REQUEST FOR PROPOSALS TITLE: Statewide Asset Management Plan
USING AGENCY: NC Department of Transportation – State Asset Management ISSUE DATE: November 15, 2013
SUBMITTAL DEADLINE: December 17, 2013 at 12:00 PM
ISSUING AGENCY: North Carolina Department of Transportation, Technical Services Division – Professional Services Management Unit
This Request for Proposals (RFP) is to solicit responses from qualified firms to provide a Statewide Asset Management Plan for the North Carolina Department of Transportation. Qualifications will be determined based on information provided in the RFP.
The Department intends to select one team. The contract will be for two years with a one year extension at the discretion of the Department.
RFP’s should be submitted in .pdf format using software such as Adobe CutePDF PDF Writer, Docudesk deskPDF, etc.
One copy of the RFP should be sent as a .pdf file: psmu-411@ncdot.gov . The FTS system will send you an electronic receipt when your RFP is downloaded to PSMU’s server. Paper copies are not required. The subject line should contain the Firm’s Name, and “RFP for statewide asset management plan.”
If an interested firm does not have an FTS account they should send a request through e-mail to psmu-411@ncdot.gov . A response will be sent via the FTS system that will provide a login username, password, and login procedures.
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NCDOT Asset Management Plan
Request for proposals
Background
The North Carolina Department of Transportation (NCDOT) seeks the services of a Professional Engineering consultant to advance its Transportation Asset Management (TAM) program. Using the AASHTO Transportation Asset Management Guide
(https://bookstore.transportation.org/Item_details.aspx?id=1757) as a reference guide, NCDOT seeks to develop a TAM program to minimize life-cycle costs for managing and maintaining the
Department’s assets while using performance measures to guide and inform investment decisions. Over the past 15 years NCDOT’s major program areas (bridge, pavement, maintenance) have individually developed and applied asset management principles to their assets. The Department is now moving forward with a larger role for TAM as a way of doing business which links all program areas and all assets operating in a coordinated fashion. As the public demands greater accountability, the TAM program aims to demonstrate that NCDOT is delivering cost-effective performance of its assets.
The Department currently utilizes Agile Assets asset management software to track work accomplished and develop work programs in each of its three modules: pavement, bridge and maintenance management. The Department has also purchased Agile’s trade off analysis tool and is currently configuring that module to provide cross asset optimization strategies. The vision for this tool is to allow NCDOT to model various investment scenarios and resulting performance outcomes for use with policy makers and the Legislature to secure adequate funding.
NCDOT believes TAM is a way of doing business that integrates tools with organization, leadership, people and business processes. As such, the Department acknowledges TAM is a long term process. The Department seeks a consultant to help further the development of its TAM program. A mature TAM program will resonate throughout the Department and enable decision making that advances continuous improvement in infrastructure management. Ultimately, NCDOT expects the fully functioning TAM program to tie the agency’s goals, outcomes and performance measures to the maintenance and capital programs for all modes of transportation
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NCDOT is in the process of developing a structure to oversee this transition into a Department-wide asset management approach which will eventually be comprised of representatives from the various asset groups at NCDOT. The consultant will be expected to work closely with NCDOT to identify, prioritize, and gather all necessary information about existing asset management systems, asset inventories, computer hardware, and other software available. The consultant will also work closely with NCDOT’s Fiscal Section to identify all funding sources to guide budget integration and resource allocation based on the TAM Implementation Plan.
The TAM mission is to support the Department’s 10 year work program and investment decisions by providing an approach to balance current condition of assets to the levels of service expected by the customer as well as the safety and health of the system.
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The Asset Management Division of NCDOT will take the lead role in guiding the development and implementation of the TAM program. The selected consultant will work in conjunction with the State Asset Manager to advance TAM at NCDOT. Importantly, since much of the work will involve
collaboration with staff from across the Department, the selected consultant will be expected to use his/her engineering perspective and experience to enlist the support of all NCDOT employees to the TAM mission.
Goal
The goal of this project is to advance NCDOT’s TAM program by applying engineering knowledge, skills and experience while working collaboratively with NCDOT staff. The selected consultant will guide NCDOT managers to understand their roles in the larger TAM strategy that involves a life- cycle approach to sustaining transportation assets. The consultant will help staff adopt holistic practices that promote TAM across the Department.
