01 MTA Transformation Implementation - Statement of Work

METROPOLITAN TRANSPORTATION AUTHORITY
Attachment A – Statement of Work

MTA Transformation Implementation RFP
MTA RFP No. 0009000015

MTA Transformation Implementation
Contents
1. Overview of the RFP .............................................................................................................................. 1
1.1. Introduction.................................................................................................................................... 1
1.2. RFP Timeline................................................................................................................................. 2
1.3. Communication During the RFP Process ..................................................................................... 3
1.4. Questions about the RFP .............................................................................................................. 3
1.5. Additional Information to and from Proposers............................................................................... 3
1.6. Period of Performance .................................................................................................................. 4
1.7. Evaluation and Selection Criteria .................................................................................................. 4
1.8. Proposal Response Structure ....................................................................................................... 5
1.9. Cost Proposal ................................................................................................................................ 7
1.10. MTA Forms / Attachment Details and Applicable Laws ................................................................ 9
1.11. Confidentiality – General Instructions ......................................................................................... 12
1.12. Additional Terms ......................................................................................................................... 13
1.13. Multi-Agency Use ........................................................................................................................ 14
2. Background .......................................................................................................................................... 15
2.1. MTA Transformation ................................................................................................................... 15
2.2. Strategic Priorities ....................................................................................................................... 18
2.3. Transformation Governance Structure ........................................................................................ 19
3. Overview of Services ........................................................................................................................... 20
3.1. Task 1: Business Process Reengineering (BPR) & Management Consulting ............................ 21
Functions and Agencies in Scope ....................................................................................... 21
Overview of Task................................................................................................................. 21
Guiding Principles ............................................................................................................... 22
Consultant Activities ............................................................................................................ 23
Consultant Deliverables ...................................................................................................... 24
3.2. Task 2: Technology Enhancements to PeopleSoft ..................................................................... 25
Overview of Task................................................................................................................. 25
3.3. Task 3: Technology Systems Assessment & Requirements ...................................................... 27
Overview of Task................................................................................................................. 27
Guiding Principles ............................................................................................................... 27
3.4. Task 4: Category-Specific Project Management & Organizational Change Management ......... 29
MTA RFP No. 0009000015

Overview of Task................................................................................................................. 29
3.5. Task 5: Transformation Program Management Support and Governance ................................. 30
3.6. Task 6: Other Identified Projects ................................................................................................. 32
3.7. Task 7: Additional Consultant Support (as needed) ................................................................... 33
4. Detailed Description of Category 1: Support Functions....................................................................... 33
4.1. Overview ..................................................................................................................................... 33
4.2. Finance........................................................................................................................................ 34
Context ................................................................................................................................ 34
Number of Employees ......................................................................................................... 34
Goal of the Transformation in Finance ................................................................................ 34
Future State Organization ................................................................................................... 34
Finance Business Process Reengineering (Task 1) ........................................................... 35
Other Identified Finance Projects (Task 6) ......................................................................... 35
4.3. Procurement ................................................................................................................................ 36
Context ................................................................................................................................ 36
Goal of the Transformation in Procurement ........................................................................ 36
Procurement Business Process Reengineering (Task 1) ................................................... 37
Other Identified Procurement Projects (Task 6).................................................................. 38
4.4. Human Resources ...................................................................................................................... 42
Context ................................................................................................................................ 42
Goal of the Transformation in HR ....................................................................................... 42
HR Projects Business Process Reengineering (Task 1)..................................................... 43
Other Identified HR Projects (Task 6) ................................................................................. 43
4.5. Training ....................................................................................................................................... 44
Context ................................................................................................................................ 44
Goal of the Transformation in Training ............................................................................... 44
Training Business Process Reengineering (Task 1) ........................................................... 45
Other Identified Training Projects (Task 6) ......................................................................... 45
4.6. Labor Relations ........................................................................................................................... 46
MTA RFP No. 0009000015

Context ................................................................................................................................ 46
Goal of the Transformation in Labor Relations ................................................................... 47
Labor Relations Business Process Reengineering (Task 1) .............................................. 47
Other Identified Labor Relations Projects (Task 6) ............................................................. 47
4.7. Legal & Compliance .................................................................................................................... 48
Context ................................................................................................................................ 48
Goal of the Transformation in Legal & Compliance ............................................................ 48
Legal & Compliance Business Process Reengineering (Task 1) ....................................... 49
4.8. Diversity & EEO........................................................................................................................... 49
4.9. Agency Assistance: Advisory support to Agencies ..................................................................... 49
4.10. Centralized IT Transformation..................................................................................................... 50
Context ................................................................................................................................ 50
Goal of the Transformation in IT ......................................................................................... 50
Other Identified IT Projects (Task 6) ................................................................................... 50
5. Detailed Description for Category 2: Operational & Engineering Functions........................................ 53
5.1. Overview ..................................................................................................................................... 53
5.2. Engineering ................................................................................................................................. 53
Context ................................................................................................................................ 53
Number of employees ......................................................................................................... 54
Goal of the Transformation in Engineering ......................................................................... 54
Engineering Business Process Reengineering (Task 1) .................................................... 55
Other Identified Engineering Projects (Task 6) ................................................................... 55
5.3. Construction & Development ...................................................................................................... 57
5.4. Safety, Health, & Environment .................................................................................................... 57
Context ................................................................................................................................ 57
Goal of the Transformation in Safety, Health, & Environment ............................................ 58
Safety, Health, & Environment Business Process Reengineering (Task 1) ....................... 58
Other Identified Safety, Health, & Environment Projects (Task 6) ...................................... 59
5.5. Operating Standards & Service Design ...................................................................................... 60
5.6. Agency Assistance: Advisory support to Agencies ..................................................................... 60
6. Detailed Description for Category 3: Police & Security ....................................................................... 61
MTA RFP No. 0009000015

6.1. Overview ..................................................................................................................................... 61
6.2. Police & Security ......................................................................................................................... 61
Context ................................................................................................................................ 61
Goal of the Transformation in Police & Security ................................................................. 61
Police & Security Business Process Reengineering (Task 1) ............................................ 61
Other Identified Police & Security Projects (Task 6) ........................................................... 62
7. Detailed Description for Category 4: External Affairs & Customer Communications .......................... 64
7.1. Overview ..................................................................................................................................... 64
7.2. External Affairs & Customer Communications ............................................................................ 64
Context ................................................................................................................................ 64
Goal of the Transformation in External Affairs & Customer Communications .................... 64
External Affairs & Customer Communications Business Process Reengineering (Task 1) 65
Other Identified External Affairs & Customer Communication Projects (Task 6) ............... 66
8. Deliverables Description ...................................................................................................................... 67
8.1. Deliverable Acceptance .............................................................................................................. 67
9. Additional Detail: MTA Functions, Families, and Capabilities ............................................................ 69
9.1. Finance........................................................................................................................................ 69
9.2. Procurement ................................................................................................................................ 74
9.3. Human Resources ...................................................................................................................... 81
9.4. Training ....................................................................................................................................... 90
9.5. Labor Relations ........................................................................................................................... 97
9.6. Engineering ............................................................................................................................... 101
9.7. Safety, Health, & Environment .................................................................................................. 109
9.8. Legal & Compliance .................................................................................................................. 120
9.9. External Affairs & Customer Communications .......................................................................... 126
10. Exhibits .............................................................................................................................................. 133
MTA RFP No. 0009000015

1. Overview of the RFP
1.1. Introduction
The Metropolitan Transportation Authority (MTA) is hereby providing notice that it will solicit technical and
cost proposals for an MTA Transformation Implementation that consolidates support functions across
the six MTA Operating Agencies (MTA Agencies) and MTA headquarters (HQ). Currently, each MTA
Agency maintains its own functions with regards to 14 areas: Finance; External Affairs and Customer
Communications (EA&CC); Procurement; Human Resources (HR); Labor Relations; Training;
Engineering; Operating Standards & Service Design; Construction & Development (C&D); Diversity &
Equal Employment Opportunity (EEO); Information Technology (IT); Legal & Compliance; Safety, Health,
& Environment (SH&E); and Police & Security. The MTA has developed a Transformation Roadmap
(Roadmap) that consists of a series of programs to help the MTA fundamentally change the way it works
and supports its people, and to modernize and innovate the Authority. To further the efforts of the
Transformation Roadmap, particularly around guiding the consolidation of the 14 functions, the MTA seeks
third-party consulting firms to perform Transformation Implementation services.
This scope of work is organized into four Categories with work outlined in seven Tasks to support the MTA
Transformation Implementation:
Category 1: Support Functions

• Support Functions: Finance; Procurement; Human Resources; Training; Labor Relations; Legal &
Compliance; Diversity & EEO
• Agency Assistance: Advisory support to Agencies (i.e., NYCT, LIRR, MNR, B&T, Bus, MTACCC)
• Centralized IT Transformation: Application rationalization, data management / analytics
Category 2: Operational & Engineering Functions
• Operational & Engineering Functions: Engineering; Construction & Development; Safety, Health, &
Environment; Operating Standards & Service Design
• Agency Assistance: Advisory support to Agencies (i.e., NYCT, LIRR, MNR, B&T, Bus, MTACCC)
Category 3: Police & Security
Category 4: External Affairs & Customer Communications
Below are the seven (7) Tasks :
Task 1: Business Process Reengineering (BPR) & Management Consulting

• Categories 1, 2, 3, and 4
Task 2: Technology Enhancements to PeopleSoft
• Category 1
Task 3: Technology Systems Assessment & Requirements
Task 4: Category-Specific Project Management & Change Management
Task 5: Transformation Program Management Support & Governance
• Category 1
Task 6: Other Identified Projects
Task 7: Additional Consultant Support (as needed)
The MTA Operating Agencies participating in this RFP are as follows:
• MTA New York City Transit (NYCT), which operates the public subway and some bus operations
within New York City
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• MTA Long Island Rail Road (LIRR), which operates commuter rail lines between New York City and
Long Island
• MTA Metro-North Commuter Railroad (MNR), which operates commuter rail lines between New
York City and suburban New York counties, New Jersey, and Connecticut
• MTA Bridges and Tunnels (B&T), which operates tolled bridges and tunnels within New York City
and is developing Central Business District Tolling
• MTA Bus Company (Bus), which operates local and express bus operations for bus lines separate
from NYCT
• MTA Capital Construction Company (MTACCC), which manages mega construction projects
Additionally, HQ functions as a strategic corporate entity with fiduciary and operational responsibilities for
the MTA, encompassing executive staff of the MTA and departments that provide oversight, guidance, and
support for pan-MTA services.
The solicited services performed for these Agencies will increase MTA effectiveness through cost
reductions and greater efficiency. At the end of this project, the MTA expects:
• Revised or newly created business processes within and across functions

