessary to determining eligibility, making the certification decision and issuing the certification letter. RTA staff is also responsible for electronically transmitting eligibility information to Pace for service provision, as well as coordinating production with another third-party vendor of a Paratransit photo ID card for eligible customers. The current ADA Paratransit Certification Program brochure and application is included in Attachment 1. Page 5 of 40

7 Overview of the Current Travel Training Program Since passage of the ADA, physical and attitudinal barriers to fixed route use for people with disabilities are gradually being removed. However, physical, psychological, cognitive, and skillrelated barriers to using fixed route transit service still exist. RTA s Travel Training Program seeks to remove or lessen these types of barriers and introduce people with disabilities to accessible features of fixed route bus and rail transit. By doing so, the RTA hopes to: (1) increase transit options and improve the mobility of people with disabilities who are able to use fixed route for some or all of their trips and (2) improve availability of ADA Paratransit services for those individuals who, because of the nature of their disability or health condition, are unable to use accessible fixed route service even with training. The RTA Travel Training Program teaches individuals with disabilities and older adults how to use CTA, Metra and Pace buses and trains. The current Travel Training Program offers three types of training tailored to meet each participant s needs: Trip Training trainees are taught how to make specific trips using a repetitive training process which involves practicing on buses and trains to travel to locations they visit on a regular basis. Individual Transit Orientation trainees receive a general introduction to bus and train accessibility with the goal of educating participants on how to use the entire transit system. Group Transit Orientation group presentations are given at agencies that serve people with disabilities and older adults with the goal of giving participants and agency staff an introduction to the accessibility of CTA, Metra and Pace service, and to demonstrate the benefits of using fixed route buses and trains. The current Travel Training program is administered entirely by RTA staff. The current RTA s Travel Training Program flyer can be found in Attachment 2. III. STRATEGIC BUSINESS OBJECTIVES Through this procurement, the RTA is looking to achieve the following strategic business objectives: 1. Continue to Comply with ADA Regulations ADA Paratransit service is a civil right and the RTA s ADA Paratransit Certification Program must comply with U.S. DOT ADA regulations. This procurement is intended to provide the RTA with the tools needed to ensure continued compliance with all applicable ADA regulations. 2. Enhance the Customer Experience The customer s experience while riding the RTA system is of critical importance to the RTA and Service Boards. The RTA Mobility Services Department is in the process of Page 6 of 40

8 better integrating its programs and services to enhance the travel experience of older adults and people with disabilities. This procurement is intended to provide opportunities for further integration of RTA s programs and services for these communities. 3. Meet Growing Demand Demand for both the RTA s ADA Paratransit Certification and Travel Training programs is expected to increase over the next five years. The RTA does not believe it can meet the anticipated demand over that period using its current service delivery models. This procurement is intended to help the RTA meet the growing demand of these programs in an effective and cost-efficient manner. 4. Encourage Fixed Route Transit Use With a goal to ensure the financial viability of the region s transit system, the RTA and Service Boards are working to encourage the use of fixed route transit service when appropriate. The RTA s Travel Training program is one tool that has proven to be successful in this effort. This procurement is intended to expand the Travel Training program and increase fixed route transit use among people with disabilities and older adults, when appropriate. To achieve these strategic business objectives, the RTA has determined that changes are needed in the way RTA services are delivered to customers. The RTA plans to implement a new service delivery model through this procurement that involves several substantive changes to the roles and responsibilities of the RTA and its ADA Paratransit Certification contractor, including new technologies to improve processes and procedures as outlined in Table 1. Overview of the New Service Delivery Model The RTA seeks to hire a contractor to establish and operate a two-site ADA Paratransit Certification interview and assessment model that will integrate transportation education and travel training into the ADA Paratransit Certification services offered at each site. Based on the results of an extensive review of peer agencies, an assessment of local conditions, and a detailed site location and cost analysis, the RTA has determined that a two-site model is the most cost effective option while providing the shortest average travel times for applicants. The RTA s preferred new service delivery model features the following changes as compared to the existing service delivery model: 1. Reduce the Number of ADA Paratransit Interview and Assessment Sites The contractor will be responsible for the lease and build-out of two ADA Paratransit Interview and Assessment sites that are compliant with the specifications outlined in Section IV: Scope of Services and in accordance with the requirements set forth in Attachment 3. Page 7 of 40

9 2. Increase Contractor Responsibilities Related to ADA Paratransit Certification The contractor will be responsible for handling all phone calls from potential applicants. The contractor will explain ADA Paratransit service and the criteria for ADA Paratransit eligibility to callers to help them determine if applying for ADA service is appropriate. The contractor will be responsible for scheduling interview appointments and coordinating transportation arrangements with Pace, the regional ADA Paratransit provider. The contractor will assist the RTA in obtaining documentation of applicants disabilities or health conditions. This will include encouraging applicants to bring available documentation to interviews as well as contacting named professionals when sufficient documentation is not provided by applicants. The contractor will also be responsible for making certification recommendations, documenting rationale for eligibility decisions and issuing certification letters to applicants. The contractor will transmit certification and demographic data to Pace, and photos and related information to RTA contractor for ID card production. During the certification process and following certification, the contractor will be responsible for handling phone calls from applicants regarding appointment or certification status, certification decision and appeal process, updates to demographic, personal care attendants (PCA) or mobility aid information and other related inquiries. 3. Shift Responsibility for Individual Travel Training to the Contractor The contractor will be responsible for operating the One-on-One Trip Training and Individual Transit Orientation components of the RTA Travel Training Program. The RTA will retain responsibility for Group Transit Orientation. 4. Increase Integration of Mobility Management Activities The contractor will be responsible for educating customers on the RTA Travel Training Program, the RTA Reduced Fare and Ride Free Fare programs, and transportation resources that are available in their own communities. This education will take place during initial phone screening calls, while the customer is at the ADA Paratransit interview and assessment site, and during travel training sessions. In addition, the contractor will display transportation resource information provided by the RTA in the waiting area of the ADA Paratransit Interview and Assessment Sites. 5. Implement Electronic Records Management System The contractor will be responsible for implementing, operating, maintaining and hosting a database(s) and database application(s) to manage the ADA Paratransit Certification and One-on-One Travel Training programs. The electronic records management system will be used to enter and store data related to: Page 8 of 40

