Request for Proposals (RFP) No. 2018-10373 Medical Review ... · MEDICAL REVIEW OFFICER FOR AC...

1600 Franklin Street Oakland, CA 94612

Request for Proposals (RFP) No. 2018-10373

Medical Review Officer for AC Transit’s Alcohol and Substance Abuse Program

January 29, 2018

ALAMEDA-CONTRA COSTA TRANSIT DISTRICT (DISTRICT)

https://actrans.sharepoint.com/Purchasing

MEDICAL REVIEW OFFICER FOR AC TRANSIT’S ALCOHOL AND SUBSTANCE ABUSE PROGRAM RFP NO. 2018-10373

AC Transit Page 2 of 74 January 29, 2018

Table of Contents Section Name Beginning on Page

Summary of Project / Schedule of Events 3

Special Instructions to Proposers 4

Standard Instructions to Proposers 13

Proposal Forms 17

Sample Contract 31

Scope of Services 32

Special Terms & Conditions 63

Standard Terms & Conditions 73

MEDICAL REVIEW OFFICER FOR AC TRANSIT’S ALCOHOL AND SUBSTANCE ABUSE PROGRAM RFP No. 2018-10373

Summary of Project / Schedule of Events


1. Introduction

The District is issuing a Request for Proposals (RFP) from qualified proposers (hereafter referred to as "Proposer") to provide a Medical Review Officer for AC Transit’s Alcohol and Substance Abuse Program service as described in this RFP.

A. The services are more fully described in Exhibit A, Scope of Services (Page 32), included in this RFP.

B. The District invites sealed proposals in accordance with the provisions, specifications, and instructions set forth in this RFP. Proposals will be received until the date and time specified above. Late proposals will not be considered.

C. All Proposers are cautioned to read the entire RFP, noting insurance and submittal requirements, and to complete all required forms enclosed. Failure to provide all requested information may cause the proposal to be rejected. The District reserves the right to waive minor irregularities in proposals and to reject any and all offers and re-solicit or cancel this RFP.

2. Schedule of Events

A. Proposals shall be governed by the following schedule below. All dates and times are tentative and subject to change.

Solicitation Event Date Time Distribution of RFP 1/29/18 1:00 p.m. Last day for written questions 2/5/18 4:00 p.m. District’s deadline to respond to questions via addendum

2/7/18 4:00 p.m.

Deadline for proposals 2/12/18 10:00 a.m. Recommendation for Award 2/23/18 10:00 a.m.

B. Should a Proposer find discrepancies or omissions in the RFP, or should the Proposer be in doubt as to meanings, the Proposer shall notify the Contracts Specialist, Jamell Woodard, at [email protected] prior to the date specified above for written questions. A solicitation addendum will be sent to all potential Proposers receiving the RFP, outlining the questions posed from all participants, and their respective answers.

C. A Proposer shall submit the exceptions with alternative language, as applicable, to the RFP under Tab 6 (See Exceptions and/or Proprietary Information Section).

mailto:[email protected]


Special Instructions to Proposers

1. General Information Alameda-Contra Costa Transit District is a Special District, organized under the laws of the State of California, which provides public transit service to approximately 193,616 riders daily with a fleet of more than 586 buses. The District's service area extends from western Contra Costa County to southern Alameda County. The District has approximately 2,130 employees and is financed through the receipt of transit fares, property taxes, state, and federal funding. This Request for Proposal (RFP) outlines the scope of services requested as well as information that should be included in the proposal. It is the District’s intent to award a three (3) year fixed-price contract to a responsible and qualified Medical Review Officer considering overall price, experience and responsiveness to this RFP.

2. Proposal Submission

A. Each proposal must be submitted in an electronic format (i.e., flash drive or CD) and HARD COPY in two (2) separate sealed envelopes within the proposal package. Envelope 1 (Technical Proposal) and Envelope 2 (Cost Proposal). All proposals shall be received no later than the date and time specified below at the District office at the following address:

AC Transit Purchasing Department

1600 Franklin Street, 6th Floor Oakland, CA 94612 Attn: Jamell Woodard, Contracts Specialist

B. All packages shall be sealed and clearly marked as:

RFP No.: 2018-10373 Medical Review Officer for AC Transit’s Alcohol and Substance Abuse Program Due Date/Time: February 12, 2018 / 10:00 A.M., P.S.T.

C. Proposals may be mailed or delivered. If mailed, proposals must be mailed in sufficient

time to reach the above address before the specified time. If delivered, the proposals should be delivered to the above address. Proposals not received by the designated time or not delivered to the designated address will not be considered for award. No facsimile or e-mail transmissions of proposals will be accepted.

D. Proposals will not be publicly opened. All proposals and evaluations will be kept strictly confidential throughout the evaluation, negotiation and selection process. Only the members of the Evaluation Team will be provided access to the proposals and evaluation results during this period.

3. Technical Proposal Content

Proposals shall be prepared simply and economically, providing a straightforward and concise description of the Proposer’s capabilities and approach for meeting the requirements of this RFP. The Proposer shall submit one (1) original and seven (7) copies of the Technical Proposal, along with one (1) set of CDs/Flash Drive with a PDF version,




containing the following information, at a minimum. The original shall be loose-bound and suitable for photocopy reproduction. Proposal shall be organized as follows. Each section shall be clearly labeled with pages numbered and separated by tabs. Failure to provide ALL of the required submittals may render the proposal non-responsive. Proposers must comply with the page limits indicated for each tab. Page limits are applicable to original work and exclude any requested forms or resumes.

A. Tab 1, Proposer Forms

i. Attachment A, RFP Cover Page ii. Attachment B, Proposer Statement of Qualifications and Business References iii. Attachment C, Prime and Subcontractor/Supplier Report

B. Tab 2, General Description

General description of the firm and overview of the scope of services i. Proposers shall submit the firm name(s), addresses, telephone numbers and e-

mail and/or web addresses and a brief description of the history, background of the firm and length of time in business under the same name. Include a point of contact for this project.

ii. Provide a short description of the proposed services in accordance with the requirements of the Scope of Services.

C. Tab 3, Proposer’s Qualifications

This section shall contain the Proposer’s staffing plan, which shall identify the site Administrator and any other key personnel who will be assigned to the contract and shall discuss the direct qualifications and experience of each key individual. The Proposer shall discuss its history and experience relevant to AC Transit’s needs, including a description of Proposer’s direct experience performing the tasks described in the solicitation. The Proposer shall emphasize any experience with organizations of similar size, scope and complexity as AC Transit. The Proposer shall demonstrate the ability of its Medical Review Officer and other staff to work with collection sites, testing laboratories, substance abuse professionals and employees. This section shall contain the Proposer’s staffing plan, which shall identify the site Administrator and any other key personnel who will be assigned to the contract and shall discuss the direct qualifications and experience of each key individual. This section should include:

i. A list of companies/organizations for which Medical Review Officer services have been provided within the last five years, including dates of service, and the names, addresses, contact persons and telephone numbers of clients. Contractor shall similarly discuss the qualifications of any other firms proposed to be utilized in the performance of the work (including joint venture members or major subcontractors) and shall clearly state the duties to be performed by each firm.




ii. Documentation of relevant experience working within the transit industry.

iii. Documentation of relevant experience working with federal, state or local

agencies.

iv. Experience testifying as an expert witness, at depositions or for court or administrative proceedings.

v. Information on any contracts terminated within the past three years.

vi. Resumes of Medical Review Officer and staff who will report or be assigned to the Medical Review Officer. Resumes must be complete and concise, featuring experience that is most directly relevant to the task and responsibility to which the individual is assigned. Resumes must be dated (e.g., dates of education, experience, employment, etc.) and must state the function(s) to be performed on the project by each of the key personnel.

vii. An organization chart, complete with a listing of all job classifications and the number of full or part-time employees in each job classification who will participate in the performance of the work.

viii. A written assurance that the key individuals listed and identified will be performing the work and will not be substituted with other personnel that are not qualified to perform the duties herein this Contract without AC Transit’s prior approval.

D. Tab 4, Key Personnel Qualifications and Experience

i. Proposer shall submit evidence/documentation showing the professional qualifications for any individuals directly performing services for the District have a minimum of three (3) years of experience in providing similar services for Federal Transit Administration (FTA) random drug and alcohol testing programs as codified in 49 CFR Part 40.

ii. Proposer shall provide documentation demonstrating that the individuals who will be directly performing the services for the District are qualified to perform the services as defined in the Scope of Services attached hereto.

iii. Proposer shall submit documentation showing that the individuals directly performing the services have knowledge of substance abuse disorders and have appropriate medical training to interpret and evaluate an individual’s confirmed positive test result together with his or her medical history and any other relevant bio-medical information.




iv. Proposer shall submit evidence/documentation showing accurate test and document drug and / or alcohol use, and are able to accurately complete the forms necessary to establish the chain of custody in the testing process.

v. Proposer must submit a statement that the Medical Review Officer staff will be

available by telephone during the District's business hours, Monday through Friday, 8:00 a.m. to 5:00 p.m., Pacific Standard Time.

E. Tab 5, Past Performance/References - Firm’s Past Performance Experience

Proposer shall provide two (2) relevant references of current or former clients/firms for whom you have provided similar services. Include for each reference:

A. Explain Medical Review Officer Experience performed for like organizations, public sector

agencies, and other than public sector businesses. B. Complete and provide references and other information as contained in Attachment B –

Proposer’s Statement of Qualifications and Business References Questionnaire. When providing references please include the following information:

• Company name, address, telephone number, fax number and e-mail address • Contact person and contact person’s title • Contact person’s address, phone number, fax number and e-mail address • Company web site address • Length of your relationship • Description of type of work performed for client

Email addresses must be provided or it may delay the evaluation process.

F. Tab 6, Exceptions and Proprietary Information 1. Exceptions

If a proposer desires to take exception to the contract or any part of this RFP, the proposer shall provide the following information as a section of the proposal identified as “Exceptions to the Contract/RFP”. • Proposer shall clearly identify each proposed change to the contract or RFP

including all relevant exhibits. • Proposer shall furnish the reasons therefore as well as specific recommendations

for alternative language.

The above factors shall be taken into account in evaluating proposals. Substantial exceptions to the contract or RFP may be determined by the District, at its sole discretion to be unacceptable and the District may proceed with contract award with other proposed firms.




2. Proprietary Information

Any information submitted in the proposal that the Contractor has determined to be PRIOPRIETARY in nature, shall be marked accordingly. Please list in this section the information that is considered proprietary.

4. Price Proposal Content

A. The Price Proposal Form shall be submitted in a separate sealed envelope, on the

enclosed Cost Proposal Form (Attachment No. D), a firm fixed price for the term of three (3) years.

B. The price proposed for the Medical Review Officer for AC Transit’s Alcohol and Substance Abuse Program shall include all costs for services provided.

C. The Proposer shall submit one (1) original and one (1) copy of the Price Proposal

Form, along with one (1) set on a CD/Flash Drive in a pdf. The original shall be loose-bound and suitable for photocopy reproduction. The compensation for price proposal items one (1) through six (6) shall be based on a per test rate. The proposed rate charged per test shall include administrative and other indirect charges, if any. Price Proposal items seven (7) through nine C (9C) are for informational purposes only.

5. Evaluation Process Evaluations will be made in strict accordance with all of the evaluation criteria and procedures specified herein.

A. Receipt and Distribution of Proposals

Copies of the written Technical and Qualification proposals will be distributed by the Contracts Specialist, or designee to each member of the Evaluation Team and the Technical Advisory Team (if applicable).

B. Responsiveness (pass or fail)

Exceptions, conditions, reservations or understandings that are explicitly, fully and separately stated will be evaluated for their acceptability. A Proposal having a preponderance of unacceptable exceptions and conditions may be cause for the Proposal to be rejected. An unacceptable exception, condition, reservation or understanding, if not withdrawn by the Proposer upon the request by the Contracts Specialist, or designee, would be cause for the Proposal to be rejected. In addition, if a Proposer receives a score of “0” in any one of the sections of the Technical Specifications, the Proposer will be given an opportunity to bring that section into compliance with the specifications. If the Proposer declines to do so, that Proposal may be rejected as non-responsive.




C. Responsible Proposers

Concurrently, the District’s Procurement staff will evaluate the Proposals to determine “Responsibility” in accordance with requirements of the “Standard/Special Instructions to Proposers”. Any proposals from Proposers whom the District finds not to be responsible and finds cannot be made to be responsible shall not be considered for the competitive range. Final determination of a Proposer’s “responsibility” will be made upon the basis of initial information submitted in the proposal, any information submitted upon request by the District, information submitted in a Proposal revision, and information resulting from the District inquiry of Proposer’s references and its own knowledge of the Proposer. Award will only be made to a responsible Proposer that has been found by the District to be responsible both financially and technically and has the capability to perform the work of the Contract in accordance with the requirements of the Specifications and within the time specified. If the District’s Procurement staff finds that the Proposer did not meet these requirements, and cannot be made to meet these requirements, the District will determine the Proposer to be non-responsible and its Proposal rejected. Final determination of “responsibility” will be determined prior to the issuance of a recommendation for award.

D. Application of Evaluation Criteria

Technical proposals will be evaluated based on the reviewer’s determination of the degree of compliance with RFP requirements. The evaluation criteria will be applied in the determination of competitive range, final evaluation, and elsewhere as needed in the evaluation steps described in subsequent sections. Based upon individual evaluations, the Contracts Specialist will record and tabulate the raw evaluation scores of the Committee and apply the established weights. The “Weighted Method” of scoring will be utilized.

E. Evaluation Weighting:

The evaluation criteria outlined below will be used to evaluate each proposal: WEIGHT ASSIGMENT FOR PROPOSAL EVALUATION CRITERIA

Evaluation Criteria Weight 1. Responsiveness to Request for Proposal Pass/Fail 2. Proposer qualifications and relevant

experience in providing Medical Review Officer Services for a company similar to the size of the District

15

3. Proposer is responsive to the requirements of the RFP and clearly demonstrates an understanding of the scope of services.

