Letter of Interest

OTB Solutions Group, LLC (OTB Solutions) is a management and technology consulting firm offering an array of services, from Software as a Service (SaaS) software implementations to large custom projects. We provide clients with small, highly capable teams that work independently or in collaboration with others in the organizations we serve. We are safety practitioners who work extensively with safety and security data. Most of our engagements leverage deep capabilities related to information management and information technology.

OTB Solutions are recognized IT leaders, and have extensive experience consulting to public agencies. We have worked to develop our full-featured Safety Management System for transit agencies based upon globally recognized standards from the FTA and CENELEC. We have been serving state and local governments and the private sector for over 15 years with deep expertise in Process Automation, Analytics, and Business Intelligence. We have assisted clients in everything from SMS gap analysis to collaboration systems to safety & Security risk management and content management solutions.

OTB Solutions Group, LLC is incorporated in the State of Washington.

UBI: 602-224-222

EIN: 06-1641646

DUNS: 121 828 375

Communication regarding this proposal can be addressed to:

Fred Higgins OTB Solutions

OTB Solutions 12345 Lake City Way NE #2055

fred.higgins@otbsolutions.com Seattle, WA 98125

206-979-3318

We are proposing our leading integrated safety information system, with notable differentiators from our competitors. Our systems have been in development since 2019, taking into account lessons learned from our initial SSIMS deployment, results of projects at other transit agencies, research from the FTA, NTD, NTSB, and other agencies, as well as our partnerships with safety engineering firms and consultants. We are proposing our standard Safety Management Online Services Modules which we believe need no customization to satisfy your business needs. Customizations can be made as a separate agreement. We are also partnering with CloudIQ. CloudIQ offers a comprehensive list of Cloud Managed Services covering performance management, security management, access & application management, patch orchestration, recovery services, and site reliability alert services.

Based on the requirements in this RFP, we are confident that our standard implementation will meet your needs.

We believe the following aspects of our proposal set us apart:

· We know Safety Management Systems: We have extensive experience working with public agencies on their SMS programs. We understand the work and your goals.

· Designed Exclusively for Safety Risk Management (SRM) in Transit: Our modules were designed from beginning to end to meet this specific need. Unlike most others, we are not repurposing software built for other uses.

· Integrated System: Our system connects the different pieces of SRM together, so you can manage hazards and risks centrally while using them in wide ranging applications.

· Mobile: All modules are mobile ready and support offline work and ease of use for quick and easy access in the office or in the field. These features are integral to the architecture and design of the solution, not tacked on retrospectively.

· Workflow: Workflow isn’t an afterthought in our system, it’s the heart and soul of the whole thing. Our workflows are extremely configurable, and tracking is built in to allow management to check status at a glance.

· Continuous Improvement: Our SaaS solution will continue to be updated and evolve as regulations and best practices change within the transit industry.

· Configured: We will configure our system to meet the needs of your organization and roles. Processes, workflows and notifications are routed to the appropriate resources in your organization and dashboards are visible to only those people and roles that you choose. There is no custom code anywhere in our proposed solution.

· Performance Monitoring and Reporting: We provide out-of-the-box dashboards to allow you to monitor status and provide transparency across your agency with visibility based on permissions.

· SaaS Solution: Our solution is deployed in the cloud and therefore does not require diverting resources from IT.

· Modular System: Our integrated modules allow you to right-size your system to meet your needs. You can also deploy additional modules over time in your commitment to continuous improvement.

· Integrates with Other Systems: Our software can easily connect with other systems through an API. This is particularly powerful if you want to keep existing systems in place yet be able to report across all your solutions on dashboards.

· Accessible: All modules are accessible, and the platform is WCAG 2.0 compliant.

· Reliable: Through our partnership with CloudIQ, we can provide a 24/7 Network Operations Center (NOC) and Security Operations Center (SOC) to form a foundation for excellence in network performance and security.

· We are local: We are in the same time zone as you and will never need travel expenses. We can get to you quickly!

We have been working hard to develop our SaaS SMS modules for almost five years now and are excited for the opportunity to share them with you. Our systems have evolved far beyond what we were able to offer you when we helped you build your original SSIMS system. We think you’ll be excited as well when you see how far this technology has come.

Since our last proposal, we have worked closely with our partners to maximize the efficiency of our operations approach and have realized a significant reduction in our operational costs, which we are passing directly on to you. In addition, we are providing a significant discount on our software and services in recognition of our long-term relationship and our desire to continue working with Sound Transit.

In Summary:

OTB Solutions’ Safety Management Online Service SaaS solution brings an exceptional level of expertise as well as world class credentials in data collection and reporting. Our SaaS solution is successfully managing billions of dollars in public sector projects which are internationally recognized for their scope and vision. OTB is recognized as a national leader in transit information management with recent work awarded at MBTA, SEPTA, and Pittsburgh Regional Transit (PRT). We understand how to work with public sector agencies and their partners and know how to bring value in this environment.

We know that our long-term success depends on the passion we bring to our assignments, the results we achieve for our clients, and the impact we have on the organizations with which we work. We believe that you will enjoy working with our team and solution and we are excited about the opportunity to bring our skills and capabilities to the partnership.

Thank you for considering us for this work. If you have any questions, please contact Fred Higgins at 206-979-3318.

Very truly yours,

Fred Higgins

Principal, OTB Solutions

Body of Proposal

Solution Functionality

Introduction:

OTB's Transit Safety and Risk Management Solution (https://www.smsfortransit.com), is a SaaS platform meticulously developed to address the specific needs of transit agencies. Our system aligns with Integrated Risk Management (IRM) principles, focusing on safety, efficiency, compliance, and regulatory reporting. It represents years of dedicated work and continuous refinement and at a highly competitive price in the market.

Key Features:

Hazard and Risk Management:

- Centralized Hazard Repository: Our system offers a centralized Risk Register to manage all hazards and their associated data, promoting a comprehensive risk management approach.