10 a. customer demographics, b. interview appointment and transportation information, c. application and professional verification information, d. interview and assessment results and observations, e. certification determinations, f. certification appeals, g. certification and travel training notes and observations, h. and travel training reports. This system will eliminate the paper application records currently maintained in the ADA Paratransit Certification program today, as well as replace the databases and database applications through which these programs are managed currently. The database application provided by the contractor should follow the Illinois Information Technology Accessibility Act standards. As part of this transition to a new service delivery model, the RTA has identified a preferred ADA Paratransit Certification process. Table 1 shows a comparison of the current ADA Paratransit certification process against the preferred future process. The RTA will consider an alternative to the preferred future process if the proposer can demonstrate that they would be more cost efficient and/or effective. Table 1: ADA Paratransit Certification Process Current Process Preferred Future Process 1 ADA Helpline: customer calls ADA Helpline: customer calls (answered by RTA staff). RTA staff conducts initial screening / answers customer questions. RTA staff sends lists of applicants who need an application to RTA s mailing house vendor. RTA s mailing house vendor sends application packet to customer. Customer calls RTA to schedule interview and assessments, including transportation to site, if needed. Scheduling information entered into RTA Access-based scheduling database. (answered by contractor). Contractor conducts initial screening / answers customer questions, and enters information into database provided by contractor to start the electronic record. RTA will need to have ability to monitor the call for QA purposes. Contractor will send lists of applicants who need an application to RTA s mailing house vendor. RTA s mailing house vendor sends application packet to customer. Customer calls contractor to schedule interview and assessment appointment, including transportation to site, if needed. Contractor will provide software for booking interview and assessment appointments. RTA 1 The RTA will consider alternative new processes if the proposer can demonstrate that they would be more cost efficient and/or effective. Page 9 of 40

11 RTA transmits site schedules to Pace for trip scheduling. (Pace is responsible for booking trips and notifying customers of scheduled pick-up times.) Customer goes to site. Contractor starts application record in RTA ADA Web-based certification database. Contractor enters all application information into ADA database. Contractor takes digital photo, stored in RTA vendor Web-based photo database (provided by existing RTA contractor). Contractor conducts interviews and assessments and completes written reports and forms. Contractor messengers completed interview guides/assessment forms to RTA. RTA staff reviews packets from sites for accuracy of records and prepares application file. Files assigned to ADA Certifiers (RTA staff). Certifier obtains any additional information needed and makes certification decision; certification decision and summary note are entered in ADA database. Certifier writes certification letter (in Word) and saves letter in RTA network folder. will need to have ability to monitor calls and appointment booking records for QA purposes. Contractor transmits site schedules to Pace for trip scheduling. (Pace is responsible for booking trips and notifying customers of scheduled pick-up times.) RTA staff will serve as point of resolution between contractor and Pace for scheduling issues. Customer goes to site. Contractor staff enters data from application into contractor s database. Contractor takes digital photo, stored in RTA vendor Web-based photo database (provided by existing RTA contractor). Contractor conducts interviews and assessments, and enters results into its database. RTA will need to be able to monitor with access to the contractor s database for QA purposes. Contractor obtains any additional information needed, makes certification recommendation and drafts certification note and letter. RTA staff reviews recommendation and letter and approves, sending notification back to contractor to finalize decision (workflow process). RTA will progressively fade back from approving recommendations until contractor is making the majority of decisions without RTA pre-approval. The proposed schedule for transitioning the contractor from making recommendations to certifications can be found in Section III.1.B.7 (Page 18). Contractor finalizes certification decision. Contractor finalizes certification letter and saves in electronic database. Page 10 of 40

12 RTA staff sends letter and welcome packet to customer. RTA performs nightly download of eligibility decisions and demographic data to Pace. RTA sends data to Valid USA (RTA s ID card vendor) for card production. Valid USA mails card to customer. Appeals: RTA Certifier receives written appeal request, discusses eligibility with appellant and forwards complete file to RTA manager for Administrative Review. RTA Manager may change certification if oversight identified or forward to Eligibility Review Board (ERB) for appeal hearing. ERB notifies appellant of final decision. If decision is changed, RTA manager mails a new eligibility letter to appellant. Updated eligibility information transmitted to Pace. All relevant data entered in ADA database. Contractor sends letter and welcome packet to customer. Contractor performs nightly download of eligibility decisions and demographic data to Pace. Contractor sends data to Valid USA (RTA s ID card vendor) for card production. Valid USA mails card to customer. Appeals: Contractor receives written appeal request, discusses eligibility with appellant and notifies RTA manager for Administrative Review. RTA completes appeal process and documents all relevant data in contractor database. RTA notifies contractor if eligibility changed and contractor transmits updated eligibility information to Pace and sends new eligibility letter. With these changes, the RTA, in turn, will focus on delivering a community-based model of providing transportation resource education and program assistance to people with disabilities and older adults in their own communities. RTA-employed Mobility Outreach Specialists will be strategically based throughout the six-county region at senior centers, disability service organizations, government offices, libraries and other locations. The Mobility Outreach Specialists will: Discuss fixed route options in the customer s community; Teach customers how to plan trips on fixed route; Educate customers on alternate transportation options available in their communities; Help customers register for the RTA fare programs; and Refer customers for Travel Training and ADA Paratransit Certification Programs operated by the contractor. IV. SCOPE OF SERVICES The contractor will be responsible for operating the RTA s ADA Paratransit Certification Program and RTA s One-on-One Travel Training Program. The contract term will include a mobilization phase (projected to begin in January 2016 and end August 31, 2016) before entering into a period of 5 years of on-going program operations. The mobilization phase will feature a series of milestones (Table 2) that must be met in order to transition to full program Page 11 of 40

13 operations. The RTA will provide the contractor with a Notice to Proceed upon approval that each milestone has been met. Table 2: Milestones 1 January 2016 Award of contract and project kick-off 2 May 2016 Contractor s Travel Training Program is ready to accept referrals and start providing training to customers 3 June 2016 One of the two ADA Paratransit Interview and Assessment sites is ready to open and start serving customers. Testing with customers and a transition period will begin 4 August 2016 The second ADA Paratransit Interview and Assessments Site is ready to open and serve customers. Continue with transition of customers to the new sites 5 September 1, 2016 Contractor is fully operating all services in the scope of the contract The must complete the following tasks in accordance with the requirements set forth in Attachment 3: 1. ADA Paratransit Certification Program A. Establish and Operate Two ADA Paratransit Certification Interview and Assessment Sites Secure, build out, equip and furnish two ADA Paratransit Certification Interview and Assessment sites in accordance with the requirements set forth in Attachment 3. Based on the geographic distribution of current customers and travel time analysis, RTA has identified preferred locations for the two sites; one on the south side of the City of Chicago and one on the northwest side of the City of Chicago (see Attachment 4). It is expected that approximately 60% of the applicants will be scheduled at the south side facility, and 40% at the northwest side facility based on geographic distribution of the ADA paratransit applicant base. The preferred locations for these sites are within a two-mile radius of the following intersections: 1. South Halsted Street and West 100 th Street (south side of Chicago) 2. West Irving Park Road and the Kennedy Expressway (I-90/94) (northwest side of Chicago) See detailed maps in Attachment4 for the preferred site locations. If proposing locations outside of the preferred area(s) the contractor must provide the reasons why and what efforts have been undertaken to find a suitable facility in these areas. The RTA reserves the right to review and approve all site locations and build-out plans. Page 12 of 40

14 Each site must feature an outdoor walking/wheeling course for completion of the physical functional assessment, as well as an indoor course to be used as back-up in case of extreme weather conditions. A partial bus mock-up, to be constructed by the contractor, is to be located at each site and shall be used during the physical functional assessment and for information/training purposes regarding fixed route boarding and securement. The RTA will provide the design and certain bus part equipment (i.e. ramp, securement) for the bus mock-up at each site. Specifications regarding the assessment course(s) and equipment to be used in the assessment process can be found in Attachment3. The contractor may determine normal hours of operation; however, some evening and Saturday hours will be required. Each site should be located within close proximity to public transit, if possible. B. Operate the ADA Paratransit Certification Program Operate the RTA s ADA Paratransit Certification Program in accordance with the contractor responsibilities outlined below and shown in Figure 1. Page 13 of 40