10

4. Experience and technical qualifications of key personnel who will be assigned to this project.

10

5. Medical Review Officer (MRO) staff availability to provide MRO services or other clinical task to the District.

10




6. Past Performance/References 10 7. Cost 45

TOTAL POSSIBLE WEIGHT 100

F. Evaluation Scoring

This evaluation process will be used to determine those Proposers in the competitive range. The determination will be based on an overall score, arrived at separately by the members of the District’s Evaluation Team and tabulated by the Contracts Specialist for each Proposer.

i. Technical Proposal Scoring:

The Proposals will be evaluated based on each Reviewer’s determination of each criteria and sub-criteria compared to the degree of compliance with Contract requirements. Scores will be assigned according to the following:

5 Exceptional Fully compliant with RFP requirements and with desirable strengths or betterments; no errors, or risks, or weaknesses or omissions. There is a high probability of success. 4 Compliant Fully compliant with RFP requirements - Meets in all aspects and may in some cases exceed the critical requirements. 3 Good Generally compliant with RFP requirements; some minor errors, or risks, or weaknesses or omissions. Minor weaknesses can be readily corrected. 2 Minimal Minimally compliant with RFP requirements; errors, or risks, or weaknesses or omissions; possible to correct and make acceptable. 1 Deficient Non-compliant with RFP requirements; errors, or risks, or weaknesses or omissions; difficult to correct and make acceptable. 0 Unacceptable Totally deficient and not in compliance with RFP requirements; demonstrates a lack of understanding of RFP requirements.

ii. Evaluators may utilize non-whole numbers, i.e. decimals, in providing their raw

scores. The District’s Evaluation Team members will carry out and document its evaluations. Any extreme proposal deficiencies which may render a Proposal unacceptable will be documented. The District’s Evaluation Team members will make specific note of questions, issues, concerns and areas requiring clarification by Proposer and to be discussed in any meetings with Proposers which the District finds to be within the competitive range.




iii. Price Proposal Scoring

Points will be assigned by the Contracts Specialist, or designee to the Proposal with the lowest overall price. For Proposal evaluation purposes, the Proposer offering the lowest price for the contract will receive the maximum points allocated for price. All other Proposers will be allocated points based on the calculated percentage relationship between their proposal price offer and the proposal offer of the low Proposer. Scores will be rounded to the nearest tenth.

(Low Price/Proposer’s Price) x 5 x # of Evaluators = Total Raw Price Points

The Total Raw Price Points are then multiplied by the Price Weight to yield the Total Weighted Price Points.

The Total Weighted Price Points are added to the Total Weighted Technical Points to yield the grand total score of each proposer,

iv. Tabulation and Determination of the Competitive Range

The Contracts Specialist, or designee shall prepare a final list of Proposals ranked according to the results of the Committee scored evaluations. Maximum potential points attainable per Proposer per proposal are 2,500 points: 5 Evaluators X 5 Raw Points per Category X Weighting Factor = 2,500 points. This is an example used for illustrative purposes. Total points available may vary depending on the number of evaluators assigned to the evaluation process.

v. Discussions with Proposers in the Competitive Range

The Proposers determined to be within the competitive range, will be notified and any questions and/or requests for clarifications provided in writing. Each Proposer may be invited for an interview with the District to discuss answers to written or oral questions, clarifications, and any facet of its proposal.

No information, financial or otherwise, will be provided to any Proposer about any of the Proposals. Proposers will not be told of their rankings among the other Proposers.

vi. Oral Presentations/Interviews

Proposers may be required to give an oral presentation and/or interview regarding their proposal. Additional technical and/or cost information may be requested for clarification purposes, but in no way will change the original proposal submitted. If presentations and/or interviews are arranged, arrangements will be made with all Proposers within the competitive range.




vii. Best and Final Offers (BAFO)

After all interviews and/or oral presentations have been completed, if applicable, each of the Proposers in the competitive range may be afforded the opportunity to amend its proposal and make its BAFO, if the BAFO step of the evaluation process is deemed necessary by the District. The request for BAFOs shall include:

a. Notice that discussions/negotiations are concluded.

b. Notice that this is the opportunity for submission of a BAFO.

c. A common date and time for submission of written BAFOs, allowing a

reasonable opportunity for preparation of the written BAFOs.

d. Notice that if any modification to a BAFO is submitted, it must be received by the date and time specified for the receipt of BAFOs and is subject to the late submissions, modifications, and withdrawals of proposals provisions of the Request for Proposal.

e. Notice that if Proposers do not submit a BAFO or a notice of withdrawal and another BAFO, their immediate previous Offer will be construed as their BAFO.

f. Any modifications to an initial proposal made by a Proposer in its BAFO, shall be identified in the BAFO. The District’s Evaluation Team will evaluate the BAFO using the same criteria used to evaluate the original Proposals, for items that have been re-addressed in the BAFO. These final scores and rankings within each criterion will again be tabulated by the Contracts Specialist, or designee and considered according to the relative degrees of importance of the criteria.

6. Recommendation to Award

The District will award to the proposer whose proposal is most advantageous to the District, with cost and other factors considered. The District’s Evaluation Team’s selection will be recommended to the District’s Board of Directors for approval, if required. The results of the evaluations and the selection of a proposal for any award will be documented. The District reserves the right to award without any discussions or negotiations. Therefore, proposers are encouraged to submit their best offer initially. After the District approval of award, unsuccessful proposers will be notified of such award in a timely manner.

The District’s Board of Directors has the option of accepting the recommendation or of making an award to another firm if it determines that such a selection is in the best interests of the District and public transit in the Bay Area.


Standard Instructions to Proposers 1. Revisions/Addenda to RFP/Solicitation

If it becomes necessary to revise any part of this Request for Proposal (RFP), or if additional information is necessary to enable the Proposers to make an adequate interpretation of the provisions of this RFP for proposal, an Addendum to the RFP will be provided to each prospective Proposer. Proposers must acknowledge receipt of all Solicitation Addenda in proposals submitted to the District via the RFP Cover Page form located in the Attachments section.

2. Explanation to Proposers

Any explanation desired by a Proposer regarding the meaning or interpretation of this solicitation must be requested in writing and received prior to date specified in the “Schedule of Events” in the Special Instructions to Proposers Section. All information provided to any prospective Proposer concerning this solicitation will be furnished to all prospective Proposers in writing.

3. Verbal Agreements

No prior, current, or post-award verbal conversations or agreement(s) with any officer, agent, or employee of the District shall affect or modify any terms or obligations of this RFP or any Contract that may result from this procurement. Oral explanations or instructions will not be binding.

4. Signature Requirements

A. Proposals must be signed by a duly authorized officer(s) eligible to sign contract documents for the Proposer (the "Authorized Signer").

B. Consortiums, joint ventures, or teams submitting proposals, although permitted and encouraged, will not be considered responsive unless it is established that all contractual responsibility rests solely with one Proposer or one legal entity. The submittal should indicate the responsible entity. Proposers should be aware that joint and several responsibility and liability will attach to any resulting Contract and failure of one party in a joint venture to perform will not relieve the other party or parties of total responsibility for performance.

5. Vendor Registration Online Vendor Registration is required prior to contract award. Proposers should access www.actransit.org, select: Doing Business with AC Transit, Vendor Login and Registration, and Vendor Registration, to register as an Online Purchasing User. To complete the process, include a W-9, Request for Taxpayer Identification Number and Certification (containing original signature) in proposals. If online access is not available, contact the Contracts Specialist for instructions.

6. News Releases Written approval by the District shall be required prior to any public disclosure regarding this RFP or any subsequent selection or contract award.

http://www.actransit.org/


Standard Instructions to Proposers


7. Reserved Rights

A. All Proposers are notified that the Contract for these services is contingent upon funds appropriated by the District and local, regional, state and federal governments. In the event that funding is eliminated or decreased, the District reserves the right to terminate any Contract or modify it accordingly. The District makes no representations that any Contract will be awarded to any Proposer responding to the RFP.

B. The District reserves the right to waive any immaterial irregularities in any and all proposals.

C. The District reserves the right to reject all proposals and re-solicit or cancel this procurement if deemed by the District to be in its best interest, without indicating any reasons for such rejection(s).

D. The District reserves the right to enter into a Contract with any Proposer based upon the initial proposal or on the basis of a best and final offer without conducting interviews.

E. The District reserves the right to select the proposal that, in its judgment, will best meet its needs.

F. The District reserves the right to negotiate a contract that covers selected parts of a proposal, or a contract that will be interrupted for a period or terminated for lack of funds.

G. The District reserves the right to award in whole or in part, by line item or group, or to make multiple awards or no award, whatever is in the best interests of the District.

8. Cost of Proposal and Pre-Contractual Expenses The District shall not be liable for any pre-contractual expenses incurred by any Proposer. Proposer shall not include any such expenses as part of the Proposal offer in response to the RFP. The District shall be held harmless and free from any and all liability, claims, or expenses whosoever incurred by, or on behalf of, any person or organization responding to this RFP. Pre-contractual expenses are defined as expenses incurred by Proposer in: A. Proposals in response to this RFP.

B. Costs associated with interviews and meetings (including travel expenses) incurred in responding to this RFP.

C. Other expenses incurred by a Proposer prior to the date of award and formal Notice to Proceed for any contract.

9. Pricing and Financial Information

A. Each Proposer shall submit a Price Proposal in accordance with the Special Instructions to Proposers. The price must be valid for a minimum of one hundred eighty (180) days from date of submittal.




B. Proposers agree to permit access to financial records for a Pre-Award Audit to verify labor rates, overhead rates, and other information should the District determine that such an audit is required prior to negotiations or award of a Contract.

10. Debriefing Unsuccessful Proposers may make a written request for a formal debriefing.

11. Waiver

By submission of its proposal, the Proposer represents and warrants that it has sufficiently informed itself in all matters affecting the performance of the work or the furnishing of the labor, services, supplies, materials, or equipment called for in the solicitation; that it has checked its proposal for errors and omissions; that the prices stated in its proposal are correct and as intended by it; and are a complete and correct statement of its prices for providing all the labor, services, supplies, materials, equipment and other resources required.

12. Public Records/Confidentiality

A. The proposals received in response to this RFP become the exclusive property of the

District.

B. When a Contract award is approved by the District, all proposals submitted in response to this RFP shall become a matter of public record and shall be regarded as public records. Those elements of each proposal which are marked as “CONFIDENTIAL”, or “PROPRIETARY” and are determined by the District to be confidential shall be exempt from being deemed as a public record.

C. If required by law or by an order of a court, the District may be required to disclose such records or portions thereof, including without limitation those so marked.

D. Proposals that indiscriminately identify all or most of the proposal as exempt from disclosure without justification may be technically unacceptable as privileged information and be subject to public disclosure.

E. In the event a proprietary information designation is challenged by a third party, the proposer agrees to provide legal counsel or other necessary assistance to indemnify the District, defend the designation and agrees to hold the District harmless for any costs or damages arising from such challenge.

13. Knowledge of Proposal/Price Conditions

Before submitting a Proposal, the Proposer shall carefully read all sections of this RFP and shall fully inform itself as to all existing conditions and limitations.




14. Black Out Provision No Proposer, including anyone directly or indirectly on behalf of such Proposer, shall attempt to influence any part of the process. From the time the RFP is issued until District’s Board of Directors or designee makes the Contract Award (the “Black-Out Period”), Proposers directly or indirectly through others, are restricted from attempting to influence in any manner the decision making process through, including, but not limited to, the use of paid media; contacting or lobbying the District’s Board of Directors or General Manager (GM) or any District employee; contacting reporters; contacting RFP evaluators; submitting letters, e-mail messages or other similar forms of communications to the editor of newspapers and other media for publication or ghostwriting or otherwise requesting others to submit such letters, e-mail messages or other similar forms of communication; answering questions regarding the RFP or their Proposals during the “Black-Out Period” or in any other way which could be construed to influence any part of the decision making process about this RFP. Violation of this provision will cause the Proposal to be rejected.

15. Debarred Proposers

At the time of proposal submittal, the Proposer, including any of its officers or holders of a controlling interest, is obligated to inform the District whether or not it is or has been on any debarred Proposers’ list maintained by the U.S. Government and the State of California.

16. Protest Procedures

A link to the District’s bid protest procedures is listed below: You may also contact the District’s assigned Contracts Specialist for a copy thereof.

http://www.actransit.org/wp-content/uploads/board_policies/BP%20468%20-

%20Procurement%20Protest-1.pdf

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http://www.actransit.org/wp-content/uploads/board_policies/BP%20468%20-%20Procurement%20Protest-1.pdf

http://www.actransit.org/wp-content/uploads/board_policies/BP%20468%20-%20Procurement%20Protest-1.pdf


Proposal Forms – RFP Cover Page Checklist To be Completed and Returned by Proposers

RFP Cover Page - Checklist


Attachment A RFP Cover Page

Attachment B Proposer Statement of Qualifications and Business References

Attachment C Prime and Subcontractor Report

---------------------------------------------------------------------------------------------------------------------------------------

Attachment D Price Proposal (to be submitted in separate sealed envelope)


Proposal Forms – ATTACHMENT A - RFP COVER PAGE To be Completed and Returned by Proposers


Attachment A

RFP Cover Page

Name of Business: _______________________________________________________________________

Type of Business: Sole Proprietor Partnership Joint Venture Corporation (Incorporated under the State of ___)

Primary Business Address: ________________________________________________________________

Contact Name: _____________________________________________ Title: ________________________

Email: ____________________________________________________ Phone #: _____________________

Receipt of _____________________ (insert/list #) Addenda The Proposer warrants and represents that it has received all Addenda issued by the District in connection with this solicitation.

Proposal Validity

Proposal shall remain valid for a period of not less than 180 days from the date of submittal.

Insurance The Proposer agrees to fully comply with the insurance requirements provided in Sample Contract, Exhibit B: Special Terms and Conditions.

Non-Collusion

The Proposer has made this proposal independently, without consultation, communication, or agreement for the purpose of restricting competition as to any matter relating to Request for Proposals with any other firm or with any other competitor.