- User-Friendly Updates: Credentialed users can easily manage hazards, ensuring adaptability to evolving risk scenarios.

- Metadata and Risk Classification: The Master Hazard List includes necessary metadata fields and uses standard risk ratings for consistent classification.

Mitigations and Requirements:

- Versatile Mitigation Management: Mitigations can be linked to multiple hazards or requirements, providing flexibility in risk mitigation.

- Regulatory Alignment: Requirements can be attached to mitigations, ensuring compliance with relevant regulations.

Safety Risk Management (SRM) Module:

- Comprehensive Safety Reporting: The SRM Module supports various safety reporting types, including incidents, accidents, near misses, and security events.

- Custom Fields: Administrators can create custom fields for tailored reporting.

Audits & Inspections Module:

- Streamlined Inspection Management: The module simplifies checklist-based activities and supports observations and sampling.

- Rules and Checklists: Users can create and customize rules and checklists for structured assessments.

- Post-Inspection Workflow: Inspections follow a similar workflow to other reports, including review assignments, task creation, and CAPs.

NTD Reporting Module:

- Centralized NTD Data: This module consolidates NTD reportable data from other modules, promoting data consistency.

- Reporting and Dashboards: Robust data reporting and Power BI dashboards offer insights for decision-making.

Safety and Security Certification Modules:

OTB Solutions is confident that we can handle all of Sound Transit’s processing requirements as laid out in your Exhibit B – Safety Certification Flowchart. We have noted the differences between what has been described in this exhibit when compared to your existing process as implemented in the current SSIMS applications. We have spent hundreds of hours over that past several years designing a process management workflow which allows agencies the flexibility to configure, through tables and other data elements, a completely customized workflow to meet their unique requirements. This flexible workflow configuration capability is a feature of all workflows in our system and is part of our core capabilities. In addition, we recognize that Security Certification is different than Safety Certification. Our Security Certification workflow accommodates, though does not require, the association between Threats, Vulnerabilities, Mitigations and Requirements and allows for detailed reporting and analysis on those relationships if the agency determines this to be of business value. Additionally, since the Security Module is separate from the Safety Module, it allows for unique permissions configurations giving an additional level of control within the organization.

- Improved Structure: Our Certification Modules offer flexibility and modularity.

- Data Consistency: The system ensures data consistency even in complex processes.

- Assignment and Tracking: Assignment tracking provides visibility into certification requirements.

Additional Major Features:

- Data Handling: Our system immediately updates data upon submission, enhancing data integrity.

- Mitigation Tracking: Separate mitigation management enhances reusability and traceability.

- Enhanced Admin Portal: An intuitive administrative portal simplifies system management.

- Notifications Management: Email notifications for all tasks can be configured automatically through a management process. These notifications are specific to the Module an can be configured to “fire” in a variety of ways including Assignment, Due Tomorrow, Due Today, Overdue. This is distinct from the way that notifications are configured in the current SSCM deployment at Sound Transit.

Workflow and Reviews:

- Flexible Workflow: Workflow allows user assignment, priority setting, and due dates for reviews, ensuring responsiveness to risk situations. And is configurable at the enterprise level to create reusable work flows as well as on an ad hoc basis.

- Efficient Task Assignment: Tasks and Corrective Action Plans (CAPs) can be assigned and tracked for accountability.

Hosting, Operations and Support

OTB Solutions Group is partnering with (not a sub-contractor) Cloud IQ to provide best in class operational and infrastructure support for our SaaS solution. Cloud IQ bring exceptional qualifications to our offering and allows us to focus on the business value being delivered to our clients and still be assured that we maintain the highest levels of reliability, performance and scalability.

Founded in 2015, CloudIQ is a leading cloud consulting and solutions firm that helps organizations achieve the next level of customer experience by leveraging the cloud. CloudIQ offers a comprehensive list of Cloud Managed Services covering performance management, security management, access & application management, patch orchestration, recovery services, and site reliability alert services. The 24/7 Network Operations Center (NOC) and Security Operations Center (SOC) form a foundation for excellence in network performance and security, making them a trusted partner in the digital era.

Module Capability Cross Reference

Requirement/Feature

Core

SRM

A&I

Cert.

OSHA

NTD

Business Rules

Safety Certification Workflow

Job Safety Analysis

Incidents

Notifications

Corrective Actions

Hazard Management

Safety Concern Web Form

Inspections

Reporting and Analytics

Mobile and Offline

Solution Overview

OTB has been working hard over the past decade to understand the business of transit safety and build a SaaS solution that meets the real needs of agencies working to make their systems safer and more efficient, as well as ease the work of compliance and regulatory reporting. The proposed system is the result of that years-long effort.

Our system is built on the same technology platforms that Sound Transit is familiar with from the existing SSIMS system, namely AgilePoint, SharePoint, and Power BI, but the solution we are proposing is NOT an updated or re-skinned version of the software you already have. We started designing the initial modules of the system from scratch in 2019, taking into account lessons learned from our initial SSIMS deployment, results of projects at other transit agencies, research from the FTA, NTD, NTSB, and other agencies, as well as our partnerships with safety engineering firms and consultants. We have been working hard to build out the solution ever since and are excited to have the opportunity to share the results with you.

Hazard and Risk Management

Hazard and Risk Management is the core of our system and is built into every feature and module. We provide a Master Hazard List which provides a centralized repository for all hazards and their associated data. Credentialed users are able to add, remove, and update the hazard lists as needed. Hazards can be loaded into the system through forms such as the one below, or in bulk via an Excel spreadsheet. The Master Hazard List contains FTA-required metadata fields around the hazard and around safety risk and uses MIL-STD-882 ratings to classify safety risk based on severity and probability by default.

Figure 1: MASTER HAZARD ADD/UPDATE FORM

Mitigations and Requirements

Mitigations can be attached to all hazards but are stored separately in the system. This enables users to assign multiple mitigations to a single hazard or assign the same mitigation to multiple hazards.