• Technology enhancements and modifications to PeopleSoft
• Technology systems assessments and requirements in select functional areas
• Information management transformation (e.g., application rationalization, data management, digital
strategy, etc.)
• Delivery of other select, identified projects
Proposers (also referred to as “Consultant” or “Consultants”) will be able to bid on one or more RFP
categories, and the MTA will select a single proposer per category for Categories 1, 3, and 4, and a pool
of 2-4 proposers for Category 2. For Categories 1, 3, and 4, proposers should provide deliverable-based
pricing with a rate card for as-needed advisory support. For Category 2, proposers should provide a rate
card. Category 2 will be awarded through a class award, and subsequent task orders will be issued based
on the project need. For these task orders for Category 2, awarded proposers should provide deliverable-
based pricing.
To be successful in this effort, proposers must have the following skills and expertise required for the work
(based on the category or categories to which they are responding), such as:
• General management consulting expertise

• Deep business process reengineering experience
• PeopleSoft IT implementation capabilities
• IT data governance and analytics experience
• Project management, benefits realization, and change management expertise
• Deep experience in the 14 functional areas, as applicable
• Expertise with transportation and/or construction agencies
• Expertise with organizations with a unionized workforce
• Experience transforming large, complex organizations
1.2. RFP Timeline

The below timeline is intended as an example of the RFP process. The dates associated with each step
are provided solely for information purposes and are subject to change in the MTA’s sole discretion.
RFP Activity Date

Issue of RFP Cover Letter and NDA 10/18/2019
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Issue of RFP Statement of Work 10/25/2019
NDA Submission Due 11/5/2019
Pre-Proposal Conference 11/8/2019
Deadline to Submit Written Questions 11/11/2019
Submission of Proposals by 12PM EST 1/3/2020
Oral Presentations (if required by the MTA) Week of 1/13/2020 – 1/24/2020
BAFOs and Contracting End of February 2020
The dates for the following activities are target dates only.
These activities may be completed earlier or later than the dates shown.
As detailed above, the currently scheduled deadline for the MTA to receive proposals through the GSG
portal is January 3, 2020, at 12:00PM EST. No proposal will be accepted after the due date and time,
unless that due date is extended in the MTA's sole discretion by addendum.
Proposers must be available to make an oral presentation during January 13 – January 24, 2020, if
required by the MTA. If awarded the contract(s) resulting from this RFP, and after negotiations and
execution of such contract(s), proposers must be available to start work shortly after contract execution.
1.3. Communication During the RFP Process

All communications concerning this RFP must be directed ONLY to the MTA assigned Contact Persons,
listed below. No communications or inquiries may be made by any proposer to any other individual within
MTA unless specifically instructed to do so by the MTA Contact Persons, with a copy (cc) to the MTA
Contact Persons. This RFP is being issued through the Business Service Center and supported by the
Government Sourcing Group (GSG) to facilitate the procurement process. The designated point of
contact for GSG is Adam Ellsworth at (203) 453-4554 x206917 or aellswor@mtabsc.org. The designated
points of contact for MTA are Marina Elliot at (646) 376-0461 or marina.elliot@mtahq.org and Célia
Donlon at (646) 376-0003 or celia.donlon@mtahq.org. Proposer must follow the instructions and
guidance provided to submit a proposal.
In addition, once a proposal has been submitted, proposers must refrain from contacting any MTA
personnel other than the designated MTA Contact Persons to discuss or attempt to gather information
regarding the status of this RFP while the MTA is evaluating all proposals. Unauthorized communications
regarding this RFP with any other MTA employee, including those employees associated with current
proposer relationships and existing agreements with the MTA, may result in the disqualification of said
proposer from further consideration for this RFP or further MTA business. Oral communications between
the MTA and proposers regarding this RFP are unauthorized and non-binding.
1.4. Questions about the RFP

Any questions regarding this RFP shall be made by email to Adam Ellsworth at aellswor@mtabsc.org for
GSG with a copy (cc) to Marina Elliot and Célia Donlon at marina.elliot@mtahq.org and
celia.donlon@mtahq.org. All such questions to be considered must be received by November 11, 2019.
Any answers to questions, as well as any additional provisions the MTA may decide to include in the RFP,
will be issued in writing by the MTA as an addendum to the RFP and will be available through the secure
online portal managed by GSG to each person to each person registered on the portal to receive this RFP.
If a firm has any problem accessing or receiving communications from this portal, contact Adam Ellsworth
at (203) 453- 4554 x206917 or aellswor@mtabsc.org.
1.5. Additional Information to and from Proposers

Should the MTA require additional information from a proposer in connection with its RFP documents
submission, such information shall be provided within the timeframe specified by the MTA. Failure to
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provide such requested information may be grounds for a finding of non-responsiveness to this RFP, in the
MTA’s sole and absolute discretion.
1.6. Period of Performance

The MTA estimates that it will take approximately eighteen (18) to twenty-four (24) months to complete
all deliverables as described in this Statement of Work.
1.7. Evaluation and Selection Criteria

Proposals shall be evaluated based on the following criteria, listed below in order of priority and with
weights indicated:
CRITERIA1 WEIGHTS
a. Project Approach:
The proposer’s approach and demonstrated ability to provide the required
services as detailed herein. Proposer must fully address the submission 20
requirements for the technical and cost proposals in a responsive manner
that demonstrates proposer comprehensively understands this project.
b. Experience and Expertise of the Project Team:

The qualifications and relevant experience of key personnel proposed by
the proposer. The factors that will be considered include the experience
of key personnel, the proposer’s commitment in accordance with the 25
proposer’s staffing plan, to this project of specific proposed members of
its professional staff and its overall project team.
c. Proposer Qualifications:
Proposer’s experience in advising clients in similar industries, in
government and public sector environments, and in strategy,
transformation, and consolidation. Demonstrated experience performing
organizational design, business process reengineering, IT assessments
and requirements gathering, and / or IT enhancements related to relevant 25
functional areas. Demonstrated experience working with organizations
that have a unionized workforce.
d. Cost Proposal:2:
Proposer must provide an itemized cost proposal as specified in Exhibit 1.
Cost will be evaluated based on the total and itemized costs specified and 25
the realistic relationship between the costs and the approach in the
technical proposal.
e. Proposer Diversity Practices:

Determined by the Authority’s assessment of proposer’s answers to
Attachment I (see, Attachment I: Proposers Diversity Practices 5
Questionnaire)3
TOTAL POINTS = 100

1. Responsiveness of the RFP. Any incomplete or not-fully-responsive proposal will be considered a negative factor,
the consequences of which may range from loss of evaluation points to a decision not to consider the proposer for
award. This applies to all proposers, including firms that have done or are currently doing business with the MTA,
and firms that have not done business with the MTA.
2. The MTA reserves the right to award the contract(s) to the responsible proposer submitting a proposal which is most
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MTA RFP No. 0009000015
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advantageous and in the best interest of the MTA. The MTA shall be the sole judge of the proposal that is / are in its
best interest and its decision is final. There is no obligation on the part of the MTA to award a contract(s) to the
lowest proposer (least cost to the MTA).
3. Proposer’s Diversity Practices as determined by the Authority’s assessment of proposer’s answers to Attachment I
(Proposer Diversity Practices Questionnaire), which is primarily, though not entirely, concerned with proposer’s use
of, and programs for, New York State-certified Minority- and Women-Owned Business Enterprises. Proposers’
answers to Attachment I will be scored by the Authority at its sole discretion.
1.8. Proposal Response Structure

A. Proposer may respond to one or multiple categories. Proposer must submit a separate Technical
Proposal and Cost Proposal for each category, if proposer elects to respond to multiple categories .
The proposal should be tailored to the appropriate functions and tasks within the category or
categories for which the proposer is submitting.
B. The Technical Proposals and Cost Proposals shall be uploaded and submitted to the MTA via the
GSG Platform (labeled with the RFP Number and description (e.g., “RFP No. 0009000015 – Technical
Proposal – Category 1”). Failure to address any of the information requested below may be grounds
for a non-responsiveness determination.
C. Technical Proposals must be submitted in Word document / PDF format and Cost Proposal(s) must
be submitted using the appropriate Exhibit 1 MTA Cost Proposal template for the specific category.
Any appendices and supplemental information can be submitted in Word, PDF, or PowerPoint format.
D. No information is required beyond what is specifically requested below.
E. To expedite the review of the submissions, the MTA requests that all Technical Proposals be submitted
to match the specific information (and order of information) requested below:
1) Executive Summary
2) Approach
3) Detailed Work Plan
4) Team Structure
5) Team Resumes
6) Firm Profile
7) Firm Qualifications
8) References
9) Forms
F. While there is no pre-determined page limit for the information detailed above, the MTA expects that
vendors respect the time of reviewers with regards to the page count of the submitted responses to
this RFP. Please do not include marketing and / or sales-related documents within your proposal that
do not address the requirements of this RFP.
G. The purpose of the Technical Proposal is to provide the proposer with an opportunity to demonstrate
their approach, qualifications, competence, and capacity to undertake the types of engagements
described by this RFP in a manner which complies with applicable laws and regulations and the
requirements of the RFP.
H. The Technical Proposal shall consist of the following:
1. Executive Summary. An executive summary should highlight significant features of the

proposer’s response.
2. Approach. An overview of the proposer’s approach to conducting this project through the
successful completion of deliverables. This should include a description of the methodology, tools,
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and templates to be used to complete each deliverable specified in this Statement of Work. The
proposer’s response should be tailored to the appropriate functions and tasks within the category
or categories for which the proposer is applying.
• Include details of how the proposer will handle the MTA’s confidentiality and security
concerns as part of the overall approach to the project and specific deliverables.
• Include discussion regarding the extent to which the proposer proposes to work either
on an MTA site using the MTA’s facilities and computer resources or off-site at a
specific location and using the specific computer resources of proposer’s firm, in order
to maintain confidentiality and data security.
• Discuss any deviation from the Statement of Work proposer would recommend to
meet the MTA’s objectives, the costs and benefits of the deviation (including cost and
time savings) and the approaches, methodologies, and tools proposer would use.
• Discuss the practices the proposer will follow to deal with changes (revisions,
additions, deletions) in the project as the project evolves in terms of: i) monitoring and
recording changes, ii) cost of individual changes, and iii) total cost of the project.
3. Detailed Work Plan. A work plan outlining proposer’s approach to successful completion of this
project. The work plan must include a schedule for phasing of each deliverable including a
timetable for delivery and review and approval times. Specifically, the work plan must identify
how the proposal addresses the deliverables detailed in this Statement of Work. The work plan
shall reflect any additional tasks not mentioned specifically in the Statement of Work that the
proposer anticipates are necessary to successfully complete the project.
4. Team Structure. Specify a staffing plan for the project that identifies resources by name, title,
and expertise, including the proposer’s proposed staffing for subject matter (business) experts
and technical experts. If at this time the proposer cannot provide a name for a specific position,
the proposer must so indicate, explain why, and specify the method and schedule for filling the
position. The proposer must indicate key personnel, including project manager and any
workstream leads. For each key staff member, provide a statement that, until the project is
completed and accepted, the proposer’s firm will commit that person to this project in
accordance with the proposed staffing plan and will not remove the person from this project
without first giving the MTA at least thirty (30) days advance written notice and obtaining the
MTA’s written consent, except in the event of the person’s death, disability, or voluntary
termination / resignation of employment with the proposer’s firm. If the proposer’s firm plans to
use a subcontractor(s) as part of its team, the proposal must identify each subcontractor by
name and detail each subcontractor’s tasks to be performed.
5. Team Resumes. Provide the name, title, expertise, firm, and resume for: i) the person(s) who
have overall responsibility for this project on the proposer’s behalf; ii) each of the subject matter
experts for this project; iii) each of the technical experts for this project. A resume must include
years of experience, relevant qualifications, education, and certifications.
6. Firm and Subcontractor(s) Profile. For both the proposer and each subcontractor, provide in
detail:
a. Firm overview and history