Non-Conflict: The Proposer covenants that it presently has no interest, direct or indirect, which would conflict in any manner or degree with the performance of the services called for under this agreement. The Proposer further covenants that in the performance of this agreement, no person having any such interest shall be employed by the Proposer, and that the Proposer receives no commissions or other payments from parties other than the District as a result of work performed.


Proposal Forms – ATTACHMENT A - RFP COVER PAGE To be Completed and Returned by Proposers


Equal Employment Opportunity: The Proposer agrees to comply with the Civil Rights Act, and agrees to have a complaint procedure where violations of the Act can be reported and appropriately adjudicated. The Proposer agrees to comply with applicable Federal laws, implementing regulations, and other implementing requirements the FTA may issue. In addition the Proposer agrees to provide workforce data reports as may be periodically requested by the District.

Drug Free Workplace:

The Proposer certifies, pursuant to the definitions regarding a Drug Free Workplace provided in the Federal Acquisition Regulation System (“FAR”), Procedures for Transportation Workplace Drug & Alcohol Testing Programs, 49 CFR 40, and Prevention of Alcohol Misuse & Prohibited Drug Use in Transit Operation, 49 CFR 655, as amended, to the best of its knowledge and belief that it and its principles maintain a workplace(s) safe and free from “controlled substances” as described in the Controlled Substances Act (21 U.S.C. 812) and as further described in regulations 21 CFR 1308.11 - 1308.15.

The undersigned agrees to comply with the above referenced provisions and certifies that all information included in your proposal is, to the best of your knowledge, true, accurate and complete. Furthermore, upon execution of a Contract, to furnish the District with services and/or goods, in accordance with the terms outlined in this solicitation (including all addenda) and in the manner and at the prices proposed.

Typed name: ______________________________________ Title: ________________________________

Signature: ________________________________________ Date: _______________________________

Typed name: ______________________________________ Title: ________________________________

Signature: ________________________________________ Date: _______________________________


Proposal Forms – ATTACHMENT B PROPOSER’S STATEMENT OF QUALIFICATIONS & BUSINESS REFERENCES

To be Completed and Returned by Proposers


A. Proposer Name: ___________________________________________________________

B. How many years has your organization been in business as a Contractor under your present

business name? _____________

1. As a general contractor? ___________________

2. As a subcontractor? _______________________

C. 3-Year Annual Gross Receipts: The firm's gross annual receipts for the most recent three (3) years or the firm’s financial statement for the past three (3) years prepared in accordance with the United States Generally Accepted Accounting Principles (GAAP) and audited by an independent certified public accountant Year: Year: Year:

$ $ $

D. Give information below about all your current and ongoing projects. (Attach additional sheets

if necessary).

Client Information

Firm Name: Contact Person Name and Title: Address, City, State, Zip Code: Phone and Fax Number: Email Address: Web Site Address

Type of Work (Description of Products/Services Provided) Value of Work Percent Completed

of Overall Project Scheduled

Completion Date





Client Information




Completion Date

Client Information




Completion Date





E. List all key projects your organization has completed similar in nature to the scope of services outlined in this solicitation during at least the last three (3) years in the following tabulation.

Client Information


Type of Work (Description of Products/Services Provided) Value of Work Year Started Year Completed

Client Information







Client Information



Client Information



(Attach additional sheets if necessary)





F. Give information below about the relevant experience of the principal individuals of your present organization including those individuals to be in responsible charge of this project. Attach additional sheets if necessary.

Organization’s Authorized Representative:

Contact Person Name: Contact Person Title: Phone Number: Fax Number: Email Address: Years of Professional Experience: Type of Work:

Principal Individuals:


Principal Individuals:






G. References: List Professional references for who your organization has performed work similar in nature to the scope of services outlined in this solicitation.

A. Business Reference

Firm Name: Contact Person Name and Title:

Address, City, State, Zip Code: Phone and Fax Number: Email Address: Web Site Address Dun and Bradstreet Number

B. Business Reference



C. Business Reference







H. Have you or your organization, or any officer or partner thereof, failed to complete a contract?

No Yes If yes, please explain below. Attach additional sheets if necessary.

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

I. Is any pending litigation or adverse findings against your organization?

No Yes If yes, please explain below. Attach additional sheets if necessary.

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

J. Has the firm ever been subject to a regulatory, state or Federal agency investigation for alleged

improper, fraudulent, disreputable or unfair activities related to business practices? Have any employees ever been investgated? Explain? ___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

K. Has a contract been “defaulted”? __________ If so, where, when and why?

_________________________________________________________________________

_________________________________________________________________________

How was it resolved?

_________________________________________________________________________

_________________________________________________________________________

_________________________________________________________________________

_________________________________________________________________________





L. Has there been a past contract “debarment” action? __________ If so, where, when and why?

_________________________________________________________________________ _________________________________________________________________________ _________________________________________________________________________ _________________________________________________________________________

How was it resolved?

_________________________________________________________________________ _________________________________________________________________________ _________________________________________________________________________ _________________________________________________________________________

M. Attach City, County, State Business License(s), Permit(s) copies to include dates and

geographic areas of operation.


Proposal Forms –ATTACHMENT C PRIME CONTRACTOR & SUBCONTRACTOR/SUPPLIER REPORT



The Proposer is required to furnish the following information in accordance with the provisions of Public Contract Code Sections 4100 to 4113, inclusive. This list and information shall include all subcontractors that will perform work, provide labor or render services to the Proposer in connection with the project in an amount in excess of one-half of one percent (0.5%) of the total amount of Proposer’s Grand Total Proposal/Bid Price.

Prime/Subcontractor/Supplier Name/Address/Contact Information

Type of Work or Materials

Percentage of Work/ Materials

Check if Applicable

DBE/SBE Certifying Agency

(i.e. State of CA) DBE SBE

Name:

Address: Contact Person: Phone: Email: License No (if applicable):

Name:


Name:


Name:


(DO NOT LIST ALTERNATIVE SUBCONTRACTORS FOR THE SAME WORK. ATTACH ADDITIONAL SHEETS AS NECESSARY)

Attachment D



Proposal Forms –ATTACHMENT D Price Proposal


PRICE PROPOSAL FORM Pricing for item numbers 1 through 6 are to be proposed on a per test basis. The cost and/or hours stated herein is the District’s best estimate for the services required during a fiscal year. The District does not guarantee the quantity of testing and/or hours required during the term of this Contract on the total proposed fees for items 1 through 6 for the three (3) year base period for the period: March 1, 2018 through February 28, 2021.

Item Number

Service YEAR 1

YEAR 2

YEAR 3

Fee Total Fee Total Fee Total 1 Verified Negative Tests (per test fee)

Estimate 2,200 tests/year

2 Verified Positive Tests (per test fee) Estimate 25 tests/year

3 Clinical Negative Tests (per test fee) Estimate 25 tests/year

4 Confirmatory Split Test (per test fee) Estimate 25 tests/year

5 Return to duty Tests (per test fee) Estimate 30 tests/year

6 QA Tests (per test fee) Estimate15 tests/year

TOTAL DOLLARS / YEAR

TOTAL AMOUNT ITEMS (1) THROUGH (6) FOR THE THREE (3) YEAR BASE PERIOD $___________________

Attachment D



Proposal Forms –ATTACHMENT D Price Proposal


Pricing for items 7 through 9C are for information purposes only. Proposer shall state the hourly rate.

Item #

Service

YEAR 1

YEAR 2

YEAR 3

Rate Total Rate Total Rate Total 7 Shy Lung Evaluation (Hourly rate)

Estimate 5 Cases/year

8 Shy Bladder Evaluation (Hourly rate) Estimate 5 Cases/year

9 Consulting Services (Hourly rate) Estimate 20 Hours/year

9A Staff Witness Testimony (Collector Hourly rate) Estimate 5 Hours/year

9B Expert Witness Testimony (Dr. Hourly rate) Estimate 5 Hours/year

9C Litigation Package (Hourly rate) Estimate 5 Hours/year

(This Form must be completed and submitted as part of Contractor proposal)


SAMPLE CONTRACT


THIS CONTRACT is made and entered into this day of F e b r u a r y 2018, by and between ALAMEDA‐CONTRA COSTA TRANSIT DISTRICT (hereinafter “AC Transit” or the “District”), a special transit district established pursuant to California Public Utilities Code, Section 24501 et seq., and __________________(hereinafter “Contractor”).

THE PARTIES AGREE AS FOLLOWS:

1. SCOPE OF SERVICES Contractor shall provide the District the services in full accordance with Request for Proposals No. 2018-10373 prepared and issued by the District titled Medical Review Officer for AC Transit’s Alcohol and Substance Abuse Program, as described in Exhibit A – Scope of Services.

2. COMPONENT PARTS This Contract shall consist of the following documents:

• Exhibit A – Scope of Services • Exhibit B – Special Terms and Conditions • Exhibit C – Standard Terms and Conditions • Exhibit D – Proposer’s Final Proposal/BAFO (if applicable) • Exhibit E – Price Proposal

IN WITNESS WHEREOF, the parties have executed this Contract on the dates set forth below.

ALAMEDA‐CONTRA COSTA PROPOSER NAME: TRANSIT DISTRICT:

________________________________ ________________________________ Michael Hursh Date Signature Date General Manager

_____________________________ Printed Name APPROVED AS TO FORM AND CONTENT:

________________________________ ________________________________ Denise C. Standridge Date Title General Counsel

https://actrans.sharepoint.com/Purchasing


Exhibit A

SCOPE OF SERVICES


1. PURPOSE

The Alameda-Contra Costa Transit District (The District) is mandated by the U.S. Department of Transportation’s Federal Motor Carrier Safety Administration (FMCSA) and the Federal Transit Administration (FTA) to maintain a drug and alcohol testing program as codified in the Code of Federal Regulations (CFR), Title 49, Volume 1 Part 40 and 49 CFR Part 655. The District has 1,650 employees in safety-sensitive job classifications that are subject to these regulations. Under the current regulations, twenty-five percent (25%) of these employees are required to be randomly tested in accordance with the Substance Abuse and Mental Health Services Administration (SAMSHA) for drugs. Ten percent (10%) are required to be tested for alcohol. The FMCSA establishes the controlled substances random testing rates and the minimum testing rates may be amended on an annual basis.

2. MEDICAL REVIEW OFFICER LICENSURE AND PERSONNEL

QUALIFICATIONS

A. Definition

Medical Review Officer (MRO) means a licensed physician (medical doctor or doctor of osteopathy) responsible for receiving and reviewing laboratory results generated by an employers’ drug testing program and evaluating medical explanations for certain drug test results.

The MRO acts as an independent and impartial “gatekeeper” and advocate for the accuracy and integrity of the drug testing process. The MRO provides quality assurance review of the drug testing process for the specimens under the MRO’s purview, determines if there is a legitimate medical explanation for laboratory confirmed positive, adulterated, substituted and invalid drug test results, ensures the timely flow of test results and other information to employers and protects the confidentiality of the drug testing information.

The MRO shall also be certified by the Medical Review Officer Certification Council (MROCC), or the American Association of Medical Review Officer (AAMRO).

The MRO must have at a minimum the following qualifications:

• Demonstrated experience with drug abuse disorders and knowledge in the pharmacology and toxicology of legally prescribed and illegal drugs.


Exhibit A

SCOPE OF SERVICES


• Thorough knowledge, expertise in applicable state and federal rules, laws, and regulations.

• Successful completion of qualification training as outlined in 49 CFR §

40.121 (c) and of an exam administered by a nationally recognized MRO certification board or subspecialty board for medical practitioners in the field of medical review of DOT-mandated drug tests.

• Requalification training every five years as outlined in 49 CFR § 40.121

(d). Following completion of requalification training, the MRO must satisfactorily complete and examination by a nationally recognized MRO certification board or subspecialty board for medical practitioners in the field of medical review of DOT-mandated drug tests.

• Described services that have been provided to at least one (1) employer

comparable in size to AC Transit.

• Qualified/trained support personnel.

See Appendix A for Medical Review Officers Responsibilities and the Verification Process, as set forth by 49 CFR Part 40, as may be amended.

B. MRO Responsibilities

The primary role of the MRO is to review and interpret positive, adulterated, substituted, invalid, and at AC Transit’s discretion, dilute test results obtained through AC Transit’s testing program and to identify any evidence of subversion of the testing process. The MRO is also responsible for identifying any issues associated with collecting and testing specimens.

1. In carrying out these responsibilities, the MRO shall examine alternate medical explanations for any positive, adulterated, substituted, invalid, or dilute test result. This action may include, but is not limited to, conducting a medical interview with the donor, reviewing the donor's medical history, or reviewing any other relevant biomedical factors. The MRO shall review all medical records that the donor may make available when a positive, adulterated, substituted, invalid, or dilute test result could have resulted from responsible use of legally prescribed medication, a documented condition or disease state, or the demonstrated physiology of the donor. In addition, the MRO must review and take all reasonable and necessary steps to verify the authenticity of all medical records the donor provides. The MRO may contact the


Exhibit A

SCOPE OF SERVICES


pharmacy, contact the donor’s physician or other relevant medical personnel for further information as indicated in 49 CFR Part 40 Section 40.141.

2. The MRO may only consider the results of tests of specimens that are collected and processed under this part, including the results of testing split specimens, in making his or her determination, as long as those split specimens have been stored and tested under the procedures described in this part.

3. The MRO may not delegate any of his or her responsibilities for directing MRO staff to any other individual or entity, except another MRO.

C. MRO Staff Responsibilities

MRO staff - Individuals who provide administrative support to the MRO may be employees of the MRO or Contractor. Employees of the Contractor or the MRO must perform said functions under the direction of the MRO.

Direction of MRO staff activities - MRO’s shall be directly responsible for all administrative, technical, and professional activities of individuals who are serving MRO staff functions while they are performing those functions, and those functions must be under the MRO's direction.

(i) The duties of MRO staff must be maintained independent from any other activity or interest to protect the integrity of the MRO function and donors' privacy.