Figure 2: MASTER HAZARD ADD/UPDATE FORM – MITIGATIONS AND REQUIREMENTS

Mitigations can be linked to one or more Requirements which can provide the relevant regulatory or internal standard(s) for the mitigation. Requirements are attached to mitigations, but a list of Requirements is also stored separately to allow for reuse.

Users assign hazards from the Master list to work they do throughout the other modules in the system. Hazards can be attached to reports created around an incident or safety event, security incidents, audit findings, JSAs, corrective actions, and more. Mitigations and requirements flow through the hazard to be attached to these features as well.

The Safety Risk Management (SRM) Module

The SRM Module provides the framework within which many SMS activities take place, including all types of safety reporting, incident and event management, security reporting, document management, hazard and root cause analysis, review assignment, task assignment, and corrective actions.

Many interactions with the SRM Module will begin as Reports, e.g. Incidents, Accidents, and Inspections. Safety users, other employees, contractors, and even members of the general public (if desired) can create various types of reports in the system. Reports exist for incidents, accidents, occurrences, near misses, safety concerns, security events, inspections, and more. All report types have standard data fields that belong to them by default as required by the FTA and other agencies, and all report types allow users to upload documents of any type and add comments to the report. Data and documents submitted through a report are kept unaltered by the system in perpetuity.

Figure 3: SUBMIT A REPORT

Figure 4: ADDITIONAL ACCIDENT-SPECIFIC DATA FIELDS

Custom Fields

In addition to the standard required and optional fields, administrators can create custom fields and assign them to various report types. The names of custom fields, the report types they appear on, and mandatory/non-mandatory status can all be customized. Our standard implementation includes the following User Defined Fields: 12 Single Line text fields, 6 Number fields, 4 Multi Line text fields, 4 Dropdown/Choice List fields, 2 Currency fields, and 4 Date/Time fields.

Analyses

Depending on the settings configured, a submitted report can either be immediately archived or it can be opened as an analysis. In an analysis, different users or groups are given the opportunity to view the submitted report, update data, add documents or comments, share the report with others, and assign follow up reviews, tasks, and CAPs. Analysis data is initially copied from the submitted report but is maintained separately so that it can be updated without affecting the initial data that was submitted with the report.

Workflow

Workflow in an Analysis is very flexible and can be configured differently for different report types. Administrators can configure the review to be assigned to any user or group in the system, or for no assignment at all. Once begun, workflow can be controlled from inside the analysis using various form options described below or can be “preconfigured” in the system to predetermine the workflow process followed.

Reviews

Users within an analysis can assign reviews to other users or groups at any time. Assigned users are then able to see the report and all its associated data and documents. Different reviews can be assigned in different ways for maximum flexibility. The assigning user can set a priority level and due date for a review, as well as whether the reviewer will have the ability to edit the analysis data and upload documents (all reviewers can upload comments). If not preconfigured, the assigning user also has the ability to mark a review as ‘Required’ which will prevent the analysis from completing until that review has taken place and allow the assigned user to provide approval if needed. All review activity is automatically tracked by the system and displayed on the dashboards.

Tasks and Corrective Action Plans (CAPs)

Users with correct privileges also have the ability to assign follow up tasks at any time. Tasks can be assigned to any user or group in the system. Tasks are given a due date and priority level, as well as a description of what the task involves. Upon assignment, the assigned user will receive a form in their inbox with this information on it and will have a chance to mark the task as complete, provide a description of the work performed, write additional comments, and upload documents. All task activity is automatically tracked by the system and displayed on the dashboards.

Figure 5: ASSIGNING REVIEWS, TASKS, AND CAPS

In addition, users can add a ‘Verification’ step when they assign a task. When this is added, an additional review will be created after the task is marked complete so that the verifier can sign off on the work or send it back to the task participant. Any user in the system can be selected as a verifier for a task.

CAPs behave functionally very similar to tasks except that they receive a special status and are displayed separately on the dashboards.

Send and Return Options

In addition to creating reviews and tasks, users have the ability to call an analysis back to themselves or to someone else, once reviews and tasks have completed. Users also have the ability to send an analysis back to the initial reviewer at any point in the process.

The Audits & Inspections Module

Audits, inspections, observations, monitoring, JSAs, and other rules and checklist-based activities all take place within our Audits and Inspections Module (for simplicity, we refer to all these activities as Inspections in this document). This module allows for easy creation and maintenance of checklists, managing of rules and standards, tracking of findings and observations, as well as all the workflow, document management, and data gathering that has to happen along the way.

Rules and Checklists

Our system defines “Rules” as any pre-existing checklist item that a user will check against during an inspection. A checklist is simply a collection of rules. Rules can be loaded into the system individually or in bulk using Excel, and are always editable by credentialed users. Users can configure the rules in many ways, including editing the order the rule appears in a checklist and whether it opens expanded or collapsed by default. Users can sort their rules into Categories and Subcategories, which allows for easy organization and retrieval, and they can create Custom Checklists to bring rules in various categories and subcategories together for use in a single inspection.

Figure 6: EDITING RULES AND STANDARDS

Custom Inspection Fields

Inspections have their own custom fields, in addition to the custom fields provided in the SRM module. Custom fields are added to individual rules, giving users complete control over which questions are asked and which fields are marked during each type of inspection. A standard implementation of our system provides 12 Single Line text fields, 5 Number fields, 4 Multi Line text fields, 4 Dropdown/Choice List fields, and 4 Date/Time fields.

Conducting Inspections

The Audits and Inspections module is designed for on-the-go use, and inspections can be conducted using laptop, tablet, or mobile devices with or without an internet connection. In the case of offline use, inspection data is collected on the device and then sent into the system upon reconnection to the internet (documents must be uploaded on reconnection as well). Users can preload checklists or categories and subcategories onto their device before conducting the inspection, or load in rules on the spot. Inspectors can also access additional rules to add to their checklists or remove rules at the time of inspection, giving enormous flexibility to what a single inspection can encompass. Inspectors can give marks of PASS, FAIL, or CORRECTED, and can mark other data and custom fields in the finding as needed. They can also upload documents and write notes within a finding. Findings are automatically stored in the system and available for reporting as soon as they are uploaded.