The Department acknowledges TAM development and implementation is a long-term process. This initial contract will consist of the Division of Highways (DOH) portion of the TAMP only. Other NCDOT transportation modes may be added to the contract at the discretion of the Department. Consultant performance will be reviewed at the one year anniversary of the Notice to Proceed and NCDOT reserves the right to terminate contract at that time if performance is not acceptable.
Scope of Work
Task 1 Kick-Off Meeting
The Proposer shall contact the NCDOT’s State Asset Manager within ten (10) working days of the effective date of the agreement to schedule a kick-off meeting with the TAM working committee. The meeting will be held at 4809 Beryl Road, Raleigh NC. The meeting shall be held within twenty (20) working days of the effective date of the agreement. The time and meeting specifics shall be coordinated with the NCDOT. This kick off meeting will include a discussion of expectations for the project.
Minutes of the meeting shall be submitted to the NCDOT for approval within five (5) working days of the meeting. The Department will review and provide comments within five (5) working days of submission.
Task 2 Literature Review
The TAM Plan will focus on NCDOT highway transportation assets. The Proposer shall conduct a literature review of commonly used practices, domestic and/or abroad, when developing the
Transportation Asset Management (TAM) Plan. The Proposer shall prepare and submit a summary of the literature review to the NCDOT upon completion. This summary will represent abstracts and useful information to guide the development of the AM Plan; it should not exceed 40 pages. NCDOT will review and provide comments within twenty (20) working days of submission.
Tasks 3 Staff Interviews
The proposer will interview NCDOT Division of Highways staff and complete the TAM self assessment provided in the TAM guide to determine what parts of a TAM plan exist. These interviews should
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include staff at various levels in DOH and in various work units across the State. A detailed summary of these interviews and findings will be presented to the working committee within 180 days of
contract execution.
Task 4 External Stakeholder interviews
The proposer will identify and interview DOH’s external stakeholders to determine their view of what parts of the Department’s TAMP exist. The proposer will provide a list of external stakeholder groups to be interviewed for approval prior to beginning any interviews. External stakeholders would include groups such as material suppliers, contractors, MPO’s, various association groups, etc. A detailed summary of these interviews and findings will be presented within 180 days of contract execution.
Task 5 Customer Surveys
The proposer shall conduct customer surveys to determine the public’s opinion of NCDOT’s existing level of service on it’s highway assets. . NCDOT will approve the survey methodology and the survey instrument. These surveys should include both phone surveys as well as focus groups riding and rating the highway system NCDOT conducted a Roadway Review in 2012 and a copy of this report is included with this advertisement. Survey findings should be presented to the working committee within 180 days of contract execution.
Task 6 Gap Analysis
Utilizing information from the literature review, staff interviews and customer surveys, the proposer will provide a gap analysis of where improvements can be made and outlining recommendations to the TAM working committee. These findings should be presented to the working committee within 270 days of contract execution.
Task 7 Development of the Asset Management (AM) Plan
With input and guidance from NCDOT, the proposer will utilize the information produced in Tasks 1-6 to develop a draft TAM Plan. The draft TAM plan shall be prepared in accordance with the AASHTO, Asset Management (AM) Guide: A Focus on Implementation,
Phase 1: The initial draft shall include only highway assets for which condition data already exists.. For the purpose of this draft NCDOT considers its highway assets to include:
• Pavements lanes and shoulders (flexible and rigid)
• Bridges, (superstructure, bridge deck, bridge supports, bridge railing, slope pavement, etc.) • Tunnels
• Roadside features such as drainage, guardrail, signals, ITS devices, etc.
• Pavement markings (e.g. stop bars, turn arrows, and hash marks) and pavement striping, This draft should be presented to the working committee within 12 months of contract execution. The Department will review and provide comments within thirty (30) working days of submission. Once approved for content and format, the proposer will proceed to develop additional phases.
Once the initial draft is approved, the proposer will work with DOH to identify other highway assets which should be included in Phase 2 of the TAMP. Other assets to be included in Phase 2 would consist of but not be limited to:
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• Rest areas, salt-sand storage areas, and weigh stations,
• Maintenance yards, equipment shops, and other division facilities
The Phase 2 draft should be presented to the working committee within 18 months of contract execution. The Department will review and provide comments within thirty (30) working days of submission.