(ii) An MRO's responsibilities for directing MRO staff must include, but are not limited to, ensuring that—

(A) The procedures being performed by MRO staff meet professional standards of practice;

(B) Records and other donor personal information are maintained confidential by MRO staff and are not released to other individuals or entities, except to an AC Transit Representative or as permitted under this contract;

(C) Data transmission is secure; and (D) Drug test results are reported to DER or as directed by this Contract. (E) The staff under the direction of the MRO may receive, review, and report

test results to DER. (F) The staff reviews of positive, adulterated, substituted, invalid, or dilute test

results must be limited to reviewing the custody-and-control form to


Exhibit A

SCOPE OF SERVICES


determine whether it contains any errors that may require corrective action and to ensure that it is consistent with the information on the MRO's copy. The staff may resolve errors in custody-and-control forms that require corrective action(s), but shall forward the custody-and-control forms to the MRO for review and approval of the resolution.

(G) The staff may not conduct interviews with donors to discuss positive, adulterated, substituted, invalid, or dilute test results nor request medical information from a donor. Only the MRO may request and review medical information related to a positive, adulterated, substituted, or invalid test result or other matter from a donor.

(H) Staff may not report nor discuss with any individual(s) other than the MRO and other MRO staff any positive, adulterated, substituted, invalid, or dilute test results received from a Department of Health and Human Services (DHHS) certified laboratory before those results have been reviewed and confirmed by the MRO. Any MRO staff discussions of confirmed positive, adulterated, substituted, invalid, or dilute test results must be limited to discussions only with the District’s DER and may not reveal quantitative test results or any personal medical information about the donor that the MRO may have obtained in the course of reviewing confirmatory test results from a (DHHS) certified laboratory.

(I) MRO staff may perform routine administrative support functions, including receiving test results, reviewing negative test results, and scheduling interviews for the MRO.

a. If there is no reasonable medical reason (e.g., legitimate prescription) or other reason (e.g., breakdown in chain of custody or laboratory error) to account for the positive laboratory results, these results shall then be disclosed to the DER. Any medical information provided that is not specifically related to use of illegal drugs shall be treated as confidential and not disclosed, with the exception of substance that may impair an employee’s ability to do his/her safety sensitive duties.

b. If it is determined with reasonable certainty that there is a legitimate medical or other reason to account for the positive laboratory results, no information identifying the specific donor shall be disclosed. Any medical information provided to the MRO by a donor shall be treated as confidential.

D. Doctor-Donor Relationship

1. The MRO shall maintain a confidential doctor-donor relationship.

Relationships to third parties, e.g., insurance companies or


Exhibit A

SCOPE OF SERVICES


employers, shall be governed under legal, procedural, and ethical controls. Information to be shared with such third parties is usually required to be specified in advance and disclosed only with the written consent of the donor.

2. The District has provided written notice to employees in advance of

specimen collection describing District policy and the action that shall commence if laboratory findings are positive. All test results are considered confidential. When, and under what conditions, such positive results and any related information shall be shared with management and other sources are also specified in writing.

3. When a donor with a positive laboratory result is referred, the MRO must define his or her role in accordance with 49 CFR § 40.129. The MRO must address the conditions under which tests results and related information shall be disclosed. Such information shall be disclosed under the following conditions:

3. POSITIVE RESULTS STANDARD

A. The MRO shall review and make a positive determination for the following group of drugs, which shall be known as the "Basic Drug Panel", only at the minimum cutoff levels of concentration as shown:


Exhibit A

SCOPE OF SERVICES


1 For grouped analytes (i.e., two or more analytes that are in the same drug class and have the same initial test cutoff): Immunoassay: The test must be calibrated with one analyte from the group identified as the target analyte. The cross-reactivity of the immunoassay to the other analyte(s) within the group must be 80 percent or greater; if not, separate immunoassays must be used for the analytes within the group. Alternate technology: Either one analyte or all analytes from the group must be used for calibration, depending on the technology. At least one analyte within the group must have a concentration equal to or greater than the initial test cutoff or, alternatively, the sum of the analytes present (i.e., equal to or greater than the laboratory’s validated limit of quantification) must be equal to or greater than the initial test cutoff. 2 An immunoassay must be calibrated with the target analyte, D-9-etrahydrocannabinol-9-carboxylic acid (THCA). 3 Alternate technology (THCA and benzoylecgonine): When using alternate technology to test for THCA and Benzoylecgonine, the screening and confirmatory test cutoff concentrations must be the same respectively (i.e., 15 ng/mL for THCA and 100 ng/mL for Benzoylecgnine).’’ 4 Methylenedioxymethamphetamine (MDMA). 5 Methylenedioxyamphetamine (MDA)

B. The laboratory shall report all test results to the MRO. No laboratory results below these minimum concentration levels shall be reported as positive. Only those laboratory results at or above these minimum standards shall be reported as positive.

C. The MRO shall report on the basic panel only. MRO shall not report on the

presence of any other illegal or legal drug. The District shall notify the MRO in advance of any change, including the substance(s) to be changed, the new cut-off level(s) and the proposed effective date of the change.

4. LABORATORY RESULTS

A. Receiving Test Results from the Laboratory

The laboratory shall transmit laboratory results to the MRO by electronic means. The MRO shall be responsible for ensuring confidentiality of transmitted information. The MRO shall also receive from the collection site a copy of the urine custody and control form. In the event of a positive test result, a certified copy will be given to the MRO.

B. Type and Number of Laboratory Results


Exhibit A

SCOPE OF SERVICES


1. Specimens shall be collected for the following types of tests: post-accident, pre-employment, follow-up, reasonable suspicion/cause, biennial physical, return-to-duty, and random.

2. The laboratory shall report all laboratory results to the

MRO. Negative return-to-duty tests shall also be evaluated as part of the determination to allow a donor to return to work status.

C. Review of Test Results

1. The MRO provider’s personnel will receive and transmit urine test

results to the District as outline in 49 CFR § 40.167.

2. The MRO shall review and interpret all positive and negative urine test results as received from the authorized laboratory (hereinafter referred to as "laboratory results"). These tests shall be reviewed only for marijuana, cocaine, opioids, amphetamines, methamphetamines and phencyclidine. However, if another substance is found that may impair a safety sensitive employee’s ability to do his/her duties, it shall be reported to the DER. This review shall be conducted in compliance with the Positive Results Standard shown in paragraph 3. Positive Results Standard herein.

3. If the MRO reports a negative dilute specimen as defined by FTA

regulations, and directs a new sample be taken, the MRO may request the recollection under direct observation.

4. If any question arises as to the accuracy or validity of a positive test result, the MRO should, in collaboration with the Urinalysis Testing Laboratory and collection sites, review laboratory and site records to determine whether the required procedures were followed. The MRO shall then decide whether the result is scientifically sufficient to take further action. If the records from collection sites or laboratories raise doubts about the handling of a sample, the MRO may determine that the urine sample evidence is insufficient and no further actions relative to donor shall occur. In such situations, the MRO shall note indications of possible errors in laboratory analysis or chain of custody procedures and bring these to the attention of the District’s DER.

5. Positive laboratory results shall not be reported to the District’s

DER until after the MRO has examined all alternate medical explanations. The methods used to verify the validity of the laboratory results shall be at the discretion and professional judgment of the MRO.


Exhibit A

SCOPE OF SERVICES


6. The MRO, based on review of inspection reports, quality control

data, multiple samples and other pertinent results, may determine that the result is scientifically insufficient for further action and declare the test specimen a cancelled test. The MRO may request re-analysis of the original sample before making this decision, according to the procedures specified herein.

7. If the MRO determines that there is a legitimate medical explanation for the positive test result, the MRO shall report the test to the DER as clinically negative.

8. If the donor refuses or fails to discuss the test result or provide

pertinent medical history for review in such cases, the MRO shall report the positive test result to the District’s DER

D. After reviewing and verifying a confirmed positive laboratory result for

opioids, the MRO shall determine if there is evidence of unauthorized use of any opium derivative. This may include requests, at the discretion of the MRO, for the laboratory to perform a 6-monoacetylmorphine test.

E. Before reviewing and verifying a confirmed positive laboratory result for

amphetamines/ methamphetamines, in addition to the urine test, the MRO shall determine if there is evidence of unauthorized use of any amphetamines/methamphetamines. In the event of positive laboratory results for amphetamines/methamphetamines, confirmatory testing for levels of D/L Isomers shall be performed.


Exhibit A

SCOPE OF SERVICES


F. Requests for Re-analysis

1. Should any questions arise as to the accuracy or validity of a positive laboratory result, only the MRO is authorized to order a re-analysis of the original sample. Re-analysis of results is authorized only at laboratories certified by the Department of Health and Human Services (DHHS). When the MRO determines a re-analysis necessary, the MRO shall first request that the District's contract laboratory provide this service. If the MRO questions, in accordance with the procedures and scope of the MRO's services as provided herein, the procedures of the District's contract laboratory, the MRO may order a re-test at another DHHS certified laboratory which the District has authorized for this purpose.

2. The MRO shall not authorize or bill the District for re-analysis at

laboratories with which the District does not have purchase and billing agreements. Each such instance must be accompanied by a full report to the District’s DER explaining why the MRO questioned whether established laboratory procedures were not followed, and/or why the original test was not accurate.

3. The MRO shall be responsible for processing donor requests for

re-testing from the original donor specimen as provided per District Policy and Procedures. All such requests are to be received in writing on a form prescribed by the District. The District’s DER is responsible for developing internal procedures for timely submission of forms, collecting any fees from the donor, and processing any reimbursements.

4. The MRO is not required to and therefore shall not solicit a

re-analysis request from any donor. The MRO shall inform the donor of the 72-hour reanalysis rule.

5. REPORTING PROCESS

A. Transmitting Test Results to the District

The MRO shall transmit all laboratory results to the District’s DER by electronic means. The MRO shall be responsible for ensuring confidentiality of transmitted information. A summary report shall be submitted monthly to the District’s DER.

B. Monthly Summary Reports


Exhibit A

SCOPE OF SERVICES


By the tenth (10th) calendar day of each month, the MRO shall submit to the District’s DER, by registered or certified mail, a Monthly Statistical Summary of Urinalysis Test Results. This report shall summarize:

1. Initial test results received from the laboratory.

a. Number of test results received from the laboratory. b. Number of positive laboratory results.

c. Number of negative laboratory results.

2. Test Evaluation Results

Number of tests confirmed positive for: a. Marijuana metabolite

b. Cocaine metabolite c. Morphine opioids d. Codeine opioids e. Phencyclidine

f. Amphetamine g. Methamphetamine

3. Number of tests confirmed negative for:

a. Marijuana metabolite b. Cocaine metabolite c. Morphine opioids d. Codeine opioids e. Phencyclidine

f. Amphetamine g. Methamphetamine


Exhibit A

SCOPE OF SERVICES


C. Timeliness for Response

1. The MRO shall not delay the reporting of laboratory results beyond

the time frames noted herein. It is the donor's responsibility to assist the MRO with the inquiry in a timely manner and failing such assistance, to provide the DER with such information after a positive test result decision is made by the MRO.

2. The MRO shall review all positive and negative laboratory results

as received from the laboratory in a timely manner, as described in this section. All negative laboratory results received between 8:00 a.m. and 4:00 p.m., Pacific Standard Time (PST), Monday through Friday shall be reviewed and notification of laboratory results shall be made by 5:00 p.m. Pacific Standard Time (PST) of the same day. The MRO, on positive results, will attempt to contact the donor to inform the donor of positive laboratory results. If the MRO is unable to contact the donor within 72 hours, the MRO will notify the DER that the attempted contact has been unsuccessful. Negative laboratory results received after 4:00 p.m. Pacific Standard Time (PST) on weekdays, Saturday or Sunday shall be reviewed and the DER shall be notified by 10:00 a.m. Pacific Standard Time (PST) on the following business day.

3. The MRO shall conduct the evaluation in an expeditious manner.

The exact time that is required for each review shall vary depending upon the nature of the review that is conducted. The MRO is expected to follow-up on an as needed basis to assure that information is requested and received as soon as possible. The MRO shall document all contacts made with the donor and shall inform the DER when he or she believes a reasonable effort to contact the donor has been made. The DER may inspect MRO documentation to verify that required actions are conducted within a reasonable time frame.


Exhibit A

SCOPE OF SERVICES


6. QUALITY ASSURANCE PROGRAM ADMINISTRATION

A. The MRO shall also provide services to support the District's blind specimen testing/quality control program as indicated in 49 CFR Section 40.103.

B. The District’s DER shall be responsible for establishing the number of

blind test specimens to be conducted, by a Department of Health and Human Services (DHHS) testing laboratory.

C. The MRO shall be given copies of the quality assurance laboratory's

report, on periodic blind sample testing so the MRO can comment on quality assurance issues. Knowledge of the testing laboratory's error rate on blind samples is used in considering donor's complaints of erroneous test results.

D. The District’s DER shall inform the MRO of the donor numbers and dates

when the blind specimens were submitted. The MRO shall be responsible for the following:

1. Matching laboratory results to the pre-assigned donor numbers.

2. Submitting blind laboratory results to the DER

7. RELEASE OF DONOR INFORMATION

Upon written request to the District, any donor who is the subject of a drug test shall have access to any records related to his or her drug test, and any records relating to the results of any relevant certification, review, or revocation of certification proceeding.

8. RECORDS

A. The MRO shall maintain individual laboratory results as indicated in 49 CFR Parts 40 and 655. The MRO shall maintain positive laboratory results for a minimum of five (5) years. The MRO shall keep the reports of individual negative results for at least one (1) year.

B. The laboratory results of an individual who was administered a drug test

may be released to a third party only if the donor tested signs a specific authorization for the release of the results to an identified person.

C. The District’s DER shall have access to all donor medical files maintained

by the MRO that pertain to the District's Substance Abuse Program. These files are subject to inspection without prior notice.