Other Inspections (JSAs, Environmental Sampling & Monitoring, etc.)

Some types of inspections rely on observations and sampling rather than on a predefined checklist. Our system allows for users to create “ad-hoc checklists” for situations like these. Instead of pre-loading a list of rules to check against, the user will simply select the type of inspection they are carrying out and then start to add observations. The system will automatically load the correct data and question fields for the inspection, even though there are no predefined rules or checklists.

Post-Inspection Workflow

Inspections can be handled just like any other report in terms of workflow. That means administrators can configure who the inspection results are routed to after completion, or if they aren’t routed to anyone at all. Reviews, tasks, and CAPs can be created based on inspection findings just like any other report, and are tracked in the same way.

During an inspection, users also have the ability to assign follow up tasks and CAPs directly from the inspection form. These follow-ups are then tied directly to the finding, making it easy to connect an inspection result to follow up actions and CAPs.

The NTD Reporting Module

The NTD Reporting Module allows organizations to synthesize NTD reportable data from the other modules in one place and provides a dashboard for agency and/or public visibility into agency safety data. For NTD data that is not collected in our modules, the NTD Reporting module provides web forms that allow users to enter and maintain their data. The end result is a one stop shop for all required data as well as a dashboard for easy status checking and analytics.

OHSA Reporting Module

The OSHA Reporting Module leverages the rich information already entered into the system through the collection of reports. This information is displayed on a specialized dashboard in the system. In addition to the dashboard reporting capability, the information can be collected directly from the system in an OSHA Reporting workflow. This workflow collects the required information from the system and generates an Excel spreadsheet in the desired format which can then be used to satisfy various reporting requirements e.g. 300A reporting. Root Cause analysis is accomplished through the identification of Primary and Contributing Factors. As new contributing factors are identified, depending on the client requirements, they can be retained in a standardized list to facilitate trend analysis in the reporting module.

Data, Reporting, and Dashboards

All modules have been designed from the beginning to generate clear and useful data for use in reports and dashboards. Each report, analysis, review, task, CAP, inspection finding, follow up, status change, and data element is written out to our lists and remains available for use in analytics.

We include standard Power BI dashboards with all of our modules that provide a status of all items as well as review and task assignments. All dashboards provide an overview of the system with the ability to drill down into specific projects or locations with sort and filter capabilities. Every module includes at least one standard dashboard page and the larger modules include several pages.

All agency-generated data remains the property of the agency and can be accessed and exported at any time. Additional dashboards are possible, whether developed by OTB or by agency developers.

Our system also provides the capability to auto-generate documents using a report template and the most up to date system data. Report templates are uploaded into the system in advance and can be run with the click of a button thereafter. This functionality drastically reduces the time it typically takes to pull data from various sources and copy/paste it into your reports.

Figure 9: HAZARD & RISK OVERVIEW DASHBOARD WITH DRILLDOWN SELECTED

Figure 10: EXAMPLE DRILLED-IN VIEW SHOWING HAZARD HISTORY AND ASSIGNED TASKS

Safety and Security Certification

We are proud of the work we did with Sound Transit in designing and implementing the current SSIMS system for Safety and Security Certification, the first system of its kind in the country. However, as the service provider on that system we are also aware of its limitations. The Safety and Security Certification modules proposed here are not newer versions of your current system. They have been redesigned and completely rebuilt taking into account many of the lessons we learned supporting SSIMS for the past eight years.

Since Sound Transit processes heavily influenced their design, we are confident that our modules can fully meet your certification requirements out of the box. Given that, we would like to use this space to instead focus on some of the changes we made to the software and why. We look forward to providing a full demonstration of the modules if requested.

Below is a selected listing of some of the major advantages the proposed certification modules have over Sound Transit’s SSIMS system. This list is not exhaustive.

Rigid Structure vs. Flexibility

The current SSIMS system was designed for a very specific process and when that process changed the system struggled to adapt, resulting in non-intuitive workarounds. We have designed much more flexibility into the new system in the following ways:

Modular Projects and Phases: Phases can be added and removed from projects at will. They can be rearranged, and properties such as whether all items need to finish the phase before the project moves on can be set with the click of a button. This also allows for the execution of both Design/Bid/Build and Design/Build projects in the same system, as well as any other project structure needed in the future.

No Long Running Processes: In the current version of SSIMS processes often last for years on end, which often results in unexpected behavior when processes started years ago (and likely on a previous version) are activated. We have rearchitected the flow of projects and phases to shorten process running times dramatically in the new system.

Assign Items at Any Time: While users can still configure an Assign Items step into any phase, the software also provides an Assign Items option for credentialed users to use at any time to add items to a phase.

Flexible Workflow: Similar to the SRM Module, the Certification workflow now allows users to assign reviews and tasks from within an item to any user or group in the system, greatly increasing the options for workflow. This is in addition to the ability to set “verifying” users for each phase in order to ensure that each item receives proper sign-off before it’s marked complete. All reviews and tasks are tracked automatically by the system.

Update Item Data and Change Status at any Time: Appropriately credentialed users can update item data and status at any time through web forms rather than back-end updates. All interaction is tracked within the system.

More Robust Data Flow

Due to the complex nature of the current SSIMS processes, data can sometimes end up in unexpected places if an error occurs or a user unknowingly chose an incorrect option. The new design includes improvements to ensure data consistency, even in the case of unexpected activity in the system.

Write Out Data Immediately: Data is immediately updated in back-end systems on form submit so that even if something unexpected happens with process flow, data is still correct and persisted in the “back-end”.

Redundancy: Write out the same data more often in multiple places.

Seal Off Back End Systems: We have built in quality-controlled update processes and Excel import capabilities for bulk updates when they are required. Users do not otherwise have access to edit back-end data.