15 Figure 1: Preferred ADA Paratransit Certification New Application Process Page 14 of 40

16 The responsibilities of the contractor include, but are not limited to, the following: 1. Hire and train staff a. Provide and maintain sufficient staff to operate the ADA Paratransit Certification Program. b. Recruit and retain sufficient staff who are bilingual in Spanish and English to meet customer demand for phone, in-person and written communications to be provided in Spanish. c. Staff must meet the qualifications and requirements set forth in Attachment 3. d. Develop and execute a comprehensive orientation and training curriculum for ADA Paratransit Certification staff. e. Provide ongoing supervision and training to maintain proficiency in the ADA Paratransit Certification process and compliance with ADA regulations and RTA protocols. 2. Provide Program Information and Send Application Materials The contractor will be responsible for handling all phone inquiries and application/brochure requests for ADA Paratransit certification. a. Provide information about ADA Paratransit services, operation and eligibility to individuals who call inquiring about the service. b. Provide information as indicated about other RTA programs and services as well as other community transportation resources. c. Provide an explanation of the ADA Paratransit application and certification process. Obtain the necessary information to fulfill a request for an application or brochure. d. Forward mailing list information electronically for application or brochure requests to the RTA s fulfillment / mailing house contractor twice per week. 3. Schedule Interviews and Assessments The contractor will be responsible for scheduling all ADA Paratransit interview and assessment appointments. a. Confirm completion of application form and determine what type of application appointment should be scheduled (i.e., new, reapplication, and recertification). b. Schedule appointment for in-person interview and functional assessments and identify need for any reasonable accommodation (e.g., American Sign Language (ASL) interpreter or language translation). c. Review what to bring to appointment and what will take place at appointment. d. Discuss with caller that documentation of disability is strongly recommended. e. Send applicant a letter confirming their appointment; include important reminders to prepare for the interview and assessments. 4. Coordinate Transportation to Appointment a. Obtain information for Pace to schedule free transportation to and from the appointment, if required. Page 15 of 40

17 b. Transmit information to Pace for site trip scheduling. c. Once the trip has been scheduled, Pace will contact applicant with pick-up time and provide details of the scheduled trips to the contractor and RTA. 5. Conduct Interviews and Assessments The contractor will be responsible for conducting all interviews and functional assessments for ADA Paratransit applicants (see Attachment 5 for interview and assessment forms currently in use). a. Review application form and any third party documentation brought by applicant. Scan photo ID and any third party documentation into database. Obtain any missing information to complete application, as well as contact information and release of information signature for additional third party documentation if not provided on application form. b. Take photo of applicant using digital camera/web cam supplied by contractor and photo database/application provided by RTA. c. Observe mobility and behavior of applicant throughout the appointment and record any notable observations. Interview the applicant to obtain detailed information about how their disability prevents or limits their use of fixed route service. d. Identify circumstances under which the applicant could use fixed route service. Provide information about other RTA services Travel Training and the Ride Free and Reduced Fare programs, if indicated. Provide information about the accessibility features of fixed route service and clarify any possible misconceptions regarding ADA Paratransit eligibility and operations if appropriate. e. Determine if the applicant requires a physical and/or cognitive functional assessment (FACTS Test) and/or mini-mental state exam (MMSE). In general, the following factors should be considered in determining whether an assessment is to be done following an interview: i. Physical assessment Report and/or observation of physical mobility limitations and at least some level of independent mobility ii. MMSE Report and/or observation of memory and/or other cognitive issues and at least some ability to participate in assessment iii. FACTS Test Report and/or observation of developmental intellectual disability and at least some ability to participate in assessment. iv. Refer to Attachment 6 for guidelines for additional considerations in more complex situations. f. Conduct functional assessments using the appropriate protocols. Standardized assessments such as the FACTS Test and the MMSE will use the officially designated and approved forms (copyrighted in the case of the MMSE). Samples of the physical functional assessment form, cognitive assessment form (FACTS Test), and the MMSE forms are provided in Attachment 5. MMSE forms must be obtained from Psychological Assessment Resources, the company that holds the copyright for the assessment tool. Page 16 of 40

18 g. Inform the applicant whether their application is complete and that an eligibility decision will be made within twenty-one (21) calendar days from completion of the interview and any necessary assessments. In the case of recertifications, eligibility will be determined by the expiration date, assuming the applicant has completed the interview and assessments (or submitted a complete mail-in application) within seven (7) calendar days prior to the expiration date. Inform the applicant that if a decision is not made within the relevant time frame they will be given presumptive eligibility and can request ADA Paratransit service until a decision is made. h. Complete required forms and data entry in the program database. Fully and clearly document all information gathered and observations made. Include interviewer/assessor notes along with the appropriate forms. Electronic forms should reflect the content of the respective interview and assessment protocols. The contractor enters the application form information into the database. The application is also scanned into the database to preserve applicant answers as well as signature for the application and release of information form. 6. Obtain Third Party Professional Information The contractor will be responsible for obtaining any additional information required to make an ADA Paratransit certification recommendation. a. Obtain additional information from third-party professionals if needed to make an accurate and thorough determination of eligibility. b. Initiate contact with named professionals if applicants do not provide documentation of disability or if documentation is not sufficient to verify the disability that prevents use of fixed-route service. c. Document all contacts / contact attempts in database and scan any written documentation received. d. In most cases, if no response is received within 21 calendar days from initial request and despite additional follow-up attempts, then the contractor may make eligibility recommendation based on information available. 7. Make Certification Recommendation The contractor will be responsible for making a certification recommendation for each ADA Paratransit applicant. a. Determine recommended eligibility decision and draft certification note summarizing relevant information, rationale for recommendation, and recommended eligibility categories. Draft certification letter that reflects the recommended eligibility decision. b. Provide to RTA electronically along with access to full electronic application file for review. See Attachment 7 for eligibility category list, sample certification notes and certification letter templates in use today. c. Respond to any RTA staff inquiries, including gathering additional information from professionals if this was not done as part of the initial process. Page 17 of 40