Exhibit A

SCOPE OF SERVICES


9. CONSULTING SERVICES AS REQUESTED

A. Upon notification by the DER, the MRO shall also be available to meet with District staff, clinic, or laboratory representatives on a periodic basis in order to discuss procedural concerns, quality assurance, problems or trends in drug and alcohol abuse and donor explanations for positive drug tests.

B. Hearing Testimony

1. Upon request of the District’s DER, the MRO shall attend formal

administrative, legal, or disciplinary hearings to give testimony regarding the methods used, reliability and results of analyses that were conducted, and the findings that supported a determination of a positive test result, adulteration tampering, or substitution of a specimen.

2. The District shall only reimburse the MRO for travel expenses. The

District’s DER shall schedule such appearances with the MRO at a time that is mutually agreeable to the District and the MRO. The District estimates that five (5) hearings may be held each year.

C. Disciplinary Procedures

The MRO shall not discuss, adjudicate, punish or otherwise arrange consequences for donors with verified positive laboratory tests.

10. ACCESSIBILITY REQUIREMENTS

Contractor will maintain and publicize an 800-telephone number for District employees use in contacting the MRO. In addition, the MRO will operate an office that is open and accessible to District employees and the DER. The District prefers the facility to be located within the District's servicing areas (from the City of Richmond to the City of Milpitas). However, an out-of-state Contractor may bid on MRO services if they can provide a local MRO to perform Shy Bladder and Shy Lung examinations/evaluations. It must be clearly outlined who, where and how these services will be administered. Also, in the event of an FTA compliance audit, if auditors are required to travel outside the District’s servicing areas, the Contractor will be responsible for 100% reimbursement of any costs incurred by the District.

11. MANAGEMENT INFORMATION SYSTEM (MIS)

Contractor shall maintain computerized Management Information System that will enable Contractor to provide and maintain standard and customized ad hoc


Exhibit A

SCOPE OF SERVICES


reports. The cost of converting any existing data to any new or existing system will be borne by the selected Contractor. No added cost may be charged for data storage.


Exhibit A

SCOPE OF SERVICES

Appendix A - 49 CFR Part 40 – Informational Purposes Only

Subpart G - Medical Review Officers and the Verification Process


1. Please describe your qualifications to serve as a MRO. Section 40.121 states: "To be qualified to act as an MRO in the DOT drug testing program, you must meet each of the requirements of this section: (a)) Credentials. You must be a licensed physician (Doctor of Medicine or Osteopathy). (b) Basic knowledge. You must be knowledgeable in the following areas:(1) You must be knowledgeable about and have clinical experience in controlled substances abuse disorders, including detailed knowledge of alternative medical explanations for laboratory confirmed drug test results.(2) You must be knowledgeable about issues relating to adulterated and substituted specimens as well as the possible medical causes of specimens having an invalid result.(3) You must be knowledgeable about this part, the DOT MRO Guidelines, and the DOT agency regulations applicable to the employers for whom you evaluate drug test results, and you must keep current on any changes to these materials.”

2. BASIC KNOWLEDGE: Do you have knowledge of and clinical experience in substance abuse disorders, including alternative medical reasons for lab-positive test results?

Section 40.121(b) states: "Basic knowledge. You must be knowledgeable in the following areas: (1) You must be knowledgeable about and have clinical experience in controlled substances abuse disorders, including detailed knowledge of alternative medical explanations for laboratory confirmed drug test results.

3. BASIC KNOWLEDGE: Do you have knowledge of issues relating to adulterated and substituted specimens, and the possible medical causes of invalid test results?

Section 40.121(b) states: "Basic knowledge. You must be knowledgeable in the following areas: (2) You must be knowledgeable about issues relating to adulterated and substituted specimens as well as the possible medical causes of specimens having an invalid result."

4. Do you have a current copy of 49 CFR Part 40, the DOT testing regulation? Section 40.123(b)(3) states: "You [the MRO] must be knowledgeable about this part, the DOT MRO Guidelines, and the DOT agency regulations applicable to the employers for whom you evaluate drug test results, and you must keep current on any changes to these materials. The DOT MRO Guidelines document is available from ODAPC (Department of Transportation, 400 7th Street, SW., Room 10403, Washington DC, 20590, 202-366-3784, or on the ODAPC web site (http://www.dot.gov/ost/dapc)."

5. Do you have a current copy of the DOT MRO Guidelines, as well as any DOT agency regulation that applies to employers for whom you evaluate test results?


Exhibit A

SCOPE OF SERVICES




Section 40.121(a)(3) states: "You must be knowledgeable about this part, the DOT MRO Guidelines, and the DOT agency regulations applicable to the employers for whom you evaluate drug test results, and you must keep current on any changes to these materials You must subscribe to the ODAPC list-serve at https://www.transportation.gov/odapc/getodapc-email-updates. DOT agency regulations, DOT MRO Guidelines, and other materials are available from ODAPC (Department of Transportation, 1200 New Jersey Avenue SE.,Washington, DC 20590, 202–366–3784, or on the ODAPC Web site (http://www.transportation.gov/odapc)."

6. What is the requalification for a MRO? When did you most recently qualify, and with which organization?

Section 40.121(d) states: ""Requalification training. During each five-year period from the date on which you satisfactorily completed the examination under paragraph (c) (2) of this section or have successfully completed the required continuing education requirements, you must complete requalification training."

7. Are there any prohibitions against the MRO having a financial interest in the laboratory being utilized?

Section 40.125 states: “As an MRO, you may not enter into any relationship with an employer's laboratory that creates a conflict of interest or the appearance of a conflict of interest with your responsibilities to that employer. You may not derive any financial benefit by having an employer use a specific laboratory. For examples of relationships between laboratories and MROs that the Department views as creating a conflict of interest or the appearance of such a conflict, see §40.101(b).”

8. Does the laboratory transmit the test results to you directly, or does the laboratory transmit reports through a C/TPA to you?

Section 40.97(b) states: "As a laboratory, you must report laboratory results directly, and only, to the MRO at his or her place of business. You must not report results to or through the DER or a service agent (e.g., C/TPA)." Section 40.355 states: "As a service agent, you are subject to the following limitations concerning your activities in the DOT drug and alcohol testing program. (b) You must not act as an intermediary in the transmission of drug test results from the laboratory to the MRO. That is, the laboratory may not send results to you, with you in turn sending them to the MRO for verification. For example, a practice in which the laboratory transmits results to your computer system, and you then assign the results to a particular MRO, is not permitted."

9. Do you report drug test results to the transit system through a consortium (C/TPA), or directly to the designated individual (DER)?

https://www.transportation.gov/odapc/getodapc-email-updates

https://www.transportation.gov/odapc/getodapc-email-updates

http://www.transportation.gov/odapc


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Section 40.345(a) states: "As a C/TPA or other service agent, you may act as an intermediary in the transmission of drug and alcohol testing information in the circumstances specified in this section only if the employer chooses to have you do so. Each employer makes the decision about whether to receive some or all of this information from you, acting as an intermediary, rather than directly from the service agent who originates the information (e.g., an MRO or BAT)."

10. Do you ensure that drug tests conducted under the FTA regulations by this transit system are analyzed by a laboratory on the current DHHS approved list?

Section 40.81(a) states: "As a drug-testing laboratory located in the U.S., you are permitted to participate in DOT drug testing only if HHS under the National Laboratory Certification Program (NLCP) certifies you for all testing required under this part."

11. As a MRO, are you required on a quarterly basis to personally review a certain percentage of all Custody and Control Forms (CCFs) reviewed by our staff? If so, what percentage of CCFs must you review?

Section 40.127(g)(2) states: "You [the MRO] are required to personally review at least 5 percent of all CCFs reviewed by your staff on a quarterly basis, including all results that required a corrective action. However, you need not review more than 500 negative results in any quarter."

12. How do you mark those CCFs that have been covered in your quarterly review?

Section 40.127(g)(4) states: "You must make these CCFs easily identifiable and retrievable by you for review by DOT agencies."

13. At a minimum, what items do you check in your quarterly review of CCFs? Section 40.127(g)(3) states: "Your [the MRO] review must, as a minimum, include the CCF, negative laboratory test result, any accompanying corrective documents, and the report sent to the employer. You must correct any errors that you discover. You must take action as necessary to ensure compliance by your staff with this part and document your corrective action. You must attest to the quality assurance review by initialing the CCFs that your review.”

14. Must you take any action if, in reviewing 5 percent of CCFs each quarter, you identify a test with an uncorrected non-fatal flaw or error?


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Section 40.127(g)(3) states: "Your [the MRO] review must, as a minimum, include the CCF, negative laboratory test result, any accompanying corrective documents, and the report sent to the employer. You must correct any errors that you discover. You must take action as necessary to ensure compliance by your staff with this part and document your corrective action. You must attest to the quality assurance review by initialing the CCFs that you review."

15. What do you report to the employer if you conclude that there is a legitimate medical explanation for a confirmed positive test result that is consistent with legal drug use?

Section 40.137(d) states: "If you determine that there is a legitimate medical explanation, you must verify the test result as negative. Otherwise, you must verify the test result as positive."

16. Do you have a method for identifying yourself and confirming your identity when you need to talk to the DER?

Section 40.167(b) states: "As the MRO or C/TPA who transmits drug test results to the employer, you must comply with the following requirements: (2) You are responsible for identifying yourself to the DER, and the DER must have a means to confirm your identification."

17. When you report positive test results to the employer or C/TPA, do you report the drug (or drugs) found?

Section 40.129(c) states: "With respect to verified positive test results, place a check mark in the ``Positive'' box (Step 6) on Copy 2 of the CCF, indicate the drug(s)/metabolite(s) detected on the ``Remarks'' line, sign and date the verification statement." Section 40.163(c) states: "If you [the MRO] do not report test results using Copy 2 of the CCF for this purpose, you must provide a written report (e.g., a letter) for each test result. This report must, as a minimum, include the following information: ... (6) For verified positive tests, the drug(s)/metabolite(s) for which the test was positive ..."

18. On your request, do the laboratories provide you with quantization of individual test results?

Section 40.97(e) states: "You [the laboratory] must provide quantitative values for confirmed positive drug, adulterated, and substituted test results to the MRO when the MRO requests you to do so in writing. The MRO's request may either be a general


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request covering all such results you send to the MRO or a specific case-by-case request."

19. If an employer requests, do you provide the quantitative values of the drugs verified positive, or the results of validity tests?

Section 40.163(g) states: "You must not provide quantitative values to the DER or C/TPA for drug or validity test results. However, you must provide the test information in your possession to a SAP who consults with you (see Section 40.293(g))."

20. If a SAP requests, are you allowed to provide any medical information or the quantitative values for drugs or validity test result?

Section 40.163(g) states: "You must not provide quantitative values to the DER or C/TPA for drug or validity test results. However, you must provide the test information in your possession to a SAP who consults with you (see Section 40.293(g))."

21. Did the MRO adequately and completely discuss the verification process? Section 40.131 describes the verification process.

22. Do you contact the employee first to begin the verification process, or do you contact the employer first and ask them to contact the individual?

Section 40.131(c) states: "As the MRO, you or your staff must make reasonable efforts to reach the employee at the day and evening telephone numbers listed on the CCF. Reasonable efforts include, as a minimum, three attempts, spaced reasonably over a 24-hour period, to reach the employee at the day and evening telephone numbers listed on the CCF. If you or your staff cannot reach the employee directly after making these efforts, you or your staff must take the following steps:(1) Document the efforts you made to contact the employee, including dates and times. If both phone numbers are incorrect (e.g., disconnected, wrong number), you may take the actions listed in paragraph (c)(2) of this section without waiting the full 24-hour period.(2) Contact the DER, instructing the DER to contact the employee."

23. How many times you or your staff must attempt to contact the employee regarding a positive test?

Section 40.131(c) states: "As the MRO, you or your staff must make reasonable efforts to reach the employee at the day and evening telephone numbers listed on the CCF. Reasonable efforts include, as a minimum, three attempts, spaced reasonably over a 24-hour period, to reach the employee at the day and evening telephone numbers listed


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on the CCF. If you or your staff cannot reach the employee directly after making these efforts, you or your staff must take the following steps:(1) Document the efforts you made to contact the employee, including dates and times. If both phone numbers are incorrect (e.g., disconnected, wrong number), you may take the actions listed in paragraph (c)(2) of this section without waiting the full 24-hour period.”

24. If you staff makes the initial donor contact for you, may they ask the donor if he or she would like to speak with you, or must they attempt to set up an appointment?

Section 40.131(b) states: "As the MRO, staff under your personal supervision may conduct this initial contact for you.(1) This staff contact must be limited to scheduling the discussion between you and the employee and explaining the consequences of the employees declining to speak with you (i.e., that the MRO will verify the test without input from the employee). If the employee declines to speak with you, the staff person must document the employees decision, including the date and time.(4) Since you [the MRO] are required to speak personally with the employee, face-to-face or on the phone, your staff must not inquire if the employee wishes to speak with you."

25. Must you gather and review the employee's medical history, or may a non-MRO staff member review this information?

Section 40.141 states: "As the MRO, you must do the following as you make the determinations needed for a verification decision: (a) You must conduct a medical interview. You must review the employees medical history and any other relevant biomedical factors presented to you by the employee. You may direct the employee to undergo further medical evaluation by you or another physician." Section 40.131(b)(2) states: "A staff person must not gather any medical information or information concerning possible explanations for the test result.”

26. Do non-MRO staff in your office ever conduct verification interviews? Section 40.131(b) states: "As the MRO, staff under your personal supervision may conduct this initial contact for you.(1) This staff contact must be limited to scheduling the discussion between you and the employee and explaining the consequences of the employees declining to speak with you (i.e., that the MRO will verify the test without input from the employee). If the employee declines to speak with you, the staff person must document the employees decision, including the date and time.(2) A staff person must not gather any medical information or information concerning possible explanations for the test result.(3) A staff person may advise an employee to have medical information (e.g., prescriptions, information forming the basis of a legitimate medical explanation for a confirmed positive test result) ready to present at the interview


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with the MRO. (4) Since you [the MRO] are required to speak personally with the employee, face-to-face or on the phone, your staff must not inquire if the employee wishes to speak with you."