Version History On by Default: All data updates are logged in real time and version history is maintained.

Assignment Tracking

Assignment tracking via reports and dashboards was not part of the original SSIMS design, and subsequent updates to provide this functionality have significant limitations (e.g. items assigned to groups do not appear in dashboards). Assignment tracking has been built into the heart of the new system, with robust processes around reviews and tasks ensuring that each one is logged and can be easily surfaced in reporting.

Write Out Reviews and Tasks to Data Repository: Every assigned review and task, whether system-generated or user-assigned, is now written out to the data repository at the time of assignment. The log includes the type of review or task, the due date, priority level, assigned user or group, the status, reassign status, as well as the completion date.

Directly Tie Assignments to Items/Hazards/Findings/etc.: Each assignment is written out with the ID of all of the processes it is a part of allowing for easy discoverability in reporting. This also allows users to sort, filter, and track assignments by parameters such as location, system/subsystem, and risk rating, as well as other system data.

Mitigation Tracking

Based off feedback from other clients and research with the FTA, we have separated mitigations out from certifiable items, so that they can be tracked separately and reused. This also allows multiple mitigations to be attached to a single item.

Mitigations Database: Mitigations are stored in a searchable database and can be reused across modules and activities.

Attach Documentation Directly to Mitigations: Documentation regarding a mitigation is attached to the mitigation directly, rather than the item it is attached to.

Additional Major Improvements

No Cloning: Updates to platform architecture and REST API capabilities have allowed us to consolidate applications and avoid the need to clone. A single deployment of our solution can support an unlimited number of projects.

Admin Portal: A new administrative portal provides easy and intuitive access to system tasks.

Mobile and Offline: All forms can be used, unmodified on a mobile device and taken offline. Submitted forms automatically synchronize when the mobile application is back online.

Implementation Services

Overview

The implementation plan for OTB’s Safety Management System for Transit integrates both SMS principles and Integrated Risk Management (IRM) principles. This plan focuses on safety enhancement, compliance, regulatory adherence, and risk management in alignment with these principles. In addition, this plan recognizes the wealth of information, both historic and in-process, that Sound Transit has. Therefore, migration of data is a cornerstone of this approach. The services delivered here include requirements discovery, implementation of all modules provided, training services (train the trainer), training materials, solution configuration and data migration. Integration with other systems is out of scope.

OTB Solutions knows a great deal about Sound Transit’s Safety Management approach and the data on hand. We have intimate and detailed information on not only the requirements and data involved in Safety and Security Certification processes but also have, over the years, become familiar with other transit agencies’ safety management processes and data. In addition, since our original development of Sound Transit’s bespoke SSCM implementation, we have developed extensive experience in all areas of Safety Management, have an extensive partnership with K&J Safety Consulting and have implemented our SaaS solution for other major agencies. While each agency is different, at the core, SMS Principles and data requirements are held in common.

Project Services

OTB Solutions Group brings a strong record of successful projects, including complex system implementations to the table. Based on this experience we have evolved a Project Management approach that couples features of SCRUM/Agile, PMI, and Waterfall. All of these approaches have value and generally do better when leveraging the best features of each. With this in mind, OTB Solutions develops a detailed workplan derived from the Objectives of the project. In order to satisfy the Objectives, a series of Deliverables are identified and agreed upon. The workplan describes the who/what/when of the creation and completion of those deliverables. Features of SCRUM and Agile are used to actually design and create those deliverables and PMI communication methods are used to control the project.

OTB structures its engagements to include one of the firm’s principals as a quality assurance reviewer. Typically, the QA reviewer will be familiar with the project but not have day-to-day responsibility. Projects are planned in a way that incorporates a review step at or before key project milestones. At these points, the QA reviewer meets with the client sponsors, key stakeholders, end users, project team, and other stakeholders such as a vendor to confirm our understanding of expectations and identify any current issues. The QA reviewer then will work with the project team to develop strategies and plans to address any issues that were identified. We believe that this process adds significant value to our engagements and as such insist that the QA process be incorporated into our projects. Clients are encouraged to maintain an open dialog with our project managers and OTB's principals regarding the quality of our work.

Project Management and Delivery Services

As described above, OTB Solutions uses a robust process and collected activities to manage the overall execution of the project. These include:

- Project Status Reporting, generally weekly, and includes information about task/deliverables completed in the reporting period, tasks/deliverables to be completed in the next reporting period, project issues and risk status and overall project status. Generally, this information is shared with the Project Manager from the client, the Project Team and the Project sponsors.

- Example Tools that OTB uses to define and manage project quality include:

o Risk Assessment Template – A standard template that OTB Solutions uses to assess project risks and plan mitigations.

o Change Control Management – The process by which change requests will be identified, initiated, analyzed and estimated, tracked, prioritized, approved and integrated into other areas of the WBS and communicated.

o Business Requirements – business use cases related to key system functionality.

o Test Cases – the business use cases and system functionality.

o Quality Management Plan – defines processes and approval criteria.

o OTB Solutions internal QA process – internal OTB expertise to have “a second set of eyes” review their deliverables and provide guidance regarding possible best practices to utilize on the project.