19 Initially, RTA staff will review all certification recommendations and draft certification notes and letters before they are finalized and sent to the applicant. Over time, RTA staff may review only certain files and letters. Following is the proposed schedule for the incremental implementation of greater contractor responsibility for eligibility recommendations and decisions: a. Months 1 through 6 (after full program implementation) RTA will review 100% of eligibility recommendations made by the contractor. b. Months 7 through 12 RTA will review all eligibility denials, 50% of conditional recommendations, and 25% of unconditional and temporary recommendations. c. After 12 months RTA will review all denials, 25% of conditionals, and 10% of unconditional and temporary eligibility recommendations. Note that these percentages are subject to change, depending on the accuracy and quality of eligibility determinations and documentation at each of the milestones indicated above. This timeline may be abbreviated for mail-in recertification determinations. Once the RTA transitions to reviewing less than 100% of eligibility determinations, it will randomly select a percentage of files for review and will inform the contractor that the remainder do not require additional review and can be processed for final entry and mailing purposes. 8. Notify Applicant of Certification Decision The contractor will be responsible for notifying each applicant of their ADA Paratransit certification decision. The steps include: a. Mailing certification letters and information packets to applicants. The contractor is responsible for all mailing and postage supplies and expenses. b. The certification letter packet will include the certification letter and Pace service brochures for eligible customers, RTA appeal brochure for conditional and not eligible outcomes, and RTA fare program brochures for ineligible customers. The contractor is responsible for producing the certification letter in the requested format, including regular and large print English, regular print Spanish, Audio tape/cd and Braille. RTA will provide to the contractor the appeal brochure in print and alternate formats and will also provide the contractor with Pace customer guides and RTA fare program brochures. 9. Transmit data to third parties a. The contractor is responsible for creating and transmitting an electronic file for download by Pace that contains the required demographic and certification information necessary for operation of the ADA Paratransit service. This would include information at the point of certification as well as updates to specified information during the eligibility period. Page 18 of 40

20 b. The contractor is also responsible for creating and transmitting an electronic file for import by the RTA ID card contractor that contains the required demographic and certification information necessary to create an ADA Paratransit ID card. Transmission of the applicant photo for import by the RTA ID card contractor would also occur at this time. In addition, the contractor is responsible for updating demographic information in the ID card contractor database as this occurs. 10. Support Certification Appeals Process The contractor will be responsible for supporting the RTA, as needed, in the administration of the ADA Paratransit Certification appeals process. See Attachment 8 for the RTA ADA Paratransit Certification appeal brochure. a. Offer sufficiently detailed language in certification letters to provide appellants with information that can form the basis of an appeal. See Attachment 7 for a template of RTA certification letters. b. Respond to customer inquiries regarding eligibility determinations and the appeal process and/or contact appellant for discussion of eligibility and appeal following receipt of appeal letter and prior to notifying RTA of appeal request. Document contact in database. c. Receive and log all requests for appeals in database. Written appeal request and any accompanying documentation are scanned into database record. d. Within two business days notify RTA of appeal request following receipt of written request and completion of any required follow-up contact. e. Provide any additional information to RTA to ensure that ADA required time limits are met. Application information and documentation will be directly accessible to the RTA for Administrative Review and to provide to appeal board for Formal Appeal. f. Make the appropriate contractor staff available to provide information to the appeals panel, if needed. 11. Conduct Recertification Process The standard eligibility term for non-temporary certifications is 4 years. The contractor will make a determination during the initial certification process of whether the applicant qualifies for a simplified mail-in recertification or will be required to come in for an interview and assessment appointment at the end of their 4-year eligibility term (see Attachment 9 for the current RTA mail-in recertification guidelines and application form). An illustration of the recertification process is shown in Figure 2: Page 19 of 40

21 Figure 2: ADA Paratransit Recertification Process Page 20 of 40

22 The responsibilities of the contractor include, but are not limited to, the following components: Recertification materials will be mailed to registrants two months in advance of their eligibility expiring. At the start of each month, the contractor will compile a mailing list of registrants whose 4-year eligibility is due to expire and submit the list electronically to the RTA fulfillment/mailing house. The list will be divided into two groups: 1. Customers who will receive a mail-in recertification packet; and 2. Customers who will receive a standard in-person application packet. All customers will receive a customized letter reminding them of the expiration date of their eligibility and providing instructions on how to proceed with recertification (depending on whether the recertification is by mail or in-person). The contractor will also provide information to the RTA fulfillment/mailing house with regard to accessible format requirements of individual customers. Note that review of pre-existing records for current customers will be useful in the determination of eligibility for recertification applicants, especially in the case of mail-in recertifications. All current customer data, with the exception of interview and assessment documentation, is available electronically in the current RTA databases. Interview and assessment documentation for current customers is available in hard copy form only. 12. Conduct In-person Recertification a. The customer completes the application form and follows the instructions to call the contractor to schedule a recertification appointment at least 30 days prior to the expiration date of their eligibility. b. If the customer calls to schedule in sufficient time, the recertification appointment is scheduled for approximately 30 days prior to the expiration date. c. If the customer calls to schedule less than 30 days prior to the expiration date, the appointment is scheduled in accordance with standard scheduling timelines. d. From here, the recertification process is the same as outlined in the earlier section of the ADA Paratransit Certification scope (from item B-3 forward). 13. Conduct Mail-in Recertification a. The customer will complete the mail-in recertification application and mail it back to the contractor. b. The contractor enters the application information into the database and performs any necessary follow-up to bring application to completion (i.e., missing demographic data, no signature, missing answers to application questions, etc.). The application is also scanned into the database to preserve Page 21 of 40

23 applicant answers and signature for the application and release of information form. c. Contractor reviews application information to make recertification decision. This includes: i. Comparison of current application information to previous certification information (especially previous in-person data) to confirm consistency; ii. Perform any necessary follow-up to resolve discrepancies, including possible contact with applicant, family/caregiver, and/or treating professionals; and Determine if mobility remains significantly limited or if there has been a significant enough change to warrant an updated inperson functional assessment or in-depth review (IDR) (i.e., if a mobility aid has changed to a power wheel chair or power scooter and there are no documented visual or cognitive limitations). iv. Contractor contacts customer to schedule updated functional assessment (IDR) if indicated. iii. d. At this point, the recertification process is the same as outlined in the earlier section of the ADA Paratransit Certification scope (see item B-7 forward). 14. Phone-Based Customer Service The contractor will be responsible for handling customer phone calls related to the ADA Paratransit Certification Program including, but not limited to, the following: a. General inquiries regarding ADA Paratransit service and eligibility, including the provision and clarification of basic information about Pace ADA Paratransit operations as well as local Dial A Ride services, coordinated transportation programs, travel training, and other transportation resources b. Inquiries regarding the status of appointments or applications c. Updates of name, address, phone, or other demographic information d. Post-certification inquiries regarding eligibility decision, appeal process, personal care attendant approval, mobility aid change, visitor eligibility, etc.; and e. All significant contacts with or on behalf of an applicant/customer are to be documented in the customer s database record. 2. Travel Training A. Operate the RTA s One-on-One Travel Training Program The contractor will be responsible for operating the RTA s One-on-One Travel Training Program, which serves people with disabilities (including people with vision impairments) and older adults, in accordance with the responsibilities outlined below and detailed in Attachment 10. The One-on-One Travel Training program includes both Individual Trip Training and Individual Transit Orientation. An illustration of the model is below: Page 22 of 40