27. Before beginning the verification process, do you warn the employee concerning your obligation to disclose information to third parties?

Section 40.135(d) states: "As the MRO, you must warn an employee who has a confirmed positive, adulterated, substituted or invalid test that you are required to provide to third parties drug test result information and medical information affecting the performance of safety-sensitive duties that the employee gives you in the verification process without the employee's consent (see Section 40.327). (1) You must give this warning to the employee before obtaining any medical information as part of the verification process."

28. What elements of the CCF do you review before you make a final verification decision on a laboratory-positive test result?

Section 40.129(a) states: "As the MRO, you must ---(1) Review Copy 2 of the CCF to determine if there are any fatal or correctable errors that may require you to cancel the test (see Sections 40.199 and 40.203). Staff under your direct, personal supervision may conduct this administrative review for you, but only you may verify or cancel a test.(2) Review Copy 1 of the CCF and ensure that it is consistent with the information contained on Copy 2, that the test result is legible, and that the certifying scientist signed the form. You are not required to review any other documentation generated by the laboratory during their analysis or handling of the specimen (e.g., the laboratory internal chain of custody).(3) If the copy of the documentation provided to you by the collector or laboratory appears unclear, you must request that the collector or laboratory send you a legible copy."


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29. To whom do you report the verified positive test result? Section 40.165 states: "(a) As the MRO, you must report all drug test results to the DER, except in the circumstances provided for in Section 40.345.(b) If the employer elects to receive reports of results through a C/TPA, acting as an intermediary as provided in 40.345, you must report the results through the designated C/TPA."

30. How soon after verification do you transmit positive test results to the DER?

Section 40.167(b) states: "You [the MRO] must transmit to the DER on the same day the MRO verifies the result or the next business day all verified positive test results, results requiring an immediate collection under direct observation, adulterated or substituted specimen results, and other refusals to test."

31. Within how many days must results be received by the employer? Section 40.167(c) states: "You [the MRO] must transmit the MRO's report(s) of verified tests to the DER so that the DER receives it within two days of verification by the MRO."

32. As the MRO, can you change your initial verification of a positive or a refusal?

Section 40.149(a) states: "As the MRO, you may change a verified positive or refusal to test drug test result only in the following situations:(1) When you have reopened a verification that was done without an interview with an employee (see Section 40.133(c)).(2) If you receive information, not available to you at the time of the original verification, demonstrating that the laboratory made an error in identifying (e.g., a paperwork mistake) or testing (e.g., a false positive or negative) the employee's primary or split specimen. (3) If, within 60 days of the original verification decision: (i) You receive information that could not reasonably have been provided to you at the time of the decision demonstrating that there is a legitimate medical explanation for the presence of drug(s)/metabolite(s) in the employee's specimen; or (ii) You receive credible new or additional evidence that a legitimate medical explanation for an adulterated or substituted result exists."


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33. Can you accept claims of second-hand, incidental, or unwitting ingestion of prohibited drugs?

Section 40.151(d) states: "(d) It is not your function to consider explanations of confirmed positive, adulterated, or substituted test results that would not, even if true, constitute a legitimate medical explanation. For example, an employee may tell you that someone slipped amphetamines into her drink at a party, that she unknowingly ingested a marijuana brownie, or that she traveled in a closed car with several people smoking crack. MROs are unlikely to be able to verify the facts of such passive or unknowing ingestion stories. Even if true, such stories do not present a legitimate medical explanation. Consequently, you must not declare a test as negative based on an explanation of this kind."

34. What do you do if you cannot contact the employee to conduct a verification interview?

Section 40.131(c) states: "If you or your staff cannot reach the employee directly after making these efforts, you or your staff must take the following steps:(1) Document the efforts you made to contact the employee, including dates and times. If both phone numbers are incorrect (e.g., disconnected, wrong number), you may take the actions listed in paragraph (c)(2) of this section without waiting the full 24-hour period.(2) Contact the DER, instructing the DER to contact the employee. (i) You must simply direct the DER to inform the employee to contact you. (ii) You must not inform the DER that the employee has a confirmed positive, adulterated, substituted, or invalid test result. (iii) You must document the dates and times of your attempts to contact the DER, and you must document the name of the DER you contacted and the date and time of the contact.”

35. If the contact numbers provided by the employee on the CCF are wrong or disconnected, must you wait 24 hours before contacting the designated employer representative?

Section 40.131(c) states: "As the MRO, you or your staff must make reasonable efforts to reach the employee at the day and evening telephone numbers listed on the CCF. Reasonable efforts include, as a minimum, three attempts, spaced reasonably over a 24-hour period, to reach the employee at the day and evening telephone numbers listed on the CCF. If you or your staff cannot reach the employee directly after making these efforts, you or your staff must take the following steps: (1) Document the efforts you made to contact the employee, including dates and times. If both phone numbers are incorrect (e.g., disconnected, wrong number), you may take the actions listed in paragraph (c)(2) of this section without waiting the full 24-hour period. (2) Contact the DER, instructing the DER to contact the employee."


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36. Are there circumstances under which you may verify a drug test as positive

without speaking with the individual? Section 40.133(a) states: "(1) You may verify a test result as a positive or refusal to test, as applicable, if the employee expressly declines the opportunity to discuss the test with you. You must maintain complete documentation of this occurrence, including notation of informing, or attempting to inform, the employee of the consequences of not exercising the option to speak with you.(2) You may verify a test result as a positive or refusal to test, as applicable, if the DER has successfully made and documented a contact with the employee and instructed the employee to contact you and more than 72 hours have passed since the time the DER contacted the employee.(3) You may verify a test result as a positive or refusal to test, as applicable, if neither you nor the DER, after making and documenting all reasonable efforts, has been able to contact the employee within ten days of the date on which the MRO receives the confirmed test result from the laboratory.”

37. As a MRO, can you verify a drug test result as positive if an employee expressly declines the opportunity to discuss the test with you?

Section 40.133(a)(1) states: "You [the MRO] may verify a test result as a positive or refusal to test, as applicable, if the employee expressly declines the opportunity to discuss the test with you. You must maintain complete documentation of this occurrence, including notation of informing, or attempting to inform, the employee of the consequences of not exercising the option to speak with you.”

38. Once the DER has directed an employee to contact you, how many hours must you wait for the employee to contact you before you may verify a "no contact" positive?

Section 40.133(a)(2) states: "You [the MRO] may verify a test result as a positive or refusal to test, as applicable, if the DER has successfully made and documented a contact with the employee and instructed the employee to contact you and more than 72 hours have passed since the time the DER contacted the employee."

39. If neither you nor the DER, after making all reasonable efforts, has been able to contact the employee, how many days must you wait before verifying a "no contact" positive?

Section 40.133(a)(3) states: "You may verify a test result as a positive or refusal to test, as applicable, if neither you nor the DER, after making and documenting all reasonable


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efforts, has been able to contact the employee within ten days of the date on which the MRO receives the confirmed test result from the laboratory.”

40. If you verify a “no contact” positive, is the employee allowed to present to you information documenting that serious illness, injury, or other circumstances prevented the employee from contacting you?

Section 40.133(c) states: "As the MRO, after you have verified a test result as a positive or refusal to test under this section and reported the result to the DER, you must allow the employee to present information to you within 60 days of the verification documenting that serious illness, injury, or other circumstances unavoidably precluded contact with the MRO and/or DER in the times provided. On the basis of such information, you may reopen the verification, allowing the employee to present information concerning whether there is a legitimate medical explanation for the confirmed test result.”

41. If the laboratory reports the presence of both 6-AM and morphine in a specimen, what are the verification requirements?

Section 40.140(a) states: "If the laboratory confirms the presence of 6–AM in the specimen and there is also any level of quantitation of morphine, you must verify the test result positive."

42. If 6-AM is present in the sample but morphine is not reported, what are the verification requirements?

Section 40.140(b) states: "When a laboratory 6–AM confirmed positive result is reported and morphine for that specimen is not reported at or above the 2000 per ng/mL confirmed positive cutoff, you must confer with the laboratory to determine if there was confirmed morphine below 2000 ng/mL."

43. If morphine is not present in the 6-AM positive sample, is further specimen testing warranted?

Section 40.140(b)(2) states: "If morphine was not confirmed below 2000 ng/mL, you and the laboratory must determine whether further testing is needed to quantify the amount of morphine present."

44. If the laboratory detects morphine in its additional testing, must you verify the result as positive?


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Section 40.140(b)(1) states: "If there was confirmed morphine below 2000 ng/mL, you must verify the test result positive."

45. In the absence of 6-AM, what are the requirements if the laboratory confirms morphine or codeine presence at 15,000 ng/mL or above?

Section 40.139(a) states: "In the absence of 6–AM, if the laboratory detects the presence of either morphine or codeine at 15,000 ng/mL or above, you must verify the test result positive unless the employee presents a legitimate medical explanation for the presence of the drug or drug metabolite in his or her system, as in the case of other drugs (see §40.137). Consumption of food products (e.g., poppy seeds) must not be considered a legitimate medical explanation for the employee having morphine or codeine at these concentrations."

46. Is the consumption of food products a legitimate reason for the presence of morphine or codeine at these levels?

Section 40.139(a) states: "In the absence of 6–AM, if the laboratory detects the presence of either morphine or codeine at 15,000 ng/mL or above, you must verify the test result positive unless the employee presents a legitimate medical explanation for the presence of the drug or drug metabolite in his or her system, as in the case of other drugs (see §40.137). Consumption of food products (e.g., poppy seeds) must not be considered a legitimate medical explanation for the employee having morphine or codeine at these concentrations."

47. For other opioids positive results that do not contain 6-AM, how do you complete the verification process?

Section 40.139(b) states: “In the absence of 6-AM, if the laboratory confirms the presence of either morphine or codeine at 15,000 ng/mL or above, you must verify the test result positive unless the employee presents a legitimate medical explanation for the presence of the drug or drug metabolite in his or her system, as in the case of other drugs (see § 40.137). Consumption of food products (e.g., poppy seeds) must not be considered a legitimate medical explanation for the employee having morphine or codeine at these concentrations."

48. If your clinical assessment determines the misuse of a drug not found in the laboratory's analysis, can you verify the test as positive?

Section 40.139(b)(3) states: "To be the basis of a verified positive result for opiates, the clinical evidence you find must concern a drug that the laboratory found in the specimen. (For example, if the test confirmed the presence of codeine, and the

https://www.transportation.gov/odapc/part40/40_137


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employee admits to unauthorized use of hydrocodone, you do not have grounds for verifying the test positive. The admission must be for the substance that was found).”

49. If you cannot establish clinical evidence of opiate misuse, how do you verify the final test result?

Section 40.139(b)(4) states: "As the MRO, you have the burden of establishing that there is clinical evidence of unauthorized use of opiates referenced in paragraph (b) of this section. If you cannot make this determination (e.g., there is not sufficient clinical evidence or history), you must verify the test as negative. The employee does not need to show you that a legitimate medical explanation exists if no clinical evidence is established."

50. What do you instruct the employer to do if the lab confirms a test as negative and dilute with a creatinine level between 2 mg/dL and 5 mg/dL?

Section 40.155(c) states: "When you report a dilute specimen to the DER, you must explain to the DER the employer's obligations and choices under §40.197, to include the requirement for an immediate recollection under direct observation if the creatinine concentration of a negative-dilute specimen was greater than or equal to 2mg/dL but less than or equal to 5mg/dL."

51. In the case of a "shy bladder," where an employee cannot provide an adequate specimen (at least 45 milliliters), do you have any involvement in determining whether the individual's ability to provide a specimen is genuine or constitutes a refusal to test?

Section 40.193(h) states: "As the MRO, you must seriously consider and assess the referral physicians recommendations in making your determination about whether the employee has a medical condition that has, or with a high degree of probability could have, precluded the employee from providing a sufficient amount of urine. You must report your determination to the DER in writing as soon as you make it.”

52. Can you accept claims of anxiety or dehydration when examining an employee or reviewing another physician's analysis of a "shy bladder" case?

Section 40.193(e) states: "(e) For purposes of this paragraph, a medical condition includes an ascertainable physiological condition (e.g., a urinary system dysfunction) or a medically documented pre-existing psychological disorder, but does not include unsupported assertions of "situational anxiety" or dehydration."


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53. If the laboratory reports that the specimen has been "rejected for testing" because of a fatal or uncorrected flaw, what test result do you report to the DER and under what circumstances would additional testing be required?

Section 40.161 states: "As the MRO, when the laboratory reports that the specimen is rejected for testing (e.g., because of a fatal or uncorrected flaw), you must do the following: ...(b) Report to the DER that the test is cancelled and the reason for cancellation, and that no further action is required unless a negative test is required (e.g., in the case of a pre-employment, return-to-duty, or follow-up test)."

54. What do you do if a Return-to-duty test or Follow-up test is not marked as having been observed?

A notice from the Department of Transportation's Office of Drug and Alcohol Policy and Compliance, dated September 10, 2009, reads: "If a collector, Medical Review Office (MRO), Third Party Administrator (TPA), or other service agent learns that a Direct Observation collection using the required procedures was not conducted, the employer needs to be informed. Upon learning that a Direct Observation collection using the required procedures was not conducted, the employer needs to direct the employee to have an immediate recollection under Direct Observation.

55. Are there any "correctable flaws" that are the MROs responsibility to correct? If so, what are they?

Section 40.203(d) states: "The following are correctable flaws that you [the MRO] must attempt to correct:(1) The employee's signature is omitted from the certification statement, unless the employee's failure or refusal to sign is noted on the "Remarks" line of the CCF.(2) The certifying scientist's signature is omitted on the laboratory copy of the CCF for a positive, adulterated, substituted, or invalid test result.(3) The collector uses a non-Federal form or an expired CCF for the test. This flaw may be corrected through the procedure set forth in § 40.205(b)(2), provided that the collection testing process has been conducted in accordance with the procedures in this part in an HHS-certified laboratory."