- Deliverable/Implementation/Solution Acceptance:

o Within five business days following receipt of each draft Deliverable from OTB Solutions Group, LLC (or such other timeframe as may be mutually agreed upon in writing), Sound Transit will either provide written notice of acceptance of the Deliverables or provide OTB Solutions Group, LLC with written feedback describing why the Deliverable(s) is not complete. If Sound Transit does not provide either of the foregoing within five business days following receipt, the draft Deliverable will be deemed accepted and final.

o For any draft Deliverable that is not accepted pursuant to the preceding paragraph, Sound Transit will provide a single set of consolidated comments on the draft Deliverable at the time of notification. OTB Solutions Group, LLC will incorporate, as appropriate, Sound Transit’s feedback within five business days (or such other timeframe as may be mutually agreed in writing) following receipt from Sound Transit and produce the final project Deliverable. Sound Transit will ensure that the comments on the draft Deliverable(s) are within the OTB Solutions Group, LLC scope as identified in this Response and the subsequent contract and any addenda. OTB Solutions Group, LLC will have no obligation to make any changes that are outside the scope of those governing documents.

o Within three business days following the receipt of each revised deliverable Sound Transit will provide written notice of acceptance of the Deliverable(s) or provide OTB Solutions Group, LLC with written feedback describing why the Deliverable(s) are not complete. If Sound Transit does not provide either of the foregoing within three business days following receipt, the last draft Deliverable will be deemed accepted and final.

o Acceptance of the set of deliverables associated within the scope of the implementation of a module constitutes the overall acceptance of the module. No additional items or requirements will be evaluated in the acceptance of the module.

Solution Implementation

Phase 1: Pre-Implementation Preparation

The purpose of this phase is to set a clear direction for the SMS implementation by defining its objectives and scope, engaging relevant stakeholders, assessing risks, and mapping existing data to each of our modules. This phase aims to establish a solid foundation focusing on safety improvement, compliance, regulatory alignment, and risk (to the implementation) reduction.

Major Activities

- Define Objectives and Scope: Clearly state the implementation objectives, by module. Define the scope of data and processes to be migrated.

- Stakeholder Engagement: Engage key stakeholders, including internal and external resources/groups, to ensure their input and commitment to the implementation process.

- Discovery – Conduct discovery/requirements workshops with key stakeholders to determine the configuration requirements of the solution modules. At least one discovery session will be conducted per module. The duration of each discovery session will vary but will last from 1 to 3 days. It is required that participants be authorized to make final decisions for the entire organization within the scope of the module(s) being discussed.

- Risk Assessment: Conduct a comprehensive risk assessment to identify implementation risks. Develop a mitigation plan.

- Data Mapping: Map data from existing systems to the new SMS modules, ensuring that safety-critical information is accurately transferred.

- Determine deliverable and milestone delivery schedule.

Phase 2: System Alignment and Configuration

In this phase, we aim to configure the solution to address Sound Transit’s business requirements emphasizing process optimization and automation. Additionally, we will develop a data migration strategy, provide user training (phased to each module’s implementation schedule), and ensure successful transition from existing systems. The purpose is to create a robust system that promotes safety, compliance, and effective risk mitigation.

Major Activities

- Solution Configuration: Configure the solution to support Sound Transit’s business needs. This is accomplished through the configuration of the system’s control tables and the creation of required templates.

- Data Migration Strategy: Develop a data migration strategy that prioritizes safety data, compliance records, and regulatory information in line with regulatory compliance requirements.

- User Training: Train users on the solution. A Train the Trainer approach will be used. Materials delivered to Sound Transit will be in the form of PowerPoint presentations with Speakers Notes.

- Integration with Existing Systems: Is currently Out Of Scope. However, migration of existing data is covered elsewhere in this section.

Phase 3: Testing and Validation

The primary objective of this phase is to validate the configuration of the Solution to ensure its functionality aligns with the business requirements identified in the first two phases of this project. Testing will be conducted at the module level. Validation efforts will focus on real-world safety and compliance scenarios to confirm the SMS's effectiveness in risk reduction and safety enhancement according to IRM principles.

Major Activities

- Testing: Conduct rigorous testing of the SMS to ensure safety reporting, compliance tracking, and regulatory reporting functions meet SMS principles and IRM principles, emphasizing risk mitigation. All test scripts are based on OTB’s Use Case models and will be adapted to validate data migration.

- Validation and Acceptance: Validate the SMS with migrated data and Use Case scenarios, evaluating its correctness of the configuration.

Phase 4: Deployment and Data Migration

During this phase, we intend to deploy the solution in a phased manner, emphasizing module capabilities and communicating the significance of the configuration that has been implemented. Simultaneously, we will execute data migration activities, ensuring the transfer of data is in alignment with the migration design. Data transferred can include, depending on module, safety records, compliance data, process status (for those “in-flight” activities) and regulatory documentation while maintaining data integrity. Conversion of existing paper-based documentation into an electronic format and inclusion in the data migration is out-of-scope for this proposal.

Major Activities

- Deployment: Roll out the SMS in phases, based on module, to minimize disruption.

- Data Migration: Execute the data migration plan, transferring safety records, compliance data, and regulatory documentation to the new solution.

Phase 5: Post-Implementation Monitoring

The central purpose of this phase is to establish a continuous improvement framework. Sound Transit and OTB will monitor the solution for areas which would be improved by configuration changes.

Major Activities

- Continuous Improvement: Continuously monitor the solution to identify areas for improvement in Sound Transit’s business processes in the areas of safety, compliance, regulatory adherence, and risk management.

- Regulatory Reporting: Ensure the solution can generate accurate and timely regulatory reports, supporting risk-aware decision-making in compliance with SMS principles.

Phase 6: Training and Education

Throughout this phase, our aim is to provide ongoing training to users, emphasizing solution best practices, compliance requirements, regulatory adherence, and risk awareness as specified by SMS principles. This Phase is delivered over the course of the entire project as each module is implemented as described above.

Major Activities

- Ongoing Training: Provide ongoing training to Sound Transit in the form of Train-The-Trainer sessions, emphasizing module capabilities and common features across the solution modules already implemented.

Phase 7: Evaluation and Review

The purpose of this phase is to conduct regular audits and track key performance indicators (KPIs) to assess the solution implementation effectiveness. A feedback mechanism (please see the Service Level Agreement for details) will facilitate this process.

Major Activities

- Regular Audits: Conduct regular audits of implementation through the review of tickets in the support system.

- Key Performance Indicators (KPIs): Track KPIs as defined in the Service Level Agreement (attached) related to implemented modules.

- Feedback Mechanism: Execute the established feedback mechanism for Sound Transit to report system concerns and issues.