It should be noted that a comment period towards Rule Making with respect to the impact MAP-21 will have on State DOTs is on-going. The AM Plan shall address the asset management plan
requirements, as outlined in the new Federal Highway Transportation law P.L. 112-141 requirement, “Moving Ahead for Progress in the 21st Century Act” (MAP-21) §1106, 23 USC 119, and explain in detail all the steps required to accomplish the objective of this agreement including the roles and responsibilities of the State.
MAP-21 requires that the plan include:
1. a summary listing of the pavement and bridge assets on the NHS in the State, including a description of the condition of those assets;
2. asset management objectives and measures; 3. performance gap identification;
4. lifecycle cost and risk management analysis; 5. a financial plan; and
6. investment strategies.
In developing the plan, Proposers shall follow the procedures within the AASHTO Transportation Asset Management Guide, A Focus on Implementation, January 2011, and the following standards of performance when developing the AM Plan:
Table 1 - Recommended Outline for AM Plan. (from AASHTO, Transportation Asset Management Guide, A Focus on Implementation
Section Name Description of Contents
Executive Summary
Typically a stand alone, high level overview of the AM Plan used to communicate the content of the AM Plan to elected officials and external stakeholders
Introduction 1. Sets the scene, provides a high level description of the
agency's mission and goals, its role, the roles of other parties, and the purpose of the AM Plan
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2. Addresses stewardship and life-cycle management requirements.
3. Has a high level description of the assets, what they consist of, quantities, financial worth or value.
Value to
Citizens Program outcomes, satisfaction surveys, the cost of improving service
Levels of Service
The agency's mission is broken out into key drivers, transportation services, and levels of service (LOS) or performance measures. These define the agency's high level values and priorities, such as safety, preservation, growth, etc.
The LOS is the yardstick by which the agency's performance is to be measured and monitored. Identifies relevant stakeholders and key user groups, describes consultation and stakeholder expectations of the services. Identifies any laws and regulations that impose
mandates or constraints on performance or the implementation of asset management. May present strategies to overcome regulatory barriers.
Shall also identify program needs to close identified LOS performance gaps. This section also describes the agency's current and desired capabilities to deliver the required services and quantify the
measures, and reports current performance quantitatively as a demonstration of existing capability.
Levels of Service (LOS): Minimum and target levels of service for all services, discussion of how assets are being managed today to the best of CDOT’s ability, how the LOS is monitored and reported Performance
Management
Measures and targets, past performance and improvements, delivery metrics, trends compared to other states
Asset Inventory
Network overview, summary of assets, data collection processes and accuracy. Should include recommendations on what assets need full inventories.
Life-Cycle Management
More detailed information about the assets, including condition and performance summaries, asset life cycles, useful lives, and remaining lives; identifies critical assets. Life-cycle strategies and management methods for all activities relating to the assets, including operations, maintenance, asset renewals, and new asset development work activities, condition and performance monitoring, risk management practices, procurement, and how the program will be delivered. This will be drawn from the results of life-cycle and risk- based analyses
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and interpretation and lead into program development and program needs. Also includes:
• An overview of current and desired capabilities in pavement and bridge management and other applicable areas of asset management systems for lifecycle management.
• Descriptions of the drivers, including priority allocation processes, for each type of work undertaken.
Risk
Management Identification of critical assets and risk management plan
Growth and Demand
Identifies the drivers and influences of change on the network. Assesses how the anticipated future growth and demand for transportation services will impact the demand for new or better assets and asset maintenance and renewal needs in the future. May identify program needs to cater to future demand. Describes demand management strategies as a means of reducing the impact of demand growth on assets. Describes the agency's current and desired capabilities to measure demand and growth as they affect asset management processes and investment needs.
Financial Summary
Brings together all program needs identified in the AM Plan into medium and longer term financial cash-flow forecasts to support the more detailed annual budget process. Financial management
policies. GASB34 financial reporting requirements, including projected asset valuation and depreciation could also be included here.
An overview of funding sources, constraints on the use of funding, long-term funding needs, and other aspects of the budgeting and funding processes that impact asset management.
AM Practices
Describes current organizational processes supporting asset management decision making and reports current status of Transportation AM practice in the form of the self assessment. ·Describes the information systems and tools used to support Transportation AM. Describes data needs and quality expectations.