24 Figure 3: Travel Training Process Page 23 of 40

25 The responsibilities of the contractor include, but are not limited to, the following components: 1. Hire and Train Staff a. Develop and execute a comprehensive orientation and training curriculum for travel trainers. b. Provide ongoing supervision and training to maintain proficiency and compliance with RTA and professional protocols in the provision of travel training services. c. Recruit and hire sufficient staff to operate the One-on-One Travel Training Program. Completion of the Project ACTION travel training course is preferred but not required. d. Staff must meet the qualifications and requirements set forth in Attachment 3. Note that the contractor will be required to provide travel training to blind and low vision individuals, and will need to staff accordingly with a Certified Orientation and Mobility Specialist. Historically the RTA has worked with a very limited number of individuals with vision disabilities approximately 15 per year. The RTA would like to increase the participation with vision disabled individuals, as this appears to be an untapped group for potential fixed route use for at least some trips. 2. Screen Travel Training Participants The contractor will identify/receive referrals of candidates for travel training through a variety of sources including: The ADA Paratransit certification process; Referrals from RTA Mobility Outreach Specialists and other staff; and Direct calls from community members interested in travel training. The RTA does not expect the contractor to perform outreach to recruit Travel Training participants from the community as RTA staff will be conducting extensive outreach to promote the Travel Training Program. The Contractor must have the capability to accept and respond to phone calls from interested individuals and/or agency representatives regarding the travel training. The contractor must also provide spoken language and sign language interpreter services, either through bilingual training staff or contractual arrangements. Once a referral is received, the contractor will be required to: a. Pre-screen candidates over the phone to determine whether they are appropriate for Travel Training; and b. Schedule in-person pre-training assessment interview. Page 24 of 40

26 3. Conduct Pre-training Assessment Interview The contractor will be responsible for conducting a pre-training assessment interview prior to the training of all participants. General protocol for completing a pre-training assessment interview is as follows: a. Conduct pre-training assessment interview in-person with customer using a comprehensive Travel Training Assessment Report approved by the RTA (See Attachment 11 for an example of the form currently being used); b. Include additional participants in the interview, such as parents, guardians, caseworkers, etc., at the discretion of the trainee, following discussion with the trainer; c. Establish initial training goals; d. Make reasonable effort to schedule the trainee s pre-training assessment interview at a time that accommodates the schedule of the trainee. This may include evening and/or weekend hours; e. Conduct the pre-training assessment interview at a mutually agreed upon location, preferably at the customer s home, so the Travel Trainer can use the meeting as an opportunity to assess the customer s environment; f. Emphasize the advantages of independent travel on fixed route public transit to the trainee; and g. Complete and obtain signature for a Travel Training Assessment Report. All reports and signatures are to be maintained electronically in the program database. It is expected that reasonable attempts will be made to contact the trainee by phone, mail, and/or through an identified contact person. There may be circumstances where the contractor is unable to contact the trainee in a timely manner. If this occurs: a. Document in database the reason(s) for the scheduling delay in the trainee s record, including: i. Dates and times of contact attempts, appointments offered and refused, or not kept or cancelled, and/or trainee s request to delay scheduling. b. Maintain copies in the trainee s database record of any letters sent to the trainee regarding scheduling or request for training. If it is determined that an individual would not benefit from travel training, the travel trainer must still complete the Travel Training Assessment Report, describing the individual s functional abilities and limitations in using fixed route service. The Travel Trainer must also complete a closing report detailing why the individual would not benefit from travel training. Page 25 of 40

27 4. Execute Travel Training Program Participants in the Individual Trip Training program will be allowed to learn how to travel on fixed route for up to two locations. Training should only be discontinued when it becomes clear that the customer is not progressing toward goal achievement. Participants on the Individual Transit Orientation Program will be provided an orientation to the accessibility of the RTA system. Practice trips may be utilized to demonstrate accessibility features. 5. Close Training File a. Using a Closing Report approved by the RTA, complete electronic report at the end of the travel training program for each trainee (see Attachment 11 for the form currently in use). All reports are to be maintained as part of the trainee s database record. The Closing Report will detail: i. Goals established for the training; ii. Goals achieved during the training; and iii. Any additional trainer comments regarding the trainee s abilities / limitations for fixed route use. If a trainee begins but does not complete travel training, the travel trainer must complete a Closing Report, detailing the reason(s) training was not completed, effort(s) made by the trainer to encourage the trainee to continue in the program, and the extent to which training goals were achieved. 6. Conduct Post-Training Assessment The contractor will perform a two-part post-training assessment for trainees who complete the Travel Training Program. These post-training assessments will be conducted by phone or in person. Post-training Assessment #1: Discuss the outcomes of travel training with the trainee within seven calendar days after the completion of travel training and make recommendations for public transit travel including use of fixed route and ADA Paratransit; and Document results of above contact in trainee s database record. Post-training Assessment #2: At four weeks post training, discuss the status of the trainee s use of fixed route transit since the conclusion of field training. Electronically complete a follow-up report in the trainee s database record. Posttraining assessments are not required if the trainee does not complete the planned Travel Training Program. Page 26 of 40

28 3. Provide IT and Telecommunications Infrastructure and Services Procure, develop, host, and maintain all telephone and IT hardware and software required to operate the ADA Paratransit Certification and One-on-One Travel Training Programs. This includes, but is not limited to, all telephones, computers, tablets, printers, scanners, servers, automated call distribution systems, call handling software, databases and database applications (with the exception of the database and application for ADA Paratransit applicant photos, which will be provided by RTA). All IT and telecommunications infrastructure and services must meet the requirements set forth in Attachment Provide Quality Assurance and Quality Control The contractor will be responsible for administering a Quality Management Program approved by the RTA to ensure an acceptable level of quality is being maintained in all areas related to the contractor s responsibilities in operating the ADA Paratransit Certification and One-on-One Travel Training Programs. The Quality Management Program must address, at a minimum, the following topics: A. Recruitment of employees B. Training of employees (new hires and on-going) C. Employee - Customer Interactions i. Phone ii. ADA Paratransit Interviews and Assessments iii. Mobility Management Education iv. Travel Training Sessions v. Customer Feedback D. Accuracy of Data Entry E. Accuracy and Consistency of ADA Paratransit Certification Recommendations/Determinations/Documentation F. Establishment and Achievement of Travel Training Goals G. Management of Confidential and Medical Information H. Cybersecurity (including notification of real or potential breaches) I. Disaster Recovery J. Business Continuity K. Data Retention 5. Develop and Maintain Safety Plans The contractor will be responsible for developing and maintaining a Safety Plan approved by the RTA to ensure adequate safety for ADA Paratransit and Travel Training customers within the contractor s facilities, on the outdoor course, and during travel training sessions. Page 27 of 40