By focusing on the migration of existing data throughout the implementation plan, the aim is to allow Sound Transit to quickly realize the benefits of our SMS For Transit online solution.

Project Schedule

The implementation of each module should take approximately 6 weeks in duration. This will vary according to complexity and Sound Transit staff availability.

Our sample module timeline below shows a rollout over a 12 month period but this schedule can be modified as required by Sound Transit. In particular, module implementations may overlap or run concurrently should Sound Transit be able to devote sufficient resources to the implementation activities. Planning the overall rollout schedule will be an early task in the Phase 1 Pre-Implementation Preparation.

Figure 11 - Sample Module Timeline

Figure 12 - Sample Overall Timeline

Firm Experience and History

Brief résumé of the Proposer firm…

OTB Solutions Group, LLC is a Professional Services Firm registered as a corporation in the State of Washington and founded in 2002. OTB Solutions is privately held. We serve customers in multiple industries in the Pacific Northwest, across the US, Canada, and internationally. Our primary business location is in Seattle, Washington.

Our senior team members all have backgrounds with major global consulting firms. Our core team consists of approximately 10 professionals and is augmented by a strong network of additional resources. Together, we bring an exceptional level of experience as well as world-class credentials in management consulting. We pride ourselves in thinking “Outside the Box” to bring our clients innovative solutions and have been recognized as thought leaders in information technology and business process management.

Of specific interest for this proposal, our consultants have successfully managed public sector projects which were nationally recognized as models of private/public sector partnership. We understand how to work with public sector agencies and how to create value in this environment. We have successfully delivered our SaaS solution to various public sector clients in the Puget Sound and internationally. We are experts in process automation.

OTB’s client base spans a diverse range of organizations: from statewide public agencies to an international nonprofit focused on global health issues. Our work in the public sector has been growing as we repeatedly deliver valuable products and results to our clients. We have successfully delivered projects for Sound Transit, Pierce Transit, Whatcom County Transit, The City of Ottawa/Light Rail Transit, and numerous governmental agencies including the Health Care Authority of Washington, The Recreation & Conservation Office, and Department Labor & Industries in Washington State. OTB is being recognized as a national leader in transit information management with recent work awarded at MBTA, SEPTA, and Pittsburgh Regional Transit (PRT). Our private sector clients range from the Bill and Melinda Gates Foundation to the Fred Hutchinson Cancer Research Center and Microsoft.

Industries served include Public Transportation, State Government, High Tech Manufacturing, and Health Care / Research / Hospitals / Insurance among others.

Practice Area Directors include Dick Federle – Public Transit & SaaS Solutions, Venys Prestige – Organizational Change Management, and Steve Severson - Process Automation. All three will be assigned to this contract along with other resources as needed.

Recent Services Provided

Client | Project Name

City of Ottawa – Custom Construction Management System

Client Contact

Client is not allowed to provide reference due to restrictions imposed by City Ordinance and Policy

Project Description

Our client was embarking on a large and complex transit construction project converting bus lines to light rail. The project involved diverse stakeholders including the City, the operating transit agency, three construction contractors and approximately 60 consultants and sub-contractors. OTB Solutions was engaged to automate processes and develop dashboards to help manage this large and complex project.

The City recognized in the first phase of the project that they had inadequate oversight, using their existing manual process, to monitor the various contracts. They needed automation and transparency to be able to see at a glance overall status and progress on contract deliverables and obligations. Each contract has complex and detailed terms and conditions with substantial financial penalties should either the agency or the contractor’s default. Huge sums of money were at stake if deadlines were missed.

Our Solution

OTB has developed 10 automated workflows and three dashboards to monitor the construction project’s contract communications. The client recognizes the power of the platform and is actively identifying additional manual business processes for automation as well as additional dashboards to expand their ability to manage processes and track status.

Client | Project Name

SEPTA | Fit Analysis for Safety and Security Management Software

Client Contact

Jim Tucci | jtucci@kjsafety.com | +1 (850) 450-1031

Project Description

As part of their ongoing efforts to improve the System Safety Department’s delivery of services, SEPTA was looking to consolidate their various safety databases, automated and manual processes and reporting into a cohesive system. They anticipated that this would improve their efficiency and enable them to deliver more timely and comprehensive service to the organization. They had heard about OTB’s Safety Management SaaS solution during a meeting of the Safety Working Group of CUTR. They asked OTB and K and J Safety to evaluate the “fit” of our software and its ability to meet their current and future needs.

Our Solution

Over the course of 4 weeks, OTB Solutions was able to review the processes, reports and databases currently in use by SEPTA’s System Safety Department. As part of that review OTB produced a detailed Gap Analysis Report including Findings & Recommendations. In addition to the Gap Analysis, OTB was able to configure a working implementation of the system which was demonstrated to the System Safety Department over the course of a week. During that demonstration, members of the department were able to get “hands on” time with the system to understand how they might use it in the support of their work.

The findings of the Gap Analysis were that the Safety Management Modules presented met or exceed the current needs of the SEPTA Safety Department.

Client | Project Name

Sound Transit – Safety and Security Information Management System
(SSIMS - v1.0, v2.0)

Project Description

At Sound Transit, safety and security certification had been managed through a disjointed set of manual processes, emails and spreadsheets that had served the organization when it was smaller. But these tools would not scale to take on a major light rail expansion. Data and documents were scattered and difficult to find, there was no way to create reliable status reports, and audits were becoming an ever-growing drain on limited agency resources.

Our Solution

OTB’s first version of SSIMS pulled all safety and security items into one place, allowing hazards and mitigations to be tracked and managed from preliminary engineering, through final design, construction, testing, and into revenue operations.

The system accommodates reporting on safety/security progress at an item, system, project, or agency-wide level, secure, searchable document storage with automatic metadata tagging, regular tracking of all approvals, including the exact data and document versions used to make each decision, and automatic creation and routing of required certification documents. OTB has provided continual SSIMS upgrades to Sound Transit since the release of v1.0.