b. Certification as a Minority, Woman, or Disadvantaged Business Enterprise in the
state of New York, if applicable
c. Any other information which the proposer believes demonstrates the firm is unique
and / or highly qualified to perform this work
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d. For the proposer only: Submit three (3) years of audited financial statements
7. Firm Qualifications. Provide experience in similar industries, in government and public-sector

environments, and in strategy, transformation, and consolidation. Share demonstrated
experience performing organizational design, business process reengineering, IT
assessments and requirements gathering, and / or IT enhancements related to relevant
functional areas, categories, and / or tasks. Describe past experience working with
organizations that have a unionized workforce.
8. References. Specify at least three (3) references per Technical Proposal that include point of
contact, title, organization, phone number, and email address. References should be
provided for projects of similar size, complexity, industry, and task.
9. Forms. Completed MTA forms shall be attached to the Technical Proposal or included in a
separate attachment, but only one set of MTA forms is required, regardless of the number of
categories for which the proposer is submitting. These forms include:
a. Attachment B: Contractor Responsibility Data (complete and sign)
b. Attachment C: MTA’s Standard Form of Conduct - to be provided at a future date
c. Appendix A: Compensation Provisions (complete)
d. Appendix B: Affirmative Action / EEO Requirements (complete and sign)
e. Appendix C: Master Uniform Insurance Requirements (complete)
f. Appendix D: Description of MBE / WBE Utilization Plan (complete and sign)
g. Appendix E: Financial Interest Disclosure (complete and sign)
h. Appendix K: Executive Order 177 Compliance and Certification (complete and
sign)
i. Appendix L: Sexual Harassment Compliance (complete and sign)
j. Attachment D: Omnibus Procurement Act Provisions (complete and sign)
k. Attachment E: Prompt Payment Letter and Prompt Payment Provisions
l. Attachment F: Forms 1 and 2 under NYS Lobbying Law (complete and sign)
m. Attachment G: Proposer’s Certification of Compliance with MTA Vendor Code of
Ethics (complete and sign)
n. Attachment H: Iran Divestment Act (complete and sign)
o. Attachment I: Diversity Practices Questionnaire (complete and sign)
p. Attachment J: IT and Security Requirements (complete)
q. Attachment K: Special Notice to Vendors Debarment
I. There should be no dollar unit or costs included in the Technical Proposal. A separate Cost
Proposal is described in Section 1.8 below and must be submitted as a separate file from the
Technical Proposal.
**THE COST PROPOSAL MUST BE SUBMITTED AS A SEPARATE FILE**
J. Proposer RFP Submission Checklist. Proposers must submit the RFP in three (3) parts:
1) Technical Proposal (per Category response)

2) Cost Proposal (per Category response)
3) Forms (single submission per proposer)
1.9. Cost Proposal

A Cost Proposal shall be uploaded and submitted to the MTA via the GSG platform and shall consist of
the following:
• Title page with the title of this RFP, the proposer’s name, contact information, and the submission
date of the proposal
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MTA RFP No. 0009000015
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• Requirements of this Cost Proposal as detailed below
While cost will not be a factor in evaluating the Technical Proposal, the MTA will award a contract from
this RFP only if the firm's Cost Proposal, as proposed or negotiated, is reasonable in the MTA's absolute
sole judgment. The MTA currently anticipates that payments made pursuant to the contract with the
successful proposer(s) will be based upon fully-loaded hourly rates used to arrive at a fixed fee for each
deliverable. Proposer(s) must propose based on fully-loaded hourly rates multiplied by applicable labor
hours to arrive at each deliverable fee in the Cost Proposal template. The MTA expects that the estimated
hours as proposed or as negotiated for specific components of this project will be the maximum number
of hours that may be billed to the MTA as part of the deliverable fee.
The proposer shall provide a pricing breakdown by task for any of the Categories detailed in this
Statement of Work upon which the proposer bids:
1) Category 1: Support Functions
2) Category 2: Operational & Engineering Functions
3) Category 3: Police & Security
4) Category 4: External Affairs & Customer Communications
For Categories 1, 3, and 4, the proposer should provide deliverable-based pricing with a rate card for as-
needed advisory support. For Category 2, the proposer(s) should provide a rate card. Category 2 will be
awarded through a class award, and subsequent task orders will be issued based on the project need. In
future task orders for Category 2, awarded the proposer(s) will provide deliverable-based pricing.
In addition, the Cost Proposal should consist of the following:
A. Based upon the proposer’s detailed labor hours by labor classification to be expended for each
deliverable and the fully-loaded hourly rates, provide: i) an itemized and total cost for each deliverable,
ii) an itemized and total cost for each member of the proposer’s proposed project team, and iii) a total
cost to complete the project.
B. The MTA expects to make payments to the proposer based upon acceptance of specific deliverables.
Please specify a proposed payment schedule and the time frame for each payment based on time from
commencement of the project in the Fee Summary tab of Exhibit 1.
C. Indicate whether the proposer’s Cost Proposal is based on: i) the proposer’s standard pricing, ii)
discount (provide details), iii) most favored customer. Note that the proposer is encouraged to include
in its Cost Proposal any discounts, other savings, or benefits that are offered to the MTA based on: i)
electronic submission of invoices, ii) frequency of invoicing, iii) ACH payment of invoices, and iv) early
payment of an invoice. Please note that, in addition to submission of an invoice to the MTA Business
Service Center, the proposer will be required to submit to the Project Manager any required
documentation to back up the invoice. Acceptable format and delivery method for electronic invoices
are described in Appendix A. Cost proposal must be valid for 180 days.
D. Please confirm how the proposer will provide cost certainty to the MTA if the proposer is successful.
E. Please list any exclusions / assumptions around the proposer’s Cost Proposal.
F. The MTA and / or its Affiliates shall not be responsible for any direct and / or indirect costs
associated with the development submission and negotiations of the Proposal.
G. Indicate the proposer’s Federal Tax I.D. number, or individual's Social Security number, if applicable.
NOTE: The successful Proposer’s Technical Proposal and Cost Proposal, as negotiated, will be
incorporated into the contract.
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MTA RFP No. 0009000015
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**THE TECHNICAL PROPOSAL MUST BE SUBMITTED AS A SEPARATE FILE**
1.10. MTA Forms / Attachment Details and Applicable Laws

• Attachment B – Contractor Responsibility Data
• Attachment C – MTA Standard Form of Contract - to be provided at
a future date
The MTA intends to issue to the successful proposer, a Personal Service Agreement with
substantially the same terms and conditions as set forth in Attachment C (MTA Standard Form of
Contract). Any terms, conditions or other provisions in a proposal or other submitted documents
that are contrary or inconsistent with Attachment C will not be incorporated into or become a part
of the Personal Service Agreement awarded pursuant to this RFP, will not be binding on the MTA
and are considered void. This Personal Service Agreement shall govern any statement / scope of
work, Work Assignment, Purchase Order or other contract document issued by an agency
pursuant to the Personal Service Agreement and this RFP, unless expressly modified in writing
and agreed to by the parties.
• Appendix A – Compensation Provisions

• Appendix B – Affirmative Action / Equal Employment Opportunity
1) EEO / Non-Discrimination. In connection with this project, the proposer will not
discriminate against any employee or applicant for employment for work under this
project, or any subcontract hereunder, because of race, creed, color, national origin, sex,
age, disability or marital status, nor will it discriminate against any person who is qualified
and available to perform the work to which the performance relates. The proposer will
undertake or continue existing programs of affirmative action to ensure that minority
group members and women are afforded equal employment opportunities without
discrimination because of race, creed, color, national origin, sex, age, disability or marital
status. This project is subject to the Affirmative Action / EEO Requirements set forth in
Appendix B.
2) Affirmative Action / EEO Submission Requirements - The successful proposer will be

required to submit an EEO Policy Statement and a copy of their current EEO-1 form,
detailing the firm's workforce composition (see Appendix B) within seven (7) calendar
days after it receives verbal notification. The MTA’s Procurement Division may extend
the deadline for submission of an EEO-1 Form or an EEO Policy Statement. Any
requests for an extension must be submitted to the MTA’s Procurement Division for the
attention of the Contract Manager.
• Appendix C – Guidelines for Contractors Including Insurance

• Appendix D – Minority and Women-Owned Business Enterprise
Participation Requirements
The proposer is advised that it is the policy of the MTA to promote equality of economic
opportunity for minority- and women-owned business enterprises (MBE / WBE) and service-
disabled veteran-owned business (SDVOB) in its contracting activities.
For this project, the respective goals specified for the utilization of MBE / WBEs and SDVOBs
are:
15% for MBE
15% for WBE

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MTA RFP No. 0009000015
9
6% for SDVOB
These goal percentages are subject to the requirements of the State MBE / WBE Law, the
Regulations thereunder and provisions of this RFP. The successful proposer and the MTA
agree as a condition for the contract awarded pursuant to this RFP to be bound by the
provisions of Executive Law Article 15-A, as well as all other provisions of the State MBE /
WBE Law.
Proposer shall refer to Appendix D for "New York State Executive Law, Article 15A MBE / WBE
Provisions" for instructions and requirements. For additional information, please refer to the
attached Contractor Requirements and Procedures for Business Participation Opportunities
for NYS Certified MBE / WBE and EEO Opportunities for Minority Group Members and
Women.
Proposer is required to submit with its cost proposal the completed "MBE / WBE Utilization
Plan Form" (Form 15A.1 of Appendix D).
• Appendix E – Financial Interest Disclosure & Interests

Proposers are advised that, due to the sensitive nature of the work to be performed under the
project, certain of the employees of the successful proposer and / or subcontractor(s) who will
be performing tasks in such sensitive areas will be required to file financial interest reports (see
Appendix E).
• Appendix K – Executive Order 177 Compliance and Certification