29 V. RTA ROLE AND RESPONSIBILITIES RTA s role in the new model is listed below: 1. Mobilization Period A. Approve site locations and build-out plans; B. Approve forms (electronic and paper) and process protocols; C. Test database application and data communication; D. Provide design and certain bus part equipment (i.e. ramp, securement) for the bus mock-up at each site; E. Provide some assessment tools/props (curb platform and FACTS testing props); F. Provide existing customer data; G. Provide specifications for electronic files to be provided to third parties (e.g., Pace, mailing house); H. Port ADA Customer Service Helpline to contractor; and I. Provide access to database application for transmitting photos. 2. On-Going Operations A. Monitor contractor performance; B. Provide printed mobility management materials (transportation resource information and RTA fare program materials); C. Provide informational video for waiting room; D. Administer Group Travel Training Programs; E. Administer ADA Paratransit Certification appeals process; F. Provide printed ADA Paratransit application materials and appeal brochure, and ADA Paratransit and Travel Training program brochures (including accessible formats); G. Provide Pace ADA Paratransit customer guides; H. Mail application packets and recertification notices, including accessible formats; I. Print and mail ADA Paratransit ID cards; J. Provide limited access to the ID card database application; K. Handle phone escalation calls and calls related to ID card production; L. Provide paratransit travel to/from ADA Interview and Assessment sites; M. Perform eligibility determination review (according to timeline); N. Administer other Mobility Services Department programs (Reduced Fare and Ride Free); O. Produce and distribute the Train the Trainer video series; and P. Perform community education and outreach. VI. ASSUMPTIONS The following statistics provide the basis for the contractor to determine the scope of the contract. The contractor is expected to meet all demand over the course of the contract period while maintaining adherence to staffing requirements, site configurations and appointment Page 28 of 40

30 time-line obligations, as well as quality of work and customer experience. It is important to note that these projections are best estimates and do not constitute guarantees of volume. 1. ADA Paratransit Certification Program A. Demand data Actual annual growth in applicants is expected to vary from year to year. The average annual growth rate over the next 5 years for the ADA Paratransit Certification program is projected to be approximately 8%. 1. Annual growth varied from 4.8% to 17.3% between 2009 and 2013, for a cumulative growth of 44.2% applicants over the 5-year period. 2. Application volume in 2014 was up 12.9% over Through June 2015, application volume was up 9.9% compared to the same time period in As shown in Table 3, approximately two-thirds of applicants are new and the remaining one-third are recertification applicants. Of the recertification applicants, approximately two-thirds are required to pursue the in-person application process. Table 3: Completed ADA Paratransit Applications Received New & 9,185 9,769 11,140 Reapplications Recertifications 5,683 5,806 6,450 Table 4 shows the call volumes for the three top menu options on the RTA s ADA Helpline. In 2013, there was a spike in general information calls due to transition to Ventra, the new fare payment system operated by CTA and Pace. Prior to 2014, application request calls were forwarded to a voice mail for return call and many customers opted to speak to an operator instead. Beginning in 2014, application request calls were answered as they came in via an ACD line, so call volumes shifted from General Information and to Application Requests, explaining the dramatic changes in Table 4. Table 4: ADA Paratransit Customer Call Volume General Info 56,930 63,920 44,273 Interview Scheduling 37,506 38,082 38,930 Application Request 15,658 17,267 34,237 TOTAL 110, , ,440 B. Eligibility Outcomes and Appeals Table 5 shows the results of RTA s ADA Paratransit Certification program in recent years. Page 29 of 40

31 Table 5: ADA Paratransit Eligibility Outcomes All Trips 71% 73% 73% Conditional 15% 14% 14% Temporary 13% 12% 12% Not Eligible 1% 1% 1% Over the past few years, approximately 3% to 4% of Conditional/Not Eligible outcomes are appealed, representing less than 1% of all determinations. The number of appeals averaged 106 per year from 2012 to 2014 and, as shown in the table below, ranged from 97 to 114. Through June 30, 2015, the RTA has received 36 appeal requests, suggesting fewer appeals will be submitted in As background information, the RTA uses a two-step process for appeals. Initially, all appeal requests receive an Administrative Review to determine if there were any oversights in the eligibility decision based on information available at that time. If no oversight is identified, the appeal request is forwarded to the Eligibility Review Board (ERB) to hear the appeal. The ERB includes a RTA staff member and two trained community representatives from a seven-member slate approved by the RTA Transit Access Advisory Committee. All of the community members are people who have disabilities or represent agencies that work with people with disabilities. Typically, two to three ERB meetings are scheduled each month, with three appeals heard during each meeting. Table 6: ADA Paratransit Certification Appeals Number of Appeal Requests Year (thru June 30) 36 C. Time Estimates and Assessment Frequency The RTA estimates the following time and scheduling factors for appointments: Page 30 of 40

32 1. An average interview will require approximately 20 minutes. Time allowances must be made for more complex interviews, including those for applicants with psychiatric or vision disabilities, among others. 2. A full physical functional assessment will be required to be completed within 40 minutes. It is expected that physical functional assessments will be completed using the outdoor course except in extremely inclement weather or in the case of significant applicant mobility limitations. If an applicant is not capable of completing the full physical functional assessment, the assessment is stopped when the applicant reaches the point of maximum capability. 3. A complete cognitive functional assessment (FACTS Test) will require about 45 minutes. If an applicant is not capable of completing the FACTS Test, the assessment is stopped when the applicant reaches the point of maximum capability. 4. A complete mini-mental state exam (MMSE) will require 15 minutes or less. As shown in Table 7, approximately 85% of applicants seen for an interview also participated in at least one functional assessment. Table 7: ADA Paratransit Certification Interviews and Assessments Seen for Interview 14,357 16,328 Participated in assessment 12,344 13,946 % applicants assessed 86% 85.4% Table 8 shows that the volume of physical, cognitive (FACTS) and mini-mental state exams (MMSE) performed over the past two years. Table 8: Assessments by Type 2013 % of assessments 2014 % of assessments Physical Assessment 10, % 12, % MMSE 2, % 2, % FACTS % % TOTAL 13, % 15, % Table 9 shows the distribution of the number of assessment types performed per applicant. Table 9: Assessment Types by Applicant 2013 % of Applicants 2014 % of Applicants Physical only 8, % 10, % MMSE only 1, % % FACTS only % % Page 31 of 40

33 Physical & MMSE 1, % 1, % Physical & FACTS % % MMSE & FACTS % % Physical, MMSE & FACTS % % TOTAL 12, % 13, % On average, the RTA has a 15%-18% no show/late cancellation rate for applicants. Every effort is made to keep the no show/same day cancel rate to a minimum, and to fill time slots that become available when appointments are cancelled in advance of the scheduled day of appointment. 2. Travel Training Program A. Travel Trainees The RTA has trained 439 customers on how to use fixed route service in the last 3.5 years. During that time the number of full time Travel Trainers employed by the RTA declined from four to two, with two staff members moving to different positions in the RTA s Group Transit Orientation Program. Fewer staff reduced the RTA s capacity to perform one-on-one travel training. It impacted the number of customers that could be served in a year and explains the declining customer volume. # of Individuals who Signed Up for RTA Travel Training Table 10: Travel Training Participation Jan.-May # of Individuals Served When the RTA was fully staffed at four full-time One-on-One Travel Trainers, there was a steady increase in both referrals and customers served year-over-year. The RTA anticipates demand will again increase under the contractor-staffed model. Below are the projected referral and participation rates for 2016 to Table 11: Projected Travel Training Participation Projected # of New Referrals Page 32 of 40