Client | Project Name

Washington State Office of the Secretary of State (OSOS)| VoteWA Election Modernization Project

Client Contact

Tim Graden | tim.graden@sos.wa.gov | 360-902-4156

Project Description

The Office of the Secretary of State needed to implement a new voter registration and elections management system to be able to support new voting legislation and replace a legacy system that was end-of-life from a security perspective. The state was moving to a centralized system instead of 39 separate, county-maintained voter registration systems.

Our Solution

OTB provided project management resources to ensure project goals stayed on track:

· Tracking action items from multiple work streams, following up to ensure nothing missed and next steps pursued

· Identifying and tracking project risks

· Meeting management, scheduling, development of materials, and documentation / notes

· Status reporting

· Experience with Agile processes

· Develop vendor management plan and project management plan

· Maintain Integrated Project Schedule for all project work streams

· Track incidents in ticket management system and associate with items in vendor ticket management system

· Outreach to county stakeholders to ensure technical solutions worked locally

· Develop surveys for technical discovery

Client | Project Name

Washington State Department of Labor and Industries – Apprentice Training Tracking Technology

Client Contact

Joshua K. Bruney | Bruk235@lni.wa.gov | (360) 902-6475

Project Description

Labor and Industries (L&I) administers the Washington State public workers’ compensation program. Claims Administration manages State Fund workers’ compensation claims for 166,000 employers and over 2.4 million workers; adjudicating approximately 102,000 new claims for on-the-job (OTJ) injuries and illnesses per year. The complexity of our workers’ compensation system requires highly skilled technical staff capable of making decisions requiring sophisticated judgment. In addition, the staff interacts with customers, who are often experiencing the distress and disruption to their lives or business an injury can cause.

As such, state regulation mandates an extensive and in-depth training program for new Claims Administrators. The training program consists of dozens of elements involving hundreds of individual claims, each of which much be checked, corrected, and tracked.

The prior process in Claims Administration for tracking progressive skill achievement for over 200 learners a year was a manual process that was cumbersome and not user friendly. The tools used by the program were mostly manual and prone to human error and creates duplication of effort and delays in the process, and there was limited visibility into the progress of learners towards their training completion.

Additionally, the prior process had multiple hand offs of the same data stored in multiple places, making it difficult to ensure that the updates are done to all the records because of the multiple hand offs and copies. This complexity compounded the ability to easily search for and retrieve data required to measure trainees’ current performance.

After a lengthy process of requirements gathering and process refinement, OTB developed a tool to track the progress of the training program. The system collects and stores claims data securely, manages work checking and approvals, handles unforeseen contingencies, and provides feedback to users. Reports and visualizations provide apprentices and managers with up to date and useful information, while role-based features allow different users to see only the data that is relevant to them.

Our Solution

We took the time to interview and shadow each of the stakeholders involved in the project, from the claims administrators themselves to the coaches, instructors, managers, and executives that rely on the system every day. Then, we worked iteratively with representatives from each of these groups, over time developing a system they were familiar and comfortable with.

Firm’s ability and experience to provide the services specified herein.

OTB Solutions has spent years developing safety and security solutions for transit agencies, managing PTASP and SMS requirements. We have gathered requirements from the FTA and from agencies across the US, developed data and automation tools to meet those requirements, created customizable reports and dashboards, and deployed the entire system to the cloud. The result is the proposed Safety Management solution, which we are constantly developing and improving. Our modules are an entirely self-sufficient SaaS solutions designed to manage all aspects of their respective safety data, processes, workflow, and document management requirements.

Sound Transit stands to gain immensely from the years of development work that we have invested into these modules. Using the Safety Management Online Service platform as a base for Sound Transit safety applications has the potential to greatly accelerate your adoption of safety management technologies. Rather than having to customize a Risk Management Platforms, developed in other industries and extended into Transit, Sound Transit can start from a design built specifically for Transit Agencies and focus on the configuration changes needed to achieve your specific goals. OTB has decades of experience customizing our systems to meet unique requirements in highly regulated industries and can provide expertise along every step of the way.

The technical and safety expertise we have gained from developing these systems allows us to easily translate between the goals of safety engineers, the requirements of the FTA, SSOs, and other regulatory agencies, and the language of our systems including data storage requirements and security. We can help you achieve your Safety Management Goals.

Environmental sustainability

OTB Solutions is proposing a Software as a Service (SaaS) solution which by its nature has a low environmental impact. The solution, hosted in Microsoft’s Azure environment has the advantage of leveraging all of the investments into sustainable infrastructure that Microsoft has made and continues to make. Based upon recent research, the results show that the Microsoft Cloud is between 22 and 93 percent more energy efficient than traditional enterprise datacenters, depending on the specific comparison being made. When taking into account Microsoft’s renewable energy purchases, the Microsoft Cloud is between 72 and 98 percent more carbon efficient. These savings are attributable to four key features of the Microsoft Cloud: IT operational efficiency, IT equipment efficiency, datacenter infrastructure efficiency, and renewable electricity procurement. OTB Solutions Safety Management Modules are hosted entirely in Microsoft’s Cloud. In addition, all of OTB Solutions operational software is hosted in the cloud. We have no data center resources other than those hosted in the Microsoft/Azure cloud.

Maintenance, quality assurance and communication.

Our approach towards maintenance, quality assurance, and communication involves a company philosophy that prioritizes proactive and preventative measures to minimize disruptions and downtime for our clients. We implement regular maintenance schedules and conduct thorough quality assurance testing to ensure that our services meet high standards of performance and reliability. Communication is a key aspect of our approach, with regular updates provided to clients on the status of services and any issues that arise, as well as clear and timely responses to any inquiries or concerns. Our overall goal is to provide seamless and efficient IT support to their clients, while building strong relationships based on trust and transparency.

Key Contact.

Fred Higgins

Principal

12345 Lake City Way NE

Seattle, WA 98125

(206) 979-3318

fred.higgins@otbsolutions.com