Improvement Plan
A work plan for improvements to asset management processes in order to move from the current state to the desired state in the agreed time frame. Includes a description of risk factors and anticipated problems:
• As requested proposer should recommend enhancements to software or the purchase of additional software to advance
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• Recommend changes to align NCDOT’s organizational structure and culture to achieve TAM best practices. Appendices Tables and documentation in support of the preceding sections.
References and resources
• AASHTO Transportation Asset Management Guide, A Focus on Implementation, January 2011, ISBN: 978-1-056051-499-2, website http://www.transportation.org
• Beyond the Short Term: Transportation Asset Management for Long Term Sustainability, Accountability, and Performance. Advancing a Transportation Asset Management Approach, Executive Brief, USDOT.
• Improving FHWA’s Ability to Assess Highway Infrastructure Health, Pilot Study Report, Report No., FHWA-HF-12-049.
• http://www.fhwa.dot.gov/map21/qandas/qaassetmgmt.cfm(With particular emphasis on Q&A #3)
As work on the TAM Plan progresses the consultant will be expected to provide documents, links and subject matter expertise to aide in the content development of the Asset Management Division’s website. The Department will upload all content.
Task 8 Developing Auxiliary Tools and Training
The proposer shall provide all necessary tools and training to implement the TAM throughout the Department. The intention is to equip NCDOT with the documents, guidelines, checklists and training that guide them to use the TAM to make the most effective daily decisions possible. The Proposer shall develop any worksheets, templates, check lists, webinars, manuals, etc., that are appropriate. In addition to final report preparation, the final 6 months of the contract will be devoted to Knowledge Transfer. Consultant will host various meetings with NCDOT staff to review the knowledge gained during project and guide future actions to maintain and expand on the knowledge acquired. The final annual report will include a section on Knowledge Transfer.
Task 9 Progress Reports
In addition to regular meetings with the State Asset Manager, the Proposer shall submit quarterly progress reports in electronic form that contain concise statements covering the activities relevant to the requirements, including:
A. A clear and complete account of the work performed under the agreement. B. An outline of the forecasted work to be accomplished during the next period.
C. A description of any problem(s) encountered or anticipated that will affect the completion of the Scope of Work within the time and fiscal constraints established, and together with
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D. A summary of expenditures compared to planned expenditures.
General Information
The Proposer shall hold any necessary meetings and webinars with the NDOT’s representatives, from at least but not limited to Division Engineers, various maintenance personnel, Asset Management, Structures Management, Preconstruction, and other key stakeholders. NCDOT facilities shall be used for meetings whenever possible. The intention is to gather information to develop the AM Plan,
provide updates on the status and discuss solutions to any challenges. The Proposer will be
responsible for setting up the meetings and webinars. For preliminary cost estimation purposes, it will be assumed that fifteen (15) meetings and/or webinars are needed during the agreement term.
Team:
The AM Plan will be created under the direct supervision of a Lead Project Manager (LPM) with strong experiences among asset preservation techniques, financial forecasting, planning, and other business exposures. The LPM must have at least ten (10) years of experience. The engineering licensing for this role is optional, while other licensing and certifications are allowed.
The Proposer’s other staffing will also comply with the following:
a) Principle Investigator (PI). Any individual with this role must have at least ten (10) years of experience. The PI can have an educational background in planning, financial, business, engineering, or another discipline. The PI can be a North Carolina licensed engineer with active status, however the engineering licensing for this role is optional, while other licensing and certifications are allowed.
b) Staff Engineer. One individual will be a North Carolina licensed engineer. The PI or Staff Engineer will have direct supervision over the Technical Writer(s) and General Support staff. Any individual with this role must have at least five (5) years of highway engineering and/or highway construction/maintenance experience.
c) Technical Writer (TW). Technical Writers are preferred to have two (2) years of experience when their role is separate from a role as the LPM, PI, or Staff Engineer. When a TW is part of the team for this discipline, the North Carolina licensed engineer status is optional for this role. d) General Support (GS). The GS staff is preferred to have one (1) or more years of experience
with computer skills and office support.
Questions may submitted electronically only, to the contact below. Responses will be issued in the form of an addendum available to all interested parties. Questions must be submitted to the contact below no later than 12:00 p.m. on December 4, 2013. The last addendum will be issued no later than December 9, 2013.