34 Projected # of Individuals Served This demand schedule is an assumption based on historical trends which indicate an average annual growth rate of 5% in referrals. Historical trends also show that that the number of participants served in a year is approximately 32% higher than the number referred, as some individual trainings may carry over into the next year. It is important to tailor the travel training program to the needs of each individual customer. This may mean extending their training period until the customer is comfortable making their identified trips. The RTA does not advocate for setting an artificial limit on the number of sessions each participant is eligible to receive (some programs adopt rules that each participant is only able to have a maximum of X-number of total sessions). Participants in the RTA Individual Trip Training Program are allowed to learn up to two locations. Participants in the Individual Transit Orientation Program are provided an overview of the accessibility entire transit system with a few practice trips to build confidence and practice skills. The RTA only discontinues training when it becomes clear that the customer is not progressing toward goal achievement. VII. PROPOSAL REQUIREMENTS The contractor s proposal must conform to the following requirements: 1. Format Each proposal is to consist of three parts, each to be bound separately, with removable binding, binder clips or stapled in the upper left hand corner, as described below. The proposal shall contain sufficient detail to enable the RTA to evaluate it according to the criteria outlined in Section IV: Scope of Services. Part 1 - Technical Proposal (1 original and 1 electronic copy submitted on a CD) Part 2 - Cost Proposal (1 original and 1 electronic copy submitted on a CD) The Cost Proposal must include completed copies of Appendices F through K. Part 3 - DBE Proposal (1 original and 1 electronic copy submitted on a CD) Proposers should refrain from using expensive materials for their submittals. All submittals become the property of the RTA and will not be returned. All costs incurred in the preparation and presentation of the proposal to the RTA are the responsibility of the proposer. Issuance of this RFP does not commit RTA to pay any cost incurred in the preparation of this proposal. Proposers are advised to adhere to the submittal requirements. Failure to comply may be cause for rejection of the submission. RTA reserves the right to accept or reject any or all submittals or parts thereof, to extend the Page 33 of 40

35 time for submission of proposals, to negotiate with any or all proposers, and to award a contract to the proposer whose initial proposal is most advantageous to RTA, without further discussion or negotiation. The cover letter lists the due date and time before which the proposals must be submitted. 2. Content Part 1 - Technical Proposal Proposers must submit a technical proposal with a cover letter. The cover letter must contain a commitment to provide the services described in this RFP. Each cover letter must include the name and address of your company, the requisition number, the project name, the name, title, address, address, and telephone numbers and signature of a representative who is authorized to negotiate a contract with RTA and/or whom the RTA may contact with questions regarding your response. The following elements must be included in the technical proposal: 1. Approach to Providing Services The proposal must contain a detailed description of the contractor s approach to providing the services required in Section IV: Scope of Services in compliance with the minimum requirements established in Section VII: Proposal Requirements. At a minimum, the contractor must provide details related to the following: A. ADA Paratransit Interview and Assessment Sites i. Locations ii. Sizes iii. Floor Plans iv. Outdoor and Indoor Course Designs/Locations B. Anticipated Hours of Operations i. ADA Paratransit Interview and Assessment sites ii. Customer Phone Lines iii. Travel Training C. Processes i. ADA Paratransit Certification/Re-Certification ii. Travel Training D. Technical Specifications of Phone System E. Specifications of IT Infrastructure F. Database Structure G. Functionalities of Database Application(s) H. Data Migration i. Existing electronic data ii. Hard copy records I. Staffing Plan Page 34 of 40

36 i. Recruitment ii. Training iii. Work Locations iv. Organizational Chart v. Level of compensation by job category vi. Number of staff to be hired per job category 2. Mobilization Plan The proposer shall provide a detailed Mobilization Plan for how they plan to establish the new sites and transition the operation of the ADA Paratransit Certification program from RTA s existing vendor and model. This plan should also include a transition plan for the operation of the Travel Training program. The plan should include a mobilization schedule and information on the following: A. Staff recruitment, hiring and training B. Database configuration/development C. Data migration D. Site build-out E. Coordination expected from RTA current ADA Paratransit Certification vendor F. Overlapping transition period G. Testing of database, database application(s) and communications H. Go Live 3. Proposed Quality Management Plan The proposer shall provide a proposed Quality Management Plan that details how the proposer intends to manage and control the quality of the work performed by its employees (and subcontractors) as well as manage risks to the RTA. The proposed Quality Management Plan should cover, at a minimum, the following topics: A. Recruitment of employees B. Training of employees (new hires and on-going) C. Employee - Customer Interactions i. Phone ii. ADA Paratransit Interviews and Assessments iii. Mobility Management Education iv. Travel Training Sessions v. Customer Feedback D. Accuracy of Data Entry Page 35 of 40

37 E. Accuracy and Consistency of ADA Paratransit Certification Recommendations/Determinations/Documentation F. Establishment and Achievement of Travel Training Goals G. Management of Confidential and Medical Information H. Cybersecurity (including notification of real or potential breaches) I. Disaster Recovery J. Business Continuity K. Data Retention The RTA intends to supplement the contractor s quality management efforts through a series of quality assurance methods including, but not limited to, the following: A. Monitoring of Performance Metrics/Level of Service B. On-site reviews i. Phone ii. ADA Paratransit Interviews and Assessments iii. Mobility Management Education iv. Travel Training Sessions C. Review of database D. Review of interview and assessment reports and other applicant related documentation E. Review of ADA Paratransit certification recommendations, determinations and documentation F. Review of Travel Training assessment, closing and one month follow-up reports G. Remote listening to phone calls H. Customer Feedback I. Review of productivity and performance reports 4. Letter(s) of Intent to Lease The proposer must include letter(s) of intent to lease for each of the two proposed sites. Alternatively, the proposer must include documentation from the lessor(s) stating that the lessor(s) is willing and able to lease the proposed site(s) to the proposer in accordance with the terms of the RFP if the proposer s bid is successful. If the proposer intends to acquire access to the properties in a different manner, they must provide detailed information about that process. 5. Qualifications A. Firm Page 36 of 40

38 Applicable Firm qualifications must be presented in this section covering the proposer s experience on similar or related engagements including experience, if any, with transit or municipal accounts. Using the attached Contractor References Form provided in Appendix I, provide examples of relevant and related engagements. B. Staffing This section must contain the resumes for all key personnel (i.e., project and program managers, supervisors, team leads) who will be involved in the engagement. The Proposer must identify the contractor representatives, their specialized experience, and professional qualifications as it relates to this contract as described in Section IV: Scope of Services. The contractor shall also provide a description of the key personnel s experience in performing work similar to that of this RFP. The RTA reserves the right to request and secure replacement personnel from the firm to substitute for any or all persons previously selected, for any reason. C. Organizational Chart The proposer shall provide an organizational chart showing upper management and other relevant areas within the corporate and local structure and organizational charts showing the responsibilities of the employees for this engagement. 6. Table of Exceptions The summary must state whether the Proposal does or does not fully comply with the requirements as defined in this RFP and shall provide a detailed list of exceptions to the Scope of Services or other RFP requirements including all appendices. This list must be in table form (Appendix K) and must identify the page, section number, provision and the specific exception, non-conformance and/or substitute language proposed. Failure to identify any specific items of non-compliance will result in RTA assuming compliance. The RTA, at its sole discretion, may reject any exception within the proposal. 7. Financial Background Documents supporting a firm s and subcontractor(s) financial stability and ability to perform the contract must be included as well. Proposers must provide audited financial statements for the past year and information pertaining to any past bankruptcy, contract defaults and violations of any regulatory acts. This Page 37 of 40