PROPOSERS ARE HEREBY NOTIFIED THAT THIS SOLICITATION IS SUBJECT TO
EXECUTIVE ORDER 177 WHICH PROHIBITS NEW YORK STATE AGENCIES,
INCLUDING THE MTA, FROM ENTERING INTO CONTRACTS WITH ENTITIES THAT
SUPPORT DISCRIMINATION. THIS CERTIFICATION MUST BE SUBMITTED PRIOR TO
CONTRACT AWARD ON ALL CONTRACTS FOR GOODS, SERVICES, TECHNOLOGY
AND CONSTRUCTION, AND CONTRACT RENEWALS.
The New York State Human Rights Law, Article 15 of the Executive Law, prohibits
discrimination and harassment based on age, race, creed, color, national origin, sex,
pregnancy or pregnancy-related conditions, sexual orientation, gender identity, disability,
marital status, familial status, domestic violence victim status, prior arrest or conviction record,
military status or predisposing genetic characteristics.
The Human Rights Law may also require reasonable accommodation for persons with
disabilities and pregnancy-related conditions. A reasonable accommodation is an adjustment
to a job or work environment that enables a person with a disability to perform the essential
functions of a job in a reasonable manner. The Human Rights Law may also require
reasonable accommodation in employment on the basis of Sabbath observance or religious
practices.
Generally, the Human Rights Law applies to:

• all employers of four (4) or more people, employment agencies, labor organizations
and apprenticeship training programs in all instances of discrimination or harassment;
• employers with fewer than four (4) employees in all cases involving sexual harassment;
and,
• any employer of domestic workers in cases involving sexual harassment or
harassment based on gender, race, religion or national origin.
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MTA RFP No. 0009000015
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• Appendix L – Sexual Harassment Compliance
Proposers are hereby notified that this solicitation is subject to New York State Finance Law
Section 139-l (effective January 1, 2019), which requires proposers proposing on competitive
solicitations for work or services performed or to be performed, or goods sold or to be sold, to
certify implementation of a written sexual harassment prevention policy and corresponding
annual training. Please review Appendix L, sign and return with proposal submission.
• Attachment D – Omnibus Procurement Act Provisions

Proposers are advised that an awarded contract is subject to the provisions of the Omnibus
Procurement Act of 1992, Chapter 844, Laws of 1992 (Attachment D).
• Attachment E – Prompt Payment Regulations

Section 2880 of the Public Authorities Law, and the MTA’s guidelines pursuant thereto, requiring
prompt payment of a Consultant's invoices apply to any contract awarded as a result of this RFP.
The attached letter entitled "Prompt Payment of Invoices" (Attachment E), gives information
regarding the regulation.
• Attachment F and Corresponding Form 1 and Form 2 New York

State Lobbying Law of 2005
Chapter 1 of the Laws of 2005, as amended by Chapter 596 of the Laws of 2005 (collectively
referred to as the “Lobbying Law”), was signed into law in August 2005. The Lobbying Law makes
major changes to the Legislative Law and State Finance Law, which regulate lobbying on
government procurement initiatives. In particular, the Lobbying Law creates two new sections in
the State Finance Law: Section 139-j to address restrictions on “contacts” during the procurement
process; and Section 139-k to address the disclosure of contacts and the responsibility of bidders
and proposers during procurements. These sections are effective as of January 1, 2006.
If it is found that a proposer has knowingly and willfully violated State Finance Law Section 139-j
(3), the proposer and any of its subsidiaries, related or successor entity will be determined to be a
non-responsible bidder and shall not be awarded the contract. A subsequent finding of non-
responsibility by the proposer within four years of a prior determination of non-responsibility
results in the proposer being ineligible to submit a proposal on or be awarded any procurement
contract for four years from the date of the second finding of non-responsibility. See State
Finance Law Section 139-j(10)(b).
Attachment F, Compliance with New York State Finance Law Sections 139-j and 139-k, is
attached and made part of this RFP in compliance with the Lobbying Law. In complying with the
Lobbying Law, proposers are required to complete and submit with their proposal the two forms
(Form 1 and Form 2) attached to Attachment F herewith. For additional information regarding the
Lobbying Law, all proposers are urged to contact the New York State Office of General Services
at (518) 474-5607, or access their website:
http://www.ogs.state.ny.us/aboutOgs/regulations/defaultAdvisoryCouncil.html.
• Attachment G – Proposer’s Certification of Compliance with MTA

Vendor Code of Ethics
The MTA has adopted a Vendor Code of Ethics (the “Code”), which is applicable to all Vendors,
as defined by the Code, involved in the procurement process for the award and performance of
the Contract. The Code is available for immediate review by the proposer on the MTA Website at
www.mta.info/mta/procurement/vendor-code.htm, and all proposers must certify compliance with
the Code (Attachment G).
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MTA RFP No. 0009000015
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• Attachment H – Iran Divestment Act
This RFP, and any contract awarded hereunder, is subject to New York State Finance Law 165- a,
Iran Divestment Act of 2012 which requires the Office of General Services to post on its web site
(http://www.ogs.ny.gov/about/regs/docs/ListofEntities.pdf) a list of persons who have been
determined to engage in investment activities in Iran. The MTA may not enter into or award a
contract unless it obtains certification, Attachment H, from a proposer that they are not on the list.
Certification must be returned with proposals.
• Attachment I – Proposer Diversity Practices Questionnaire

The MTA has determined, pursuant to New York State Executive Law Article 15-A, that the
assessment of the Diversity Practices of proposers to this RFP is practical, feasible and
appropriate. Accordingly, proposers to this RFP shall be required to include as part of their
Proposal, the completed proposer Diversity Practices Questionnaire (“Attachment I”), which
contains the questions that the proposer must answer regarding Diversity Practices.
• Attachment J – IT and Security Requirements

MTA IT must assess the successful proposer’s controls to protect the MTA’s data. Proposers
whose engagement with the MTA includes hosting, storing, or processing MTA data in cloud or
offsite server environments must complete the IT and Security Requirements questionnaire and
documentation in Attachment J to the best of their ability and return to the MTA.
• Attachment K – Special Notice to Vendors Debarment

In accordance with Public Authorities Law §1279-h, the contractor will be debarred and will not be
permitted to bid on future MTA contracts for a period of five (5) years if, pursuant to regulation
established by the MTA for the debarment of contractors a final determination is made by the
MTA that the contractor failed to substantially complete all work within the time frame set forth in
the contract, including any subsequently executed change order, by more than ten percent of the
contract term, or that the contractor's claimed costs exceeds ten percent or more of the total
contract cost, including costs associated with any subsequently executed change orders, and
where such claimed costs are deemed to be invalid pursuant to the contractual dispute resolution
process.
• Attachment L – Non-Disclosure and Confidentiality Agreement

In order to receive the full RFP, including the Statement of Work, proposers were required to sign
the Non-Disclosure and Confidentiality Agreement (“NDA”), with no exceptions taken. When
submitting this proposal, proposers are required to include a copy of their signed NDA.
• New York State Comptroller Review / Approval

In accordance with Public Authorities Law §2879-a, the contract resulting from this RFP may be
subject to review and / or approval by the Office of the State Comptroller (OSC), and shall not be
valid, effective or binding until it has been approved by the OSC, if such review and / or approval
is required.
1.11. Confidentiality – General Instructions

The MTA has prepared certain documents to support the information provided in this Statement of Work,
including but not limited to Exhibits 1 through 8 hereto. Such documents are for informational purposes
only and may contain confidential and / or security sensitive information. As such, in order to receive
these documents, proposers were required to sign the NDA, made a part of this RFP as Attachment L,
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MTA RFP No. 0009000015
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with no exceptions. Proposers are required to include a copy of their signed NDA as part of the required
documents in their proposal submission.
Furthermore, the proposer shall restrict the distribution of this RFP, including any related MTA
communications, only to the proposer’s employees who have a need to use it for preparing the proposer’s
response to this RFP. No access, use, or disclosure of MTA confidential and proprietary information
provided in connection with this RFP shall be made to any other person or entity without MTA’s prior
written approval and execution of a non-disclosure agreement by the intended recipient, which contains
equivalent or greater protections as the NDA for the MTA’s confidential and proprietary information.
Any proposers not selected to provide services in connection with this RFP upon request by the MTA
shall immediately return or destroy all MTA-provided RFP information and documentation.
The MTA is not under any obligation to return any proposals and materials submitted by any proposer in
connection with this RFP.
Ownership and Use of Work Product:
• The MTA, including Operating Agencies, will be entitled to retain and use, without compensation
to any person or proposer responding to this RFP, all information submitted, including but not
limited to any proposal, any concept, intellectual property, technique, suggestion, layout, element
or idea (including financial plans and technical submissions), design or plans, disclosed in or
evident from the foregoing or which may be revealed during any communications with the MTA
and the Operating Agencies ("Work Product").
• Proposers expressly agree that, once submitted, Work Product becomes the property of the MTA
and the Operating Agencies. The MTA and the Operating Agencies reserve the right to publish
any Work Product (except any Work Product marked "Confidential" and deemed exempt from
FOIL, as described further below) and the MTA and the Operating Agencies shall have the right
to copy, reproduce, or otherwise dispose of such Work Product received. The MTA and the
Operating Agencies shall be free to use as their own, without payment of any kind or liability, any
Work Product. Accordingly, the MTA and the Operating Agencies will not be required to return the
proposal or any Work Product, including documents, materials, articles and information that a
proposer has submitted as part of, or in support of, the RFP or its proposal.
• In consideration for the proposers being invited to submit a proposal for the MTA and the
Operating Agencies’ review and evaluation, the MTA and the Operating Agencies will have,
without any further action required by any person, an unrestricted fully paid-up, royalty-free, non-
exclusive, irrevocable, perpetual license (with the right to sub-license) to use all Work Product
submitted by a proposer in the performance of any of the MTA and the Operating Agencies’
functions, including incorporating any Work Product or concepts based on that Work Product into
any agreement or any subsequent procurement by the MTA and the Operating Agencies. The
MTA and the Operating Agencies’ use of any Work Product will be at their risk and discretion and
will in no way be deemed to confer liability on an unsuccessful proposer.
1.12. Additional Terms