10 SELECTING CRITERIA
In selecting a firm/team, the selection committee will take into consideration qualification information including such factors as:
1. Specialized or appropriate expertise in preparing asset management plans. 40% 2. Adequate staff and proposed team for preparing asset management plans. 40% 3. Direct experience managing transportation assets. 20%
SUBMITTAL CRITERIA
All RFP’s are limited to twenty (20) pages (RS-2 forms are not included in the page count) inclusive of the cover sheet, and shall be typed on 8 1/2” x 11” sheets, single spaced, one sided. ONLY ELECTRONIC LETTERS OF INTEREST WILL BE ACCEPTED. Letters of interest containing more than twenty (20) pages will not be considered.
SELECTION PROCESS Following is a general description of the selection process:
The NCDOT Selection Committee will review all qualifying RFP submittals.
The Selection Committee will shortlist a minimum of three (3) firms to be interviewed. Shortlisted firms will be notified by January 9, 2014. Interviews with the shortlisted firms will be held the week of January 27, 2014. The selected team will be notified by February 3, 2014. Notices of shortlisted firms and selected firm will be posted at: https://connect.ncdot.gov/letting/Pages/Private-Engineering-Firm-Advertisements-.aspx
In order to be considered for selection, consultants must submit a complete response to this RFP prior to the specified deadline. Failure to submit all information in a timely manner will result in disqualification.
Even though specific DBE/MBE/WBE goals are not required for this project, the Department of Transportation is committed to providing opportunity for small and disadvantaged businesses to perform on its contracts through established Department goals. The Firm, sub-consultant and sub-firm shall not discriminate on the basis of race, religion, color, national origin, age, disability or sex in the performance of this contract
SUBMISSION ORGANIZATION AND INFORMATION REQUIREMENTS The RFP must include the information outlined below:
Chapter 1 - Introduction
The Introduction should demonstrate the consultant's overall qualifications to fulfill the requirements of the scope of work.
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This chapter should elaborate on the general information presented in the introduction to establish the credentials and experience of the consultant to undertake this type of effort. The following must be included:
1. Identify similar experience the firm, acting as the prime contractor, has conducted which demonstrates its ability to conduct and manage the services. Provide a reference of previous services and include the date completed, and contact person.
2. If subconsultants are involved, provide corresponding information describing their qualifications as requested in paragraph 1 above.
Chapter 3 - Team Experience
This chapter must provide the professional credentials and experience of the persons assigned. Although standard personnel resumes may be included, identify pertinent team experience to be applied.
Specifically, the Department is interested in the experience, expertise, and total quality of the consultant's proposed team. If principals of the firm will not be actively involved in the work, do not list them. The submittal shall clearly indicate the Consultant’s Project Manager (and other key Team Members) and his/her qualifications for the proposed work.
Chapter 4 - Technical Approach
The consultant shall provide information on its approach to accomplish these services.
Chapter 5 - References
The consultant must provide a minimum of two references which the Department may contact regarding qualifications and past performance. Both must have had experience with projects for which members of the proposed team have participated, including the designated project manager. The following must be included for each reference:
A. Name of Organization and Contact B. Title of Contact
C. Address (delivery and email) D. Telephone Numbers
E. Title of Project and Date Completed F. Project Team Participants
APPENDICES-
CONSULTANT CERTIFICATION Form RS-2
Completed Form RS-2 forms SHALL be submitted with the firm’s letter of interest. This section is limited to the number of pages required to provide the requested information.
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Prime Consultant firm (Prime Consultant Form RS-2 Rev 1/14/08), and;•
ANY/ALL subconsultant firms (Subconsultant Form RS-2 Rev 1/15/08) to be or anticipated to be utilized by your firm.Complete and sign each Form RS-2 (instructions are listed on the form).
In the event the firm has no subconsultant, it is required that this be indicated on the Subconsultant Form RS-2 by entering the word “None” or the number “ZERO” and signing the form.
The required forms are available at: https://apps.dot.state.nc.us/quickfind/forms/Default.aspx
All submissions, correspondence, and questions concerning this RFP should be directed to Mr. Scott D. Blevins, P.E. He can be reached at telephone number 919-707-7132 or by email at sblevins@ncdot.gov.