39 information will be used to determine contractor responsibility. If audited financials are not available, provide the most recent version of the financials available. 8. Insurance After award of a contract, the successful proposer shall procure and maintain during the term of the contract, at contractor s expense, insurance as described in the INSURANCE REQUIREMENTS found in Appendix D. Verification of insurance must be provided within 10 days following award of a contract. Part 2 Cost Proposal Proposers must submit a Cost Proposal that includes signed copies of all RTA certification forms provided in Appendices F K, including all necessary documents from your proposed subcontractors. The Cost Proposal shall include all costs associated with completing the tasks described in Section V: Scope of Services. Proposers should utilize Appendix J for completing the Cost Proposal, which splits the costs into three parts: 1. Mobilizations Costs; 2. On-Going Fixed Costs; and 3. On-Going Variable Costs. For the mobilization costs, the proposer should indicate whether the cost line items are estimated or fixed, whether the costs will be incurred based on milestones or monthly, and whether costs will be incurred up front or in arrears. If the proposer prefers a different payment structure the proposer should detail the alternate payment structure as part of the Cost Proposal. Alternate payment structures may only be submitted in addition to the structure in Appendix J, not in replacement of Appendix J. RTA reserves the right to reject a payment structure other than the one described in Appendix J. The Cost Proposal must be valid for at least 180 days from the submission date. Part 3 Disadvantaged Business Enterprise (DBE) Goal The DBE goal for this procurement is 7%. Proposers must complete the DBE Compliance Plan detailed in Appendix C. Responses to this section must be submitted separately from Technical and Price Proposal sections. Proposers must describe their firm s policy and approach to utilize firms in order to comply with the DBE Compliance Plan. The RTA encourages any team arrangements that will work to the benefit of this project. If such arrangements are made, the contractor must assume full responsibility for the work performed by all subcontractors. Page 38 of 40

40 All proposed DBE firms must be certified as DBEs by the Illinois Unified Certification Program (IL UCP), or another state s DBE program. VIII. EVALUATION PROCESS AND CRITERIA All proposals will be evaluated by the RTA, which reserves the right to make an award or choose not to award to any Proposer, after determining which proposal it finds to be most advantageous. However, the RTA may also require oral presentations by those Proposers in the competitive range. All responses will be evaluated by one or more evaluation committee(s). Following the initial evaluation process, the RTA may select Proposers in the competitive range for negotiations. The RTA reserves the right to reject any or all proposals, or parts thereof, as it deems necessary for any reason. In addition, the RTA reserves the right to make an award to one or more responsive, responsible Proposer(s) whose offer(s) best conform to the requirements of this solicitation and are most advantageous to the RTA. In reviewing and evaluating the responses to this RFP, the RTA will consider the following factors. The criteria are listed in descending order of importance. The first criterion is afforded the most weight. Criteria two through five are afforded equal weight. 1. Cost; 2. Staffing Plan and Key Personnel Qualifications; 3. Technical Approach; 4. Facilities; 5. Database and Database Application Functionality; 6. Firm Qualifications and Experience; and 7. Quality Management Plan. Award will be made to the Proposer whose proposal offers the combination of the above criteria offering the best overall value to the RTA. The RTA is more concerned with obtaining a superior product and services than with making an award at the lowest overall cost. However, the RTA will not make an award at a significantly higher overall cost in order to achieve a slightly superior product or services. Cost is not expected to be the controlling factor in the selection of a Proposer for this RFP. The RTA retains the right to require additional information including revised pricing information from any Proposer, and to determine the veracity of the information in the proposal. A Page 39 of 40

41 proposal found to be based on inaccurate or misrepresented information may be dismissed from further consideration. Firms in the competitive range (in contention for negotiations or award of the contract) may be required to make oral presentations and software demonstrations. Failure of a firm to report for an oral presentation or software demonstration may be cause for dismissal of the proposal from further consideration, provided that the RTA has given adequate notice for the Proposer to prepare the oral presentation and software demonstration. However, the RTA is not required to hear a presentation, or witness a software demonstration, from any Proposer and reserves the right to issue a contract based on the initial proposal submitted without providing any firm an opportunity for oral presentations or negotiations. After determining which Proposers are in the competitive range, the RTA may conduct negotiations with those Proposers to discuss any deficiencies in their proposal and to ensure that the Proposers fully understand all the requirements of this RFP. Should negotiations occur, the RTA may issue to those Proposers remaining in the competitive range an invitation to submit a Best and Final Offer (BAFO). The BAFO will reflect the Proposer s final cost/price proposal to the RTA based on all the clarifications to the proposed Scope of Work included in the oral presentation and/or negotiations. As a final component of the evaluation process, RTA may determine a relative ranking of Proposers based on an all-inclusive evaluation. Page 40 of 40

42 APPENDIX A SAMPLE AGREEMENT NOT FOR EXECUTION

43 This draft agreement is subject to modification by the Authority. AGREEMENT FOR PROFESSIONAL AND CONSULTING SERVICES This Agreement for Professional and Consulting Services (this Agreement ) is entered into as of the date of execution hereof, in the City of Chicago and the State of Illinois, by and between the Regional Transportation Authority, a unit of local government, body politic, political subdivision and municipal corporation existing under the Constitution and laws of the State of Illinois (the Authority ), having offices located at 175 West Jackson Boulevard, Chicago, Illinois 60604, and (the Contractor ), having offices located at. For good and valuable consideration, the receipt of which is mutually acknowledged, the Authority and the Contractor hereby agree as follows: ARTICLE 1. CONTRACTOR S SERVICES 1.1 Scope and Description of Services. The Contractor will perform for the benefit of the Authority the services described in the attached Exhibit A, which is incorporated by reference herein as though fully set forth (the Services ). The Contractor must furnish all professional services, labor, materials, tools, equipment and supervision necessary or appropriate to fully perform the Services and all other duties and responsibilities of the Contractor pursuant to this Agreement. 1.2 Standard of Performance. The Contractor shall perform all Services required of it under this Agreement in accordance with the practices, methods, standards, degree of judgment and skill that are ordinarily possessed and exercised by (and generally accepted as being appropriate for) professionals of good standing who are performing work which is of similar scope, nature and complexity as the Services (the Professional Standard ). 1.3 Compliance with Laws. In the performance of the Services, the Contractor shall comply with, and ensure that the Services comply with, all applicable federal, state and local laws, regulations, rules, ordinances, codes, permits, licenses, approvals, orders, declarations and decrees in effect from time to time (collectively, the Laws ). 1.4 Independent Contractor. The Contractor is engaged by the Authority only for the purpose and to the extent set forth in this Agreement, and the Contractor s status during the period of this engagement is that of an independent contractor and nothing herein will at any time be construed to create the relationship of employer and employee, principal and agent, partners, or joint venturers between the Authority and the Contractor, or between the respective officers, directors, partners, managers, employees or agents of the Authority and the 01/30/15 rev d