A. The MTA reserves the right to negotiate with one or more proposers, and to reject any and all
proposals as it may determine in its sole and absolute discretion.
B. The MTA reserves the right to cancel the award of a contract at any time including before its execution,
if the MTA deems such cancellation to be in its best interest. In no event will the MTA have any liability
whatsoever for cancellation of an award prior to execution of a contract. All proposers assume sole
risk and responsibility for its expenses prior to execution of the contract with the successful proposer.
The successful proposer shall not commence work until receipt of a written notice to proceed.
C. A proposal shall be irrevocable for a period of no less than 120 days from the proposal due date set
by the Authority therein. All pricing proposed is subject to negotiation, at the MTA’s sole discretion.
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MTA RFP No. 0009000015
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D. The MTA assumes no liability for any costs that the proposer incurs as a result of (a) responding to
this RFP and (b) contract negotiations, if any, related to this RFP. The awarded proposer shall not bill
the MTA for any expense that was incurred prior to the time that the MTA and the proposer signs
the contract awarded from this RFP.
E. The proposer agrees that if it is awarded the contract, all the documents submitted to the MTA in
connection with the RFP, including all terms and conditions, information, data, certifications,
disclosures and this RFP, including all attachments, appendices and exhibits hereto, shall be
incorporated into the contract awarded from this RFP.
F. FOIL: Public access to material submitted by proposers in response to this RFP will be governed by
the relevant provisions of the Freedom of Information Law ("FOIL"), which constitutes Article 6 of the
New York State Public Officers Law, and regulations adopted pursuant thereto. If any proposer
submits information that it believes to be a trade secret or otherwise exempt from disclosure under
FOIL, it must specifically identify such information as "confidential" and state in writing the reasons
why the information should be exempt from disclosure.
G. MTA Representations: The MTA makes no representations or warranties whatsoever with respect to
this RFP or the content included in this RFP, including, without limitation, representations or warranties
as to the accuracy or completeness of any information or assumptions contained in this RFP or
otherwise furnished to proposers, including the progress of development of the MTA Transformation
work, or any other work described in this RFP. Proposers must make their own analyses and
evaluations of the information included in this RFP and any income potential and profits and expenses,
and except as the License Agreement may ultimately otherwise expressly and specifically provide,
proposers will not be entitled to rely upon any statement or information given to proposers by the MTA
and the Operating Agencies, including, without limitation, any information contained in this RFP or in
any other documents cited in this RFP or made available during this RFP process.
1.13. Multi-Agency Use

Any Agency, affiliate or subsidiary of the MTA may utilize the same pricing, terms and conditions as set
forth in this RFP and any contract awarded from this RFP.
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MTA RFP No. 0009000015
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2. Background
2.1. MTA Transformation
The MTA is currently undergoing an organizational restructuring and functional reorganization effort
across all its Agencies. Today, the MTA is organized by six (6) Operating Agencies and its HQ, which
include MTA Capital Construction Company (MTACCC), New York City Transit (NYCT), Bridges &
Tunnels (B&T), Long Island Rail Road (LIRR), Metro-North Railroad (MNR), and MTA Bus Company
(Bus). While some transactional functions have been consolidated across these Agencies into the
Business Service Center (e.g., components of HR, Finance, and Procurement), the Agencies still operate
largely independently and maintain a significant back-office infrastructure to support their operations. In
early 2019, the MTA engaged a third-party consultant (AlixPartners) to assess the organization and put
forth a strategic plan to transform the organizational structure of the MTA. This Transformation Plan (or
Plan) centered around five (5) key principles – centralize, simplify, standardize, plan, and empower – in
order to improve business performance and enhance the customer experience.
The Transformation Plan recommended consolidating all non-core functions within HQ. Further, it
proposed that Agencies retain “pure” operations and maintenance responsibilities, with all Agencies
reporting to a single Chief Operating Officer that reports to the MTA Chair and CEO. The Plan also
recommended the development of 14 centralized functional areas (or functions) reporting directly to the
MTA Chair and CEO, with each functional area responsible for supporting the entire MTA organization in
a consistent and standardized manner. The Transformation Plan provided high-level recommendations
for MTA-wide reorganization activities, improvements to business processes, and other cost reduction
opportunities. This Plan identified redundancies across the organization and recommended opportunities
to centralize and streamline, where similar functions existed in multiple Agencies. The Transformation
Plan was presented as a “blueprint for change” to and approved by the MTA Board in June 2019.
Since June 2019, the MTA has advanced the Transformation Plan into a Transformation Roadmap. The
Roadmap builds upon the blueprint of the Transformation Plan to further define the structures of these
new functions and their capabilities, and translates the recommendations outlined within the Plan into a
series of initiatives that will help the MTA transform into its envisioned future organization over the next
two years.
The 14 functions to be centralized and consolidated are as follows:
RFP Functional Area Description
Category
1. Support Finance Oversees budget, accounting, and financial analysis.
Functions The responsibilities in the Finance function include
accounting, payroll, timekeeping, treasury, operating
budget analysis and forecasting, revenue
management and control, and statutory and external
reporting.
Procurement Oversees the supply chain and procurement lifecycle.

The responsibilities in the Procurement function
include procurement strategy and execution,
procurement operations and support (e.g., policy,
contract management, reporting and analytics),
material planning, and material execution.
Human Resources (HR) Oversees recruitment, talent development, rewards,
and the typically more transactional elements of HR.
The responsibilities in the HR function include talent
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MTA RFP No. 0009000015
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Category
acquisition, HR operations and analytics,
organizational design and development, and rewards
(e.g., compensation, benefits, pension).
Training Oversees the professional development of MTA
employees. The responsibilities in the Training
function include strategy and governance, content
development, training delivery, and service excellence
support.
Labor Relations Oversees labor negotiations and representation
interactions. The responsibilities in the Labor
Relations function include collective bargaining,
administrative trials and hearings, dispute resolution,
operational support and advisement, and
investigations.
Legal & Compliance Oversees legal matters throughout the organization,
supports corporate compliance with relevant
regulations, laws, and policies, and manages risk and
insurance. The responsibilities in the Legal &
Compliance function include general and subject-
matter legal counsel, corporate compliance, internal
controls, and risk and insurance management.
Diversity & EEO Advances diversity, inclusion, and equal employment

opportunity throughout the organization. The
responsibilities in the Diversity & EEO function include
development, implementation, coordination and
monitoring of the MTA-wide diversity and inclusion
strategies; oversight, reporting and investigations
related to Equal Employment Opportunity, and Title VI;
program management, goal setting, monitoring, and
reporting on MBE / WBE, disabled business enterprise
(DBE), and SDVOB contracting (in coordination with
Procurement); and Small Business Development and
Certification Programs (in coordination with
Procurement and the Office of Construction
Management).
The future state model for this function is continuing to
be designed. Further detail may be provided in an
addendum.
Information Technology (IT) Oversees technology and data infrastructure strategy

and IT operations to support the work of MTA
employees. The responsibilities in the Information
Technology function include network and
infrastructure, operational systems, enterprise data
architecture and management, application
development, system administration, IT security,
helpdesk and support, IT project management, IT
accessibility, IT reliability, and IT maintenance.
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MTA RFP No. 0009000015
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Category
2. Engineering Oversees enterprise-level engineering and whole life
Operational cycle asset management across functional lines,
& stewardship of overall technical strategy, standards
Engineering and innovation, and promotion of centers of
Functions excellence in engineering and asset management
capabilities.
The responsibilities of Engineering include: driving
professional excellence through resource and
competency management; setting enterprise
standards and policies to be adhered to across the
organization; acting as a single point of contact on
regulatory reporting on assets and technical
standards; actively promoting and supporting
innovation; fulfilling the role of independent advisor
and technical authority to the MTA Chairman and
executive team; and, through Enterprise Asset
Management (EAM), encouraging whole lifecycle
management thinking, and adoption of Asset
Management best practices (as described in ISO
55000) and strategy to maximize value derived from
the MTA’s $1trillion asset base.
Construction & Oversees the full construction and development
Development (C&D) lifecycle of capital projects from inception to closeout.
The responsibilities in the Construction &
Development function include managing projects
through planning, design, procurement, development,
and delivery, with a focus on efficiency, effectiveness,
and transparency.
The future state model for this function is continuing to
be designed. Further detail may be provided in an
addendum.
Safety, Health, & Oversees the MTA Safety Management System
Environment (SH&E) (SMS) comprised of policies, procedures, and
strategies for maintaining safety on the MTA sites,
employee health, and environmental stewardship. The
responsibilities in the Safety, Health, & Environment
function include safety, employee health, environment,
homeless outreach, emergency management, and
reporting.
Operating Standards & The future state model for this function is continuing to
Service Design be designed. Further detail may be provided in an
addendum.
3. Police & Police & Security Includes the MTA police department, responsible for
Security enforcement of the laws of the State of New York and
Connecticut, and the security units responsible for
maintaining the security of people and property. The
responsibilities in the Police & Security function
include field operations (e.g., guard assignments),
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MTA RFP No. 0009000015
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Category
operations and incident command center, security
data and analysis, technology support,
counterterrorism, investigations, and the MTA pass /
identification credentialing offices.
The future state model for this function is to be
designed by the Consultant as part of this Statement
of Work.
4. Ext. External Affairs & Customer Drives agency communication strategy, brand identify
Affairs & Communications (EA&CC) and awareness while building, overseeing and
Customer implementing effective alliances and relationships with
Comm. customers and external stakeholders. The
responsibilities in the External Affairs & Customer
Communications function include advertising, sales,
private partnerships and promotions, multichannel
marketing, market research and customer analytics,
customer contact center, government and community
affairs, and media affairs.
In the next stage of this Transformation effort, the MTA will execute on the Roadmap under the guidance
of the newly formed Transformation Management Office (TMO). The MTA will act on components of the
Roadmap that it has identified to be executed in-house, while partnering with an external Consultant(s) to
implement other components outlined in this RFP. The Consultant(s) selected through this RFP will
support the MTA with reengineering identified business processes, enhancing certain IT systems and
functionalities, and implementing other identified, critical projects over the next two years.
2.2. Strategic Priorities

As part of this Transformation, MTA leadership has outlined a series of strategic priorities for the newly
designed MTA future state, as well as objectives with corresponding outcomes for Transformation. These
are meant to set the foundation for the new organizational structure and provide guidance for the
Transformation Roadmap to get from the current to the future state. The MTA future state will be a more
efficient, effective, accountable, transparent, and integrated organization with a stronger focus on
performance, customer experience, and innovation. The strategic priorities are as follows:
1. One MTA
2. Cost Efficiency
3. Accountability & Transparency
4. Investment in our People
5. Customer Focus
6. Innovation
7. Safety
8. Operational Excellence
The Transformation Objectives and their Outcomes are:

Objectives Outcomes
Change the way we work Lower costs by process simplification and
standardization
Support our people Attract, retain, and develop the right talent in the
right roles
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MTA RFP No. 0009000015
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Modernize and innovate Modernize MTA assets to enable data-driven and
evidence-based decision-making in support of
strategic planning across the MTA enterprise
Strengthen our core operations Give customers the system they deserve
2.3. Transformation Governance Structure