56. As a MRO, if you cancel a laboratory confirmed positive, adulterated, substituted, or invalid drug test report, what steps do you complete on the CCF?

Section 40.129(d) states: "If you [the MRO] cancel a laboratory confirmed positive, adulterated, substituted, or invalid drug test report, check the "test cancelled" box (Step 6) on Copy 2 of the CCF, make appropriate annotation in the "Remarks" line, sign, provide your name and date of the verification statement."


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57. As a MRO, when the laboratory reports that a specimen is adulterated or

substituted, are you required to conduct a verification procedure, and if so, what actions are you required to take?

Section 40.145 states: "(a) As an MRO, when you receive a laboratory report that a specimen is adulterated or substituted, you must treat that report in the same way you treat the laboratory's report of a confirmed positive test for a drug or drug metabolite.(b) You must follow the same procedures used for verification of a confirmed positive test for a drug or drug metabolite except as otherwise provided in this section." Section 40.145(g) states: "(1) If you determine that the employees explanation does not present a reasonable basis for concluding that there may be a legitimate medical explanation, you must report the test to the DER as a verified refusal to test because of adulteration or substitution, as applicable.(2) If you believe that the employees explanation may present a reasonable basis for concluding that there is a legitimate medical explanation, you must direct the employee to obtain, within the five-day period set forth in paragraph (e)(3) of this section, a further medical evaluation. This evaluation must be performed by a licensed physician (the "referral physician"), acceptable to you, with expertise in the medical issues raised by the employees explanation. (The MRO may perform this evaluation if the MRO has appropriate expertise.)"

58. When verifying a specimen that the lab has reported as adulterated, who has the burden of proof? Must you prove that the specimen is adulterated, or must the employee prove that it is legitimate?

Section 40.145(e) states: "The employee has the burden of proof that there is a legitimate medical explanation.(1) To meet this burden in the case of an adulterated specimen, the employee must demonstrate that the adulterant found by the laboratory entered the specimen through physiological means."

59. After you have informed the employee that you will verify the test as positive, adulterated, or substituted, what do you inform the employee concerning his/her rights to have the split specimen analyzed?

Section 40.153 states: "(a) As the MRO, when you have verified a drug test as positive for a drug or drug metabolite, or as a refusal to test because of adulteration or substitution, you must notify the employee of his or her right to have the split specimen tested. You must also notify the employee of the procedures for requesting a test of the split specimen.(b) You must inform the employee that he or she has 72 hours from the time you provide this notification to him or her to request a test of the split specimen."


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60. What must you do when an employee requests testing of the split-specimen?

Section 40.171(c) states: "When the employee makes a timely request for a test of the split specimen under paragraphs (a) and (b) of this section, you must, as the MRO, immediately provide written notice to the laboratory that tested the primary specimen, directing the laboratory to forward the split specimen to a second HHS-certified laboratory. You must also document the date and time of the employee’s request.

61. To whom do you report the results of a split specimen which confirms the result from the primary specimen?

Section 40.187 states: "As an MRO, you must take the following actions when a laboratory reports the following results of split specimen tests:(a)(1) In the case of a reconfirmed positive test for a drug or drug metabolite, report the reconfirmation to the DER and the employee.”

62. What action would you take if the analysis of the split specimen fails to reconfirm the presence of the drug(s) or drug metabolite(s) found in the primary specimen?

Section 40.187(b) states: "Failed to Reconfirm: Drug(s)/Drug Metabolite(s) Not Detected. (1) Report to the DER and the employee that both tests must be cancelled. (2) Using the format in Appendix D to this part, inform ODAPC of the failure to reconfirm."

63. What action would you take if the split specimen is not available for testing?

Section 40.187(d) states: "Failed to Reconfirm: Specimen not Available for Testing.(1) Report to the DER and the employee that both tests must be cancelled and the reason for cancellation.(2) Direct the DER to ensure the immediate collection of another specimen from the employee under direct observation, with no notice given to the employee of this collection requirement until immediately before the collection.(3) Using the format in Appendix D to this part, notify ODAPC of the failure to reconfirm."

64. Was the MRO prepared for the audit team, and did the MRO cooperate with the audit team and facilitate the audit process, including producing the required records?

Section 40.331(c) states: "If you are a service agent, you must, upon request of DOT agency representatives, provide the following:(1) Access to your facilities used for this


Exhibit A

SCOPE OF SERVICES




part and DOT agency drug and alcohol program functions.(2) All written, printed, and computer-based drug and alcohol program records and reports (including copies of name-specific records or reports), files, materials, data, documents/documentation, agreements, contracts, policies, and statements that are required by this part and DOT agency regulations. You must provide this information at your principal place of business in the time required by the DOT agency."

[END OF SCOPE OF SERVICES]


EXHIBIT B SPECIAL TERMS AND CONDITIONS


1. Term of Contract

The term of this contract shall be a three (3) year base period starting on March 1, 2018 and ending on February 28, 2021.

2. Method of Compensation

Payments shall be made based on a monthly amount as agreed to in the proposal price/Best and Final Offer as accepted and awarded by the District.

3. Invoice/Payments Invoices for services performed shall be submitted to AC Transit Accounts Payable, P.O. Box 28507, Oakland, California 94604. Payment to the Contractor will be made Net 30 days after receipt of approved invoices. Please reference the Contract Number and Purchase Order Number on all submitted invoices. Failure to do so could delay payment.

4. Contract Provisions Order of Precedence

In the event of a conflict in the provisions of the Contract, as accepted by the District and as they may be amended, the following shall prevail in the order set forth below:

A. Special Terms and Conditions B. Standard Terms and Conditions C. Scope of Services D. Attachments E. Exhibits F. Contractor’s Proposal, and Best and Final Offer if any, as accepted by the District

5. Notices

A. Any notice, consent or other communication (“Notice”) required or permitted under

this Contract shall be in writing and either delivered in person, mailed or electronically delivered as follows:

THE DISTRICT: CONTRACTOR: Jamell Woodard, Contracts Specialist Contact Name/Title AC Transit Proposer Name 1600 Franklin Street Proposer Address Oakland, CA 94612 Phone (510) 891-7258 Proposer Phone #: Email: [email protected] Proposer Email:




B. A Notice shall be deemed received at the time it is personally served, on the day it is sent by facsimile transmission, on the second day after its deposit with any commercial air courier or express services or, if mailed, ten (10) days after the Notice is deposited in the United States mail as above provided. Any time period stated in a Notice shall be computed from the time the Notice is deemed received. Either party may change its mailing address or the person to receive Notice by notifying the other party as provided in this section. This requirement for duplicate notice is not intended to change the effective date of the Notice sent by facsimile transmission.

6. Small/Micro/Disadvantaged Business Enterprise (SBE/MBE/DBE) Goal A. The District seeks to utilize Small Business Enterprises (SBE), including

Disadvantaged Business Enterprises (DBE) and Micro Business Enterprises (MBE) to the extent permissible by law, when such businesses are available and the price of their goods, material or services sought is reasonable and competitive in the marketplace.

B. The specific goal for this project is 0 % SBE participation.

7. Insurance Requirements

A. The Contractor is primarily responsible for the risk management of its work under this Contract, including but not limited to obtaining and maintaining the required insurance and establishing and maintaining a reasonable risk control and safety program. The District reserves the right to amend the requirements herein at any time during the term of this contract, subject to at least sixty (60) days written notice and an appropriate adjustment of the compensation terms of the Contractor to offset any attributable increase in the Contractor’s costs. Any and all of the Contractor’s sub-contractors must meet the requirements of this Section and Contractor shall include the terms of this Section in each contract with sub-contractors.

B. Prior to beginning the work under this Contract and without limiting any liabilities or other obligations of Contractor, Contractor shall obtain and maintain, and/or cause to be obtained and maintained, the required forms and minimum amounts of insurance coverages as outlined below. Contractor’s responsibility and liability for the services provided by its subcontractors is not limited in any fashion by the types and limits of subcontractors’ insurance. Coverages shall be in full force and effective during the terms of this Contract.

C. All Insurance Coverages

Upon execution of the Contract, all required insurance coverages must be evidenced to the District through receipt of acceptable certificate(s) of insurance, executed by a duly authorized representative of each insurer, showing full




compliance with the insurance requirements set forth in this Section.

i. Failure of the District to demand such certificate(s) or other evidence of full compliance with these insurance requirements or failure of the District to identify a deficiency from the evidence that is provided shall not be construed as a waiver of Contractor’s obligation to maintain such insurance.

ii. Certificate(s) of insurance is to be mailed to the following address or such other

addresses as designated by the District:

iii. Jamell Woodard Contracts Specialist AC Transit 1600 Franklin Street, 6th Floor Oakland, CA 94612 Email: [email protected]

iv. Contractor shall provide certified copies of all insurance policies required in this Section within ten (10) days of the District’s written request of said copies.

v. If the Contractor maintains broader coverage and/or higher limits than the minimums shown above, the District requires and shall be entitled to the broader coverage and/or higher limits maintained by Contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the District.

vi. Failure to maintain the required insurance may result in the termination of this Contract at the District’s option.

vii. If the Contractor fails to maintain the insurance as set forth in this Section, the District shall have the right, but not the obligation, to purchase said insurance at Contractor’s expense.

viii. The Contractor’s insurance company(ies) and third party administrators are subject to approval by the District as well as any use of partial or full self-insurance programs. This includes the use and amounts of deductibles and/or self-insured retentions.

ix. Each insurance policy shall not be subject to lapse, cancellation or material change in coverage unless at least sixty (60) days prior to written notice is provided to the District.

x. Each insurance policy shall be written on a primary coverage basis, including any self-insured retentions, unless expressly approved by the District, in writing.

mailto:[email protected]




xi. Each insurance policy, with the exception of the workers’ compensation policies, shall include by specific endorsement the following as additional insureds:

i. “The District, it’s Directors, agents, officers, and employees.”

ii. The above endorsement pertains to additional insureds as respects to liability arising out of activities performed on behalf of Contractor, products and completed operations of Contractor, premises owned, occupied or used by Contractor, and automobiles owned, leased, hired or borrowed by Contractor. Coverage shall contain no special limitation on scope of protection afforded to the District, it’s officers, Directors, officials or employees.

xii. In addition, any person or entity shall be added as an additional insured upon

the request of the District to the Contractor.

xiii. A waiver of subrogation for the District.

xiv. An endorsement indicating the coverage is primary and non-contributing and

any coverage maintained the District is excess over the Contractor’s insurance coverage, and

xv. An endorsement scheduling this Contract with the District as an Insured Contract on the policy, including removal of insured vs. insured exclusionary language that may be applicable to this Contract.

xvi. The coverage should not contain an exclusion for claims arising out of the ownership, entrustment, maintenance, operation or use of any motor vehicles that are owned, operated or rented by or loaned to the Named Insured.

xvii. Any failure by the Contractor to comply with the reporting requirements of the

required insurance coverage shall not affect the coverage provided to the District, it’s Directors, agents, officers, and employees.

xviii. If Contractor’s liability policies do not contain a separation of insureds

provision, or a substantially similar clause, they shall be endorsed to provide cross-liability coverage.

xix. To the extent permitted by insurance, Contractor waives all rights of subrogation or similar rights against the District and its members and each of their respective agents, the District, its Directors, agents, officers, employees.




xx. By requiring the insurance in this Section, the District does not represent that

coverage and limits will be adequate to protect Contractor, and such coverage and limits shall not be deemed as a limitation on Contractor liability under the indemnities granted by the District in this Contract.

xxi. Claims-Made Insurance If any insurance specified below shall be provided on a claim-made basis, then in addition to coverage requirements above, such policy shall provide that:

a. Policy retroactive date coincides with or precedes the Contractor's start

of work (including subsequent policies purchased as renewals or replacements).

b. Contractor shall make every effort to maintain similar insurance for at least five (5) years following project completion, including the requirement of adding all named insureds.

c. If insurance is terminated for any reason, Contractor agrees to purchase an extended reporting provision of at least two (2) years to report claims arising from work performed in connection with this Agreement or Permit.

d. Policy allows for reporting of circumstances or incidents that might give rise to future claims.

D. Commercial General Liability Insurance

i. Contractor shall maintain general liability and, if necessary, excess/umbrella insurance with a limit of liability not less than $1,000,000 each occurrence. If such insurance contains an aggregate limit, it shall apply separately to this Contract. The insurance shall, at a minimum, cover liability arising from premises, operations, independent contractors, products and completed operations, personal injury, advertising injury and liability assumed under insured contract, including the tort liability of another assumed in a business contract. There shall be no endorsement or modification limiting the scope of coverage for liability arising from pollution or employment-related practices.

ii. Coverage for claims or incidents occurring, but not known, during the policy

period will extend for a period of at least three (3) years past acceptance, cancellation or termination of the Work.

E. Automobile Liability Insurance

i. Contractor shall maintain automobile liability and, if necessary, excess/umbrella insurance with a limit of liability of not less than $2,000,000 each accident. Contractor shall also maintain uninsured and underinsured




motorist coverage with limits of liability of not less than $2,000,000 each accident. Such insurance shall cover liability arising out of any vehicle, including owned, hired, leased, borrowed and non-owned vehicles. If necessary, the policy shall be endorsed to provide contractual liability coverage.

ii. With respect the District’s vehicles loaned or leased to Contractor for the completion of the Work, the District shall be named as loss payee. In the event of a loss, Contractor will be responsible for the cost of repairing or replacing the vehicle with vehicles of like kind and quality.

F. Professional Errors and/or Omissions

Contractor shall maintain professional insurance appropriate to Contractor’s profession with a limit of not less than $1,000,000 per occurrence

G. Workers Compensation Insurance

Contractor shall maintain workers compensation and employers liability insurance in accordance with the Federal and State statutes having jurisdiction over the employees where the work is performed. The limits of liability for employers’ liability coverage shall not be less than $1,000,000 each accident for bodily injury by accident and $1,000,000 each employee for bodily injury by disease.