Transformation Management Office: As a first step in the Transformation Roadmap, the MTA has stood
up a newly-formed Transformation Management Office and is in the process of hiring a Chief
Transformation Officer (CTO) who will oversee all aspects of the Transformation Roadmap over the next
two years. The Transformation Management Office will be responsible for managing all Transformation
initiatives, including program delivery, communications and change management, enterprise business
process improvements, and benefits realization. The Consultant(s) selected through this RFP will report
into the Transformation Management Office.
Steering Committee: To provide executive-level sponsorship and oversight, the MTA has formed a
Transformation Steering Committee comprised of the MTA Chair and CEO, Chiefs from functional areas,
Agency Presidents, and other senior leaders. The Steering Committee meets on a weekly basis to
provide direction and decision-making on issues or risks identified in the Transformation program.
Functional and Agency Working Groups: As part of the Transformation, the MTA has created
Functional Working Groups (FWGs) that include the newly appointed or acting Chief, as well as senior
leadership from each of the seven (7) Agencies representing that function. The FWGs meet on a regular
basis to provide insight and recommendations for further defining, implementing, and improving the
functional model. Similarly, Agency Working Groups (AWGs) have been established to provide input on
retained Agency responsibilities and improvements. The Consultant will work directly with the FWGs and,
in some cases, AWGs.
IT Steering Committee: The IT Steering Committee is comprised of centralized IT leadership and

Agency business users. The IT Steering Committee meets regularly to review technology project needs,
as well as ensure IT standards and governance.
MTA Board: The MTA Board is comprised of 21 members and meets on a monthly basis to oversee
matters pertaining to the MTA. The MTA Board will receive monthly updates on the Transformation
program and provide the highest level of direction on specific matters relating to the implementation of the
Transformation program.
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MTA RFP No. 0009000015
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3. Overview of Services
The categories and tasks of the MTA Transformation Implementation RFP include, but are not limited to
the following. Further detail on each category and task is included in the Tasks and Detailed Descriptions
sections in the pages that follow.
RFP category Functions / components Tasks

5. Transformation
1. Process
program
reengineering 2. PeopleSoft 3. IT assessment / 4. Project mgmt. / 6. Other identified 7. As-needed
management
(management enhancements recommendation change mgmt. projects advisory support
support &
consulting)
governance
1. Support
Functions
Finance
✓ ✓
Procurement
✓ ✓
HR
✓ ✓
Training
✓ ✓ ✓ ✓
Labor Relations
✓ ✓
Legal & Compliance
✓ ✓ ✓ ✓
Diversity & EEO
✓ ✓
Agency Advisory Support
IT Projects: Application
Rationalization, Data ✓
Management / Analytics
2. Operational & Engineering
Engineering ✓ ✓
C&D
Functions
✓ ✓
Safety, Health, & ✓ ✓ ✓
Environment ✓ ✓
Operating Standards &
Service Design ✓ ✓
Agency Advisory Support
3. Police & Police & Security
Security
✓ ✓ ✓ ✓ ✓
4. Ext. Affairs & External Affairs & Customer
Customer Comm. Communications
✓ ✓ ✓ ✓ ✓
See Exhibit 7: RFP Structure Overview for additional detail.
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3.1. Task 1: Business Process Reengineering (BPR) & Management
Consulting
Functions and Agencies in Scope
The Consultant(s) will provide the MTA with business process reengineering services for the in-scope
functions based on the Category. A complete list of all functions to be centralized is outlined below:
Functions
Category 1 1. Finance
2. Procurement
3. Human Resources
4. Training
5. Labor Relations
6. Legal & Compliance
7. Diversity & EEO
8. Information Technology
Category 2 9. Engineering
10. Construction & Development
11. Safety, Health, & Environment
12. Operating Standards & Service Design
Category 3 13. Police & Security
Category 4 14. External Affairs & Customer

Communications
Other business process reengineering considerations:
• The MTA will lead additional areas of business process reengineering internally that are not part of
this RFP.
• Business process reengineering must account for any unit that is a critical interface or has a hand-off
with any MTA function.
Overview of Task
The Consultant(s) will conduct business process reengineering activities to further streamline, centralize,
and improve the effectiveness of key functions of work across the MTA. The MTA has outlined a high-
level future state organizational design for each of the in-scope functions. The organizational design
documents include a list of all in-scope functional families, capabilities, and processes, which are listed in
Section 9.
For each of the processes in scope, the Consultant(s) will work with key MTA stakeholders to conduct the
following activities:
• Develop a plan for business process reengineering activities, including verifying a list of areas /
processes requiring streamlining / improvement and prioritizing activities
• Document the current state processes, including identifying known pain points, gaps, redundancies,
and inefficiencies
• Conduct necessary stakeholder analysis and / or engagement of customers (e.g., Operating
Agencies, other business units) to evaluate and address the impact of all business process changes
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• Develop future state recommendations and redesigned processes to centralize, standardize,
streamline, and improve functions, as well as identify enhancements to existing technology systems
• Implement agreed-upon recommendations by rolling out the new processes, developing and
managing communication, change management and training activities, clarifying accountabilities, and
validating the effectiveness of these new processes.
As part of this work, the Business Partner role has been included in the future state model and is in scope
for all categories of this RFP. However, the responsibility for and placement of the role is still being
determined but will be a critical element of the Transformation and essential to adoption.
In carrying out business process reengineering efforts, the Consultant(s) will comply with Business
Process Management (BPM) standards established by the MTA and utilize the MTA’s Business
Capabilities Model (BCM), also referred to as the MTA Digital Business Model. The BCM represents a
digital blueprint of the entire enterprise architecture and is an electronic repository of processes (currently,
approximately 250 processes) across the organization including MTA Agencies and departments.
The Consultant(s) will use the BCM as an enterprise system of record for all future state business
processes supporting the Transformation. Standards and guidelines for using the BCM are included in
Exhibit 5, and additional material and guidance may be provided to the awarded Consultant(s) where
appropriate. The Consultant(s) will work closely in coordination with the MTA’s business architecture team
(under the Transformation Management Office) to ensure proper utilization and update of the model with
reengineered business processes, data, and system interfaces.
In addition to loading reengineered business processes into the MTA Digital Business Model, the
Consultant(s) will also be responsible for partnering with the MTA to upload the reengineered processes
into RSA Archer, the governance, risk, and compliance system used by the MTA to manage functions
related to Audit, Compliance, Risk, Business Impact Analysis (BIA), IT Security, and Third-Party Risk. The
RSA Archer system is based on several internal control standards including Committee of Sponsoring
Organizations (COSO); therefore, any reengineered business processes uploaded in RSA Archer must
be COSO compliant. To help streamline system updates so that both the MTA Digital Business Model
and RSA Archer reflect the processes of the new, reengineered MTA operating model, and one-time /
ongoing data entry efforts in two separate systems of record are reduced, the MTA may request that an
interface be built between the MTA Digital Business Model and RSA Archer to facilitate the flow of data
and ensure that business process information is consistent and up to date.
Guiding Principles
The guiding principles of BPR are:
• Standardize and simplify wherever possible: The aim of the BPR is to create standardized and
simplified methodologies across the consolidated functions to enable the organization to work in a
consistent way as “One MTA.” This includes identification of non-value add activities or process-
steps, as part of development of new, streamlined and efficient – without any disruption to core
operations or service delivery.
• Quality client service: While processes should be centralized and standardized, quality of service
and attention to Operating Agencies’ needs is paramount to ensuring effective delivery of MTA
services.
• Focus on efficiencies: As processes are being reengineered, the Consultant(s) should work with
MTA staff to identify where redundant or wasteful steps in the process can be eliminated and new,
innovative solutions can be implemented to save time and cost while providing quality services. This
may include coordination and / or consultation with the MTA HQ Lean Six Sigma Program team who
currently coordinates with Agency level teams that operate across the enterprise in implementing lean
/ efficiency projects at HQ and the Agencies (see Exhibit 6).
• Identify automation opportunities: The Consultant(s) should identify where there are heavy paper-
based processes or processes that could benefit from IT investment and / or enhancement and put
forth recommendations for automation and digitalization. To the extent possible, these
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recommendations should be coordinated with ongoing initiatives such as EAM and IT rationalization
programs.
• Leverage EAM framework: The MTA currently has in place an EAM framework comprised of the
MTA’s management system of policies, processes, systems, data, performance management and
benefits realization model and toolkit, including the BCM described above. The Consultant(s) will
work with the MTA to design processes in compliance with asset management principles and
leveraging the EAM framework, ensure that all newly designed processes are captured and stored in
the BCM, and comply with existing standards and guidelines established for business process
management.
• Focus on change management: This Transformation will require significant change at the MTA, and
staff will need to understand how these new processes will work and improve the functioning of the
organization. This project is extremely personal for MTA staff, and decisions and communications will
need to be thoughtful and managed respectfully as employees’ day-to-day job functions will be
changing. Acceptance and adoption of change will be a critical success factor for this effort, and the
Consultant(s) will be expected to manage the change from start to finish and apply leading practice
change management methodologies and techniques, beginning with an organizational change
readiness baseline assessment prior to commencement of Transformation Implementation activities.
Consultant Activities
The Consultant(s) activities in this task will include (but will not be not limited to):
• Develop plan for business process reengineering activities:

• Review and validate the proposed future state processes listed in Exhibit 5 for completeness
and recommend any additional key processes requiring reengineering, using the BCM as a
reference
• Develop a project plan and staffing plan to manage related tasks and deliverables
• Develop a change management and communications methodology, detailed approach, and
specific activities
• Document the current state:
• Document current state processes: The Consultant(s) will work with MTA staff to leverage
existing documentation on the current state, validating how processes are currently being
conducted across the in-scope functions and across the seven (7) Agencies. As needed,
validation will be done through review of existing documentation, conducting interviews,
stakeholder workshops, and possibly shadowing staff. The BCM will be used as the baseline
for this activity.
• Document current state technologies: The Consultant(s) will work with MTA staff to document
tools and systems that are currently being utilized within the in-scope functions across the
seven (7) Agencies. The Consultant(s) will identify current challenges, pain points,
automation opportunities, or modification needs by reviewing existing documentation and
conducting interviews and focus group discussions. For asset management-related functions
supported by EAM tools and technologies, this information is already documented in the
BCM.
• Document current data framework and processes: The Consultant(s) will work with MTA staff
to document reporting processes and data utilization protocols that support the overall MTA
reporting function and the in-scope functions across the seven (7) Agencies. The
Consultant(s) will identify current challenges, pain points, new data collection opportunities,
or retirement of obsolete or non-value-added data currently being collected through reviewing
existing reports and documentation, and by conducting interviews and focus group
discussions. For asset management-related functions supported by EAM tools and
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MTA RFP No. 0009000015
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technologies, this information is already documented in the MTA Capabilities Model, with
asset information standards already in place and available for reference.
• Assess staff locations: Evaluate staff locations and impact on communication / collaboration
• Provide best practices and industry expertise: The Consultant(s) will identify and leverage
best practices and industry standards when reengineering the processes to ensure optimal
design.
• Future State Recommendations:
• Refine future state plan: Develop process maps, with reengineered business process models
and identified process interfaces and touchpoints between functional groups in an MTA
prescribed format that is compatible with the EAM framework and BCM
• Update the operating model blueprint: Clearly outline how the MTA will function in the future,
with revised guidance around workforce analysis (i.e., through reengineered processes, the
approximate number of FTEs and desired skillsets to complete the work)
• Develop accountability framework: Use RACI (i.e., Responsible, Accountable, Consulted,
Informed) to clearly define responsibilities, accountabilities, interfaces, and hand-offs across
functions and Operating Agencies
• Develop resource management plan: Using evaluation of staff locations, designing future-
state structures and processes to facilitate communication / collaboration and strong resource
management
• Future state recommendations: Future state technology (short-term and long-term) change
recommendations, including key processes for technology enhancements or new systems,
and specific enhancements or modifications to PeopleSoft (if applicable)
• Develop business process recommendations: Create business process migration plan, plan
to test process changes, and key performance indicators (KPIs) for each process to measure
effectiveness
• Implementation:
• Document processes and procedures: Update existing process and procedures
documentation, roll out new processes and validate process effectiveness, and document
support during migration to new business processes
• Develop and maintain status documents: Create weekly status reports / dashboards
documenting progress of implementation, open and resolved issues, risks, and mitigation
measures; periodic Steering Committee presentations outlining key project updates,
challenges, and decisions required; and semi-annual project review documentation assessing
the effectiveness of the project, benefits realization and any required improvements
• Continuity of Service Plan: Develop clear, approved approach for implementation of each
reengineered process to ensure unbroken delivery of transportation services to the region’s
customers throughout the transformation process. (As applicable across all Categories, with
special consideration to any IT, HR, and Procurement)
• Document lessons learned: Create final lessons learned document outlining key lessons
learned from the implementation and recommendations for the future to ensure that change
can be maintained and continued
• Organizational Design Re-evaluation

• Support workload demand and staffing analysis / recommendations development (i.e., based
on reengineered processes / new IT capabilities)
• Refine resource skillsets and capabilities analysis / recommendations
Consultant Deliverables
The Consultant(s) will develop the following deliverables:
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MTA RFP No. 0009000015
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• Current State Documentation:
• Business process reengineering project plan and approach
• Current state detailed documentation of processes (including step-by-step processes with
owners identified) using the MTA prescribed format that is compatible with the EAM toolkit
and BCM
• Current state technology assessment of pain points, gaps, and redundancies
• Documentation of best practices
• Business process reengineering needs analysis, with identified state and federal regulatory
requirements and defined areas of improvement, redundancies, inefficiencies,
inconsistencies, and bottleneck points
• Future State Recommendations:
• Future state process maps, with reengineered business process models and identified
process interfaces and touchpoints between functional groups, in the MTA prescribed format
that is compatible with EAM toolkit and BCM
• Future state technology (short-term and long-term) change recommendations, including key
processes for technology enhancements or new technology
• Recommendations for specific IT enhancements or modifications to PeopleSoft (if applicable)
• Business process migration plan, including business continuity plan and implementation plan
to mitigate degradation in customer services
• Plan to test process changes
• Implementation Documentation:
• Updated process and procedures documentation
• Support during migration to new business processes
• Completed development and implementation of in scope process changes, in partnership
with Task 4 Change Management efforts
• Organizational Design Re-evaluation:
o Updated workload demand and staffing analysis / recommendations
o Updated resource skillsets and capabilities analysis / recommendations
3.2. Task 2: Technology Enhancements to PeopleSoft

The Consultant will provide the MTA with select technology enhancements to PeopleSoft for the in-scope
functions within Category 1.
Overview of Task
As part of this Statement of Work, the Consultant will be responsible for documenting and developing
enhancements to the PeopleSoft 9.2 platform, specifically for processes which support multiple Agencies
and are needed for standardization. Enhancements are any customizations to the delivered PeopleSoft
9.2 functionality including Reports, Interfaces, Conversions, Interfaces, or Workflows. These can add
functionality to existing modules, fix defects, increase processing speeds, or improve cross-platform
compatibility. Configurations are not considered enhancements. Specific needs will be identified through
the BPR phase of the engagement.
The total number of enhancements will be limited to 50. The Consultant should assume that these are all
high complexity enhancements. The Consultant, as part of its response, should provide typical hours by
complexity for each report, interface, conversion, enhancement, or workflow.
This list will be created from two sources:
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MTA RFP No. 0009000015
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1) Existing enhancements that have already been identified. This list can be found below. Note that
not all the enhancements on this list will be implemented. It is provided as an example of the types of
requests, and only a subset of this list may make it to the final list of no more than 50.
2) Enhancements identified as a result of BPR. The Consultant will identify and recommend additional
enhancements based on BPR activities as outlined above.
The Consultant will consolidate and prioritize the proposed enhancements based on business needs,
savings opportunities, level of effort, and complexity. The proposed list will be presented to the MTA IT
Steering Committee for approval. The Consultant will work to design, build, test, and implement the
selected enhancements. At the MTA’s discretion, these 50 high complexity enhancements may be
substituted for lower complexity ones, based on the total number of design/development and rollout hours
needed. For example, if a high complexity enhancement requires 1,200 hours of effort, MTA may
substitute that for five low complexity enhancements with 240 hours of effort each.
List of Example PeopleSoft Enhancements
NYCT procurement reporting dashboard
Contract Close Workbench (resolve open contracts via workbench)
Fluid Candidate Gateway
Implement position hierarchy across all Agencies (implement position
management for streamlining key HR functions)
Create a new audit trail report for Open Disciplinary Cases (reporting
request for disciplinary action tracking application)
PS Interactive Hub Analytics (custom tool to track functionality usage)
MaBSTOA Pension Auto Enrollment (automatic flagging of employees
based on their pension plan choice which would help in streamlining
deduction from paycheck)
Allocation of budgets across Agencies for procurement
Mapping of Fixed Asset Register to Infor Asset Inventory and Register
Randomization of resumes for high volume positions
Proposers can find addition information in Exhibits 3 and 4.
• Develop a master list of PeopleSoft 9.2 enhancement requests: The Consultant will create
this list from merging the existing PeopleSoft 9.2 enhancement requests with the items identified
during the BPR process.
• Prioritize and validate the list of enhancements: The Consultant will prioritize the list of
proposed enhancements and seek approval from the MTA IT Steering Committee.
• Design, build, test, and rollout prioritized enhancements: The Consultant will leverage MTA
development and documentation standards to collect requirements, design, build, extensively
test, and rollout the approved enhancements. This includes all functional and technical
documentation and test scripts. The Consultant will also be responsible for fixing defects
associated with these enhancements before and after the rollout (see “warranty period” below).
• Manage change: Develop and implement a change management plan and approach outlining
how change impact will be assessed, managed, and sustained over time.
• Provide support during the warranty period: The Consultant will provide warranty for 12
months for all the enhancements after the mutually agreed upon stabilization period.
• Transition the ownership of the enhancements to MTA: The Consultant will conduct transition
sessions to train MTA staff members on the functional and technical aspects of enhancements.
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MTA RFP No. 0009000015
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• Functional designs for the enhancements: Functional design documentation for the
enhancements for consolidated, prioritized, and approved list of enhancements
• Technical documentation: Technical design documentation for the enhancements
• Test scripts and testing results documentation: Test scripts and testing results for all
enhancements
• Transition documentation: Job aids and any other supporting documentation needed for the
MTA to effectively own and manage the enhancements on an ongoing basis. Change
management plan and implementation approach for managing change and communicating to
affected stakeholders
3.3. Task 3: Technology Systems Assessment & Requirements

The Consultant(s) will provide the MTA with select technology system assessments and requirements for
the in-scope functions based on the in-scope Category (i.e., Categories 1, 2, 3 and/or 4).
Overview of Task
As part of business process reengineering efforts (Task 1) or through other identified projects (Task 6),
the Consultant(s) will identify areas where a new application or a technology solution can either increase
productivity and / or lead to significant savings for the organization. The Consultant(s) will identify
recommended systems throughout the Transformation program and will develop high-level business
cases for a select number of these recommended systems, based on the Category:
• Category 1: 10 systems
• Category 2: 3 systems
• Category 3: 1 system
• Category 4: 1 system
Some of these new systems could include:
• Procurement – Vendor management system

• Human Resources – Human Capital Management (HCM) system
• Training – Learning Management System (LMS)
• Labor Relations – Discipline and grievance tracking system
• Legal & Compliance – Interface between RSA Archer and the MTA Digital Business Model
The expectation from high level business requirements for each of the enabling technology areas is as
follows:
• Focus on the business needs, and not solutioning on how they will be met
• Provide a comprehensive view of the expected functionality of the solutions and anticipated
benefits to the business
• Provide "must have" vs. "nice to have" requirements
• Incorporate feedback from MTA staff members and focus groups (if needed)
Guiding Principles
The guiding principles of this task are the following:
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MTA RFP No. 0009000015
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• Leverage existing tools and platforms as much as possible: The focus of the Transformation
is to better leverage the technology investments that the MTA has already made. As processes
are being standardized, utilization of these systems should also be standardized and augmented.
• Replacements and new systems must have a viable business case for savings: One
leading driver of the Transformation program is cost savings; therefore, a compelling business
case must be made for each proposed replacement or new system.
• Ensure alignment with the overall IT roadmap: Any new investments in technologies must be
aligned with the overall IT roadmap and have a clear return on investment (ROI) to increase
savings and wherever possible decrease the complexity of the IT landscape. Consultant(s) will be
provided with the MTA’s existing application portfolio to identify areas where existing technology
could be leveraged for use in different departments.
• Develop a consolidated list enabling technology opportunities: During the business process
reengineering projects, the Consultant(s) will identify processes and / or functions, where the use
of technology can streamline processes and / or increase the efficiency. These technologies
could be applications, solutions, tools, or platforms.
• Prioritize enabling technology opportunities with MTA IT Steering Committee: The
Consultant(s) will review the list of enabling technology opportunities with the MTA IT Steering
Committee and support the MTA in prioritizing them. Prioritization criteria may include savings
opportunities, complexity of implementation, broad use across the MTA, and overall costs. The
top opportunities will move to further assessment.
• Develop high-level requirements for the top enabling technologies: For the prioritized list of
enabling technologies, the Consultant(s) will develop high-level requirements. These will be
driven through interviews with stakeholders, discussions with focus groups, and review of
processes. There should be enough level of detail for further market analysis, but extensive
requirements gathering sessions / efforts will not be required at this point.
• Develop a market analysis of 4-6 leading products: Based on the high-level requirements, for
each of the top enabling technology areas, the Consultant(s) will conduct a market scan and
identify 4-6 leading products / solutions / applications in the market that satisfy the high-level
requirements. The market scan should include technical, functional, and cost comparisons of
these solutions, including maintenance costs and overall total cost of ownership if the solution is
adopted for implementation.
• Develop high-level business cases for the enabling technologies: If a new system is
required, the Consultant(s) will develop a cost-benefit analysis to define the return on investment
for the MTA. The Consultant(s) will highlight the need and benefits for the new technology for
each of the top enabling technologies, estimated including total cost of ownership for each
system.
• Develop a consolidated roadmap for all the enabling technology areas: The Consultant(s)
will review the market and business case assessments for the top enabling technologies with the
MTA IT Steering Committee and develop a sequenced roadmap for procurement and
implementation of these technologies at the MTA. This roadmap will be provided to the MTA TMO
for input (by MTA staff) into the IT systems component of the MTA Digital Business Model.
• High-level requirements of top-areas: High-level requirements for each of the top enabling
technology areas (as approved by the MTA IT Steering Committee)
• Market analysis and high-level business cases: Market analysis for each of the top enabling
technology areas. For each of the areas, the analysis should include the comparison of 4-6
options, and high-level business cases for each of the top 15 enabling technology areas. The
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business cases should include projected cost of the solutions, including upfront and ongoing
maintenance costs as well as potential savings and overall total cost of ownership
• Final recommendations and roadmap: Recommendations for prioritization and timeline for
procurement and implementation of the enabling technology solutions
• Continuity of Service plan: Develop clear, approved approach for all Task 3 Deliverables that
ensures unbroken delivery of transportation services to the region’s customers throughout the
transformation process
3.4. Task 4: Category-Specific Project Management & Organizational