H. Additionally, the coverage shall include:

i. The District, its officers, officials, Board of Directors and employees are to be

covered as additional insureds as respects to liability arising out of activities performed on behalf of Contractor, products and completed operations of Contractor, premises owned, occupied or used by Contractor, and automobiles owned, leased, hired or borrowed by Contractor. Coverage shall contain no special limitation on scope of protection afforded to the District, its officers, Board of Directors, officials or employees.

ii. A waiver of subrogation for the District,

iii. An endorsement indicating the coverage is primary and non-contributing and any coverage maintained the District is excess over the Contractor’s insurance coverage, and

iv. An endorsement scheduling this Contract with the District as an Insured Contract on the policy, including removal of insured vs. insured exclusionary language that may be applicable to this Contract.

The coverage should not contain an exclusion for claims arising out of the ownership, entrustment, maintenance, operation or use of any motor vehicles that are owned, operated or rented by or loaned to the Named Insured.




8. Acceptability of Insurance Insurance is to be placed with California admitted insurers having a current A.M. Best & Co. rating of no less than “A-:VII”. Provide proof of your rating.

9. Verification of Coverage Contractor shall furnish the District with appropriate Certificates of Insurance and Endorsements effecting coverages required and signed by a person authorized by insurer to bind coverage. Certificates and Endorsements are to be received and approved by the District prior to commencement of any work under Contract. The District reserves the right to require certified copies of all required insurance policies.

10. Prompt Payment

The District shall pay properly submitted, undisputed invoices within 30 calendar days

of initial receipt. Within seven (7) calendar days of receipt of payment from the District, the prime contractor shall pay any subcontractors that have submitted undisputed invoices and report such activity in the District’s contract monitoring tool cited below.

11. Electronic Contract Monitoring

For contract monitoring and tracking purposes, the District utilizes B2GNow. This is an

interactive system which requires all tiers of contractors to login and submit payment data for prompt payment compliance and subcontractor utilization purposes. If no subcontractors are being proposed, the District may waive the requirement of utilizing this system.

12. Rights in Data

The term “subject data” as used herein means recorded information, whether or not copyrighted, that is delivered under this Contract. The term includes graphic or pictorial delineation in media, text in specifications or related performance or design-type documents and machine forms. Except for its own internal use, Contractor may not publish or reproduce such data in whole or in part, nor may Contractor authorize others to do so, without the written consent of the District, until such time as the District may have either released or approved release of such data. In the event that the scope of services in this Contract is not completed, all data generated under this Contract shall become subject data and shall be delivered as the District may direct.

13. Release of Information Before releasing any reports, promotional materials or information prepared in connection with this RFP and subsequent Contract, the Contractor shall provide a copy




or copies for first review by the District. Contractor shall not use the District’s logo without specific written permission from the District Designated Representative.

14. Indemnification A. Contractor, its successors, assigns and guarantors, shall pay, defend, indemnify

and hold harmless the District, and the agents, representatives, officers, directors and employees of the District (Indemnified Group) from and against all allegations, demands, proceedings, suits, actions, claims, damages, losses, expenses, including but not limited to, reasonable attorney fees, court costs, and the cost of appellate proceedings, and all claim adjusting and handling expense, related to, arising from or out of any actions, acts, errors, mistakes or omissions caused in whole or part by Contractor relating to work or services in the performance of this contract, including but not limited to, work or services by any subcontractor or anyone directly or indirectly employed by or contracting with a Contractor or a subcontractor or anyone for whose acts any of them may be liable and any injury or damages claimed by any of Contractor’s and subcontractor’s employees or subcontractors.

B. If any claim, action or proceeding is brought against the Indemnified Group, by reason of any event that is the subject of this contract and or described herein, Contractor, at its sole cost and expense, shall pay, resist or defend such claim or action on behalf of the Indemnified Group by attorney of Contractor, or if covered by insurance, Contractor’s insurer, all of which must be approved by the District which approval shall not be unreasonably withheld or delayed. The District shall cooperate with all reasonable efforts in the handling and defense of such claim. Included in the foregoing, the District may engage its own attorney to defend or assist in its defense, and the Contractor shall pay the reasonable costs and expenses thereof. Any settlement of claims must fully release and discharge the Indemnified Group from any further liability for those claims. The release and discharge shall be in writing and shall be subject to approval by the District, which approval shall not be unreasonably withheld or delayed. If Contractor, its agents or employees, neglects or refuses to defend the Indemnified Group as provided by this contract, any recovery or judgment against the Indemnified Group for a claim covered under this contract shall conclusively establish Contractor’s liability to the Indemnified Group in connection with such recovery or judgment, and if the District desires to settle such dispute, the District shall be entitled to settle such dispute in good faith and Contractor shall be liable for the amount of such settlement, and all expenses connected to the defense, including reasonable attorney fees, and other investigative and claims adjusting expenses.

C. Insurance provisions set forth in this contract are separate and independent from the indemnity provisions of this paragraph and shall not be construed in any way to limit the scope and magnitude of the indemnity provisions. The indemnity




provisions of this paragraph shall not be construed in any way to limit the scope and magnitude and applicability of the insurance provisions.

15. Notice of Labor Disputes

A. If the Contractor or a Service Delivery Provider has knowledge that any actual or potential labor dispute is delaying or threatens to delay the timely performance of this Contract, the Contractor immediately should give notice, including all relevant information, to the District’s Project Manager and the District’s Contracts Specialist.

B. The Contractor agrees to insert the substance of this clause, including this paragraph in any subcontract under which a labor dispute may delay the timely performance of this Contract; except that each subcontract should provide that in the event its timely performance is delayed or threatened by delay by any actual or potential labor dispute, the subcontractor should immediately notify the next higher tier subcontractor or the Contractor, as the case may be, of all relevant information

16. Removal of Contractor’s Personnel

A. The Contractor and any Service Delivery Provider acknowledge that any person assigned to work under this Contract must perform their duties so as to not unduly impair contract performance. By assigning a person to work under this Contract, the Contractor and any Service Delivery Provider agree to be responsible for the behavior of that person during contract performance.

B. The Contractor and any Service Delivery Provider acknowledge that the District has the right to require the removal of any Contractor and any Service Delivery Provider employee that the District determines at its sole discretion to be negatively effecting performance of work under the contract. Examples of such behavior include: (1) conduct which poses a threat to the safety of anyone working under the contract; (2) conduct which is disruptive to contract performance; (3) careless work; 4) conduct which is not appropriate when transporting participants under this Contract; 5) Conduct in violation of District policy or local, state or federal laws.

C. Upon receipt of written notice from the District that a person's behavior is unacceptable or unduly impairing contract performance, the Contractor and any Service Delivery Provider agree to remove that person from doing any further work on the Contract, and to cause that person to be removed from providing service under this Contract. The Contractor and any Service Delivery Provider agree that it is not entitled to any additional costs it may incur as a result of the removal of the person from the District.




17. Communications with Contractor’s Staff

In order to ensure efficient communication of operational needs, the District staff shall be permitted to communicate directly with Contractor’s staff regarding day to day issues for the purpose of inquiry as to factual performance issues. The District will not give Contractor’s staff directions concerning performance under this Contract. Issues which affect the Contract will be communicated through the General Manager.

18. Medical Privacy Contractor must maintain all HIPPA protected records securely in a confidential manner consistent with local, state and federal laws. Said records are to be kept in areas that permit no unauthorized access. Contractor must also establish adequate confidentiality and security measures to ensure that confidential employee records are not available to unauthorized persons. This includes protecting the physical security of records, access controls, and computer security measures to safeguard confidential data stored in electronic data bases. Contractor agrees to adhere to all HIPPA requirements and must enter into a Business Associate Agreement. If there is a breach of protected data, contractor must immediately take measures to secure the breach, notify the District and agrees to indemnify, defend and hold the District harmless from any claims and/or lawsuits for such a breach.

19. Anti-Kickback and Gratuities

The Contractor is prohibited from receiving any kickbacks, gratuities, payments, merchandise, equipment, supplies, services or favors in exchange for directing additional billable services to any sub-contractor.

20. Reporting

Contractor shall provide weekly Project Status Reports to the District’s Project Manager or designee, as requested.

21. Governing Law All matters arising under the Contract shall be governed by California and Federal law as applicable.

22. Venue In the event of a dispute or breach of contract, venue shall be in Alameda County, California.

Medical Review Officer for AC Transit’s Alcohol and Substance Abuse Program RFP No. 2018-10373

Exhibit C: Standard Terms and Conditions


1. RENDITION OF SERVICES

The Contractor hereby agrees to undertake, carry out and complete all work established herein in a professional and efficient manner satisfactory to District standards. The professional service or the performance of work or services required by the District cannot satisfactorily be performed by the regular employees of the District.

2. CONTRACTOR'S STATUS Neither the Contractor nor any party contracting with the Contractor shall be deemed to be an agent or employee of the District. The Contractor is and shall be an independent contractor, and the legal relationship of any person performing services for the Contractor shall be one solely between said parties. Contractor shall not subcontract any services to be performed by it under this Agreement without the prior written approval of the District, except for service firms engaged in drawing, production, typing and printing. Contractor shall be solely responsible for reimbursing any subcontractors and the District shall have no obligation to them.

3. OWNERSHIP OF WORK All reports, designs, drawings, plans, specifications, schedules, and other materials prepared, or in the process of being prepared, for the services to be performed by Contractor shall be and are the property of the District and the District shall be entitled to access thereto, and copies thereof, during the progress of the work. In the event that the work, which is the subject of this Agreement, is not completed, for any reason whatsoever, all materials generated under this Agreement shall be delivered as the District may direct.

4. RECORDS The Contractor shall permit the authorized representatives of the District to inspect and audit all data and records relating to performance under this Agreement. Contractor shall maintain all such records for a period of five (5) years after the District makes final payment under this Agreement.

5. TERMINATION FOR DEFAULT In the event the Contractor breaches the terms or violates the conditions of this Agreement, and does not within ten (10) days of written notice from the District cure such breach or violation, the District may immediately terminate this agreement, and shall pay the Contractor only its allowable costs to the date of termination.

6. TERMINATION FOR CONVENIENCE The District may terminate this Agreement, in whole or in part, at any time for the District's convenience and without cause at any time by giving the Contractor written notice of termination. The Contractor will be paid for those services performed pursuant to this Agreement to the satisfaction of the District up to the date of notice of termination. The Contractor shall promptly submit its termination claim. If the Contractor has any property in its possession belonging to the District, the Contractor will account for the same and dispose of it in the manner the District directs.

7. NON-DISCRIMINATION In connection with the execution of any Contract hereunder, the Contractor shall not discriminate against any applicant or employee on the grounds of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, gender, gender identity, gender expression, sexual orientation, sex or age as defined in Section 12926 Government Code.

8. INDEMNIFICATION The Contractor shall defend, indemnify, keep and save harmless the District, its Board of Directors, officers, officials, employees, agents and volunteers from and against any and all liability, loss, damage, expense, costs (including, without limitation, costs and fees of litigation) of every nature arising out of or in connection with Contractor's performance of work hereunder or its failure to comply with any of its obligations contained in the Agreement, except such loss or damage which was caused by the sole negligence or willful misconduct of the District.

9. CHANGES

If any changes to the scope of services are sought by either party that would require a modification of the amount of compensation, the changes must be reviewed and approved in advance of any action to implement the change by the Project Manager and the Purchasing Department. The District may at any time by written order make changes within the Scope of Services described in this Agreement. If such changes cause an increase in the budgeted cost of or the time required for performance of the agreed upon work, the Contractor shall notify the District in writing of the amount of time and compensation adjustments that are required. In the event the Contractor encounters any unanticipated conditions or contingencies that may affect the scope of services and would result in an adjustment to the amount of compensation specified herein, Contractor shall so advise the District immediately upon notice of such condition or contingency. The written notice shall explain the circumstances giving rise to the unforeseen condition or contingency and shall set forth the proposed adjustment in compensation resulting therefrom. Any notices shall be given to the District under the NOTICES clause of the Special Terms & Conditions. Any and all agreed upon pertinent changes shall be expressed as a written modification to this Agreement prior to implementation of such changes.

10. DISPUTE RESOLUTION In case any disagreement, difference or controversy shall arise between the parties, with respect to any matter in relation to or arising out of or under this Agreement or the respective rights and liabilities of the parties, and the parties to the controversy cannot mutually agree thereon, then such disagreement, difference, or controversy shall be determined by binding arbitration, according to the rules of the American Arbitration Association.

Any award made by the Arbitrator(s) shall be final, binding and conclusive upon all parties and those claiming under them. The costs and expenses of any Arbitration shall be borne and paid as the Arbitrator(s) shall, by their award, direct.

The submission to Arbitration is hereby made a condition precedent to the institution of any action at law or in equity with respect to the controversy involved; and such action at law or in equity shall be restricted solely to the subject matter of the challenge of such award on the grounds and only in the manner permitted by law.

11. NO ASSIGNMENT This Agreement is personal to each of the parties hereto, and neither party may assign or delegate any of its rights or obligations hereunder without first obtaining the written consent of the other.

12. PROHIBITED INTERESTS No Director, officer, or employee of the District during his/her tenure or for one year thereafter, shall have any interest direct or indirect, in this Agreement or the proceeds thereof. Contractor covenants that it presently has no interest, direct or indirect, which would conflict in any manner or degree with the performance of the services called for under this Agreement. Contractor further covenants that in the performance of this Agreement no person having any such interest shall be employed by Contractor. The District may require Contractor to file an annual Statement of Economic Interest form pursuant to the Political Reform Act of 1974 (Government Code Section 81000 et seq.)

13. WAIVER Failure of any party to exercise any right or option arising out of a breach of this Agreement shall not be deemed a waiver of any right or option with respect to any subsequent or different breach, or the continuance of any existing breach.

14. GOVERNING LAW This Agreement, its interpretation and all work performed thereunder, shall be governed by the laws of the State of California.

15. INSURANCE Depending on the nature of the services being solicited, the District may have certain minimum insurance requirements.

Medical Review Officer for AC Transit’s Alcohol and Substance Abuse Program RFP No. 2018-10373


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