Change Management
The Consultant(s) will provide the MTA with category-specific project management and organizational
change management services for the in-scope functions based on the in-scope Category (i.e., Categories
1, 2, 3 and/or 4).
Overview of Task
The Consultant(s) is responsible for conducting and coordinating all aspects of project and change
management related to the in-scope Categories and Tasks, in close coordination and with oversight from
the Transformation Management Office (TMO) and any related support but other vendor(s). All work in
this Task must be aligned with the MTA’s messaging, reporting, and goals. The Consultant(s) must use
consistent tools and templates, as guided by the TMO.
For project management, the Consultant(s) will conduct activities including, but not limited to, the
following:
• Project Planning: Develop project plan, schedules, budgets, and reports

• Budget Tracking: Track the budget and report on progress to the TMO
• Milestone Tracking: For all in-scope activities, the Consultant(s) will track how each initiative is
tracking to its project plan, track the status of meeting key milestones, and report up to the TMO
• Status Reporting: Provide progress reports against in scope activities and create regular and ad
hoc reports for the TMO and various stakeholders (CTO, Steering Committee, etc.)
For organizational change management, the Consultant(s) will conduct activities including, but not limited
to, the following:
• Coordinate with the TMO on all needed messaging to ensure alignment

• Draft communications for MTA leadership or TMO to share with MTA stakeholders and staff
• Develop visuals and / or promotional materials if needed to understand future state or other in
scope changes
• Coordinate with BPR efforts to develop all documentation, training plans, and training
approaches, as well as knowledge transfer documents
• Coordinate with the TMO on the identification of opportunities within resource management to
facilitate communication / collaboration within and across functions
• Roll-out training, supporting MTA with implementation services as needed
For change and project management, the Consultant(s) will create the following deliverables:
• Project plan / timeline and project reporting (e.g., to monitor status / tracking to milestones,
budget, and benefits realized, as well as ad hoc reports)
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MTA RFP No. 0009000015
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• Communications plan and materials for in scope Categories and Tasks
• Training materials, training schedule, and as-needed training implementation in support of
reengineered business processes and ensuring customers / key stakeholders (e.g., Operating
Agencies, other business units) are not adversely impacted
3.5. Task 5: Transformation Program Management Support and

Governance
In order to oversee the large, enterprise-wide Transformation effort, the MTA has developed a
Transformation Management Office (TMO) led by the Chief Transformation Officer (CTO). The
Transformation Management Office will be responsible for oversight across all the Transformation
program initiatives – both ones that are completed as part of this RFP, as well as ones that are managed
by the MTA internally. The Transformation Management Office will be responsible for program
management, communications, change management, enterprise business process management, and
tracking / reporting on benefits realization.
The MTA is currently staffing the Transformation Management Office and it expects for the Consultant
awarded under Category 1 to supplement and support the Transformation Management Office with
additional resources.
3.5.1.1. Support the Transformation Management Office
The Consultant will provide Transformation Program coordination and assistance throughout
implementation. The Consultant will develop program-specific work plan and coordinate with the other
engaged Transformation teams to oversee enterprise program management functions. The Consultant
will work with the MTA to stand up the TMO team which will coordinate, monitor and track all projects and
initiatives under the Transformation program. Critical activities will include:
• Support TMO mobilization: Under direction of the TMO, lead and/or support data
collection and program understanding, assess systems and tools requirements.
• Development of an MTA-wide Transformation program and communication plan:
Comprehensive program plan which includes the inventory of Transformation initiatives,
their timelines to completion, milestones, and dependencies with one another. As well as
a Communication plan and strategy developed in coordination with TMO.
• Development and management of Integrated Transformation program master
schedule: Create master schedule for the entire program, including but not limited to
financial process and document changes, internal and external stakeholder outreach,
required reporting. Establish consistent program requirements, produce project-specific
schedules based on FWG and agency project-level information and report on schedules,
establish resource loading, cost coding and other methods for reporting through key
performance indicators (KPI) consistently across program, identify upcoming deliverables
and plan for approvals needed to meet deadlines, and identify slippage and mitigations.
• Budget tracking: Tools and process to track the Transformation budget and progress
against the plan; the Consultant will monitor and report on Transformation spending. This
includes the following: establish and memorialize program budget, establish work
breakdown structures consistent with program requirements, and produce Weekly and
monthly Budget and Cost Reports for the entire program.
• Cost estimation: Provide independent cost estimates (where directed) and evaluate
estimates developed by other parties for consistency/accuracy and provide
recommendations to the TMO (where directed).
• Milestone tracking: To ensure that the program is on course, the Consultant will work
across the various streams of the Transformation program to monitor how each initiative
is tracking to its project plan and the status of meeting key milestones.
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• Status and progress reporting: Establish program-wide reporting and communication
protocols, develop tools and process to report on progress against the various
Transformation initiatives; reports should be tailored to serve interests of various
stakeholders (e.g., CTO, Steering Committee, MTA Board).
• Lead Document Control: Establish SharePoint based document management and
reporting system, develop document control and execution plan, provide training to
program participants related to use of the document management system and conduct
ongoing document collection, workflow management, auditing and reporting
• Conduct Risk Assessment and Oversee Management: Develop Risk Management
Plan (RMP), develop risk register, and lead ongoing risk reporting and mitigation in
support of TMO.
3.5.1.2. Implement and Manage a Benefits Realization Model Including Cost

Benefit Analysis and Return on Investment
The Consultant will work with the MTA to implement a benefits realization framework,
leveraging existing benefits realization frameworks (e.g., EAM), including a cost-benefit
analysis model to capture the costs associated and expended on the Transformation
program, as well as the benefits (both hard and soft) that can be expected with the
implementation of the Transformation program. Expected deliverables include payback
period, return on investment, and breakeven for each recommendation expected to cost over
an agreed upon threshold value.
The Consultant will also lead Benefits Realization management for the entire program,
including but not limited to monitoring process, change controls, internal and external
stakeholder reporting as required. This will include, but is not limited to:
• Establish Benefits Realization Framework and Monitoring/Reporting governance for

Transformation program projects
• Produce Project-specific estimates of benefits to be realized
• Implement One MTA key performance indicators (KPI) consistently across program
• Produce weekly and monthly schedule progress reports for steering committee and
MTA Board
• Identify Benefits Plan slippage and mitigations
3.5.1.3. Reporting and Dashboarding

The Consultant will work with the MTA to develop reporting and digital dashboards to
highlight key metrics associated with the Transformation program. The Consultant will also
work with the MTA to identify key performance indicators associated with the various efforts
and functions, and develop visual dashboards that can be updated regularly to capture key
elements of the program: progress / status, milestone tracking, budget, benefits realization,
etc. These reports will be for both internal as well as external (public) audiences. This is
likely to include, but is not limited to: weekly and monthly schedule progress reports for
steering committee and MTA Board, budget and expense reports, weekly and monthly
program-level reports , and preparation/update of weekly program-level PowerPoint
presentations for Steering Committee updates (may need to be updated more frequently if
major changes and additional external requirements occur or key deliverables are met).
• Transformation Management Office program plan, including tools and templates for
tracking
• Comprehensive Transformation budget and ongoing tracking
• Communications strategy and plan
• Benefits realization framework and governance
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• Continuous improvement plan
• Reports and digital dashboards, to monitor status / tracking to milestones, budget, and
benefits realized
• Risk register and Risk Management Plan (RMP)
3.6. Task 6: Other Identified Projects

The MTA has identified other projects as part of this RFP that are separate and apart from the services
and / or deliverables included in Tasks 1-5 and Task 7. These projects are summarized by Category
below. More detailed information on each project can be found in the detailed description of Category
sections that follow.
Category 1 – Support Functions
Finance
• Finance Project 1: Recommend and implement an integrated dashboard tool

• Finance Project 2: Transition from interagency invoices to paperless electronic transactions
• Finance Project 3: Overhead cost allocation approach
Procurement
• Procurement Project 1: Develop category management strategy

• Procurement Project 2: Optimize supply chain processes
• Procurement Project 3: Centralize vendor management process and system
• Procurement Project 4: Standardize contract management practices
Human Resources
• Human Resources Project 1: Feasibility assessment for an HCM system/modules

Training:
• Training Project 1: Feasibility assessment for a Learning Management System

• Training Project 2: Feasibility assessment for consolidating training courses and administration
Labor Relations
• Labor Relations Project 1: Feasibility assessment for discipline & grievance tracking system
Centralized IT Transformation
• IT Project 1: Conduct an application and infrastructure rationalization

• IT Project 2: Grow the MTA’s data management capability
Category 2 – Operational & Engineering Functions
Engineering
• Engineering Project 1: Develop research and innovation function

• Engineering Project 2: Establish center of professional excellence
• Engineering Project 3: Define enterprise standards, policies and guidelines
• Engineering Project 4: Reporting requirements
• Engineering Project 5: Audit and quality assessments
• Engineering Project 6: Asset information management alignment
• Engineering Project 7: Further develop future state model
Safety, Health, & Environment
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• SH&E Project 1: Contracted services rationalization
• SH&E Project 2: Further develop future state model
Category 3 – Police & Security
• Police & Security Project 1: Assess current state

• Police & Security Project 2: Develop future state model and identify key processes for
reengineering
Category 4 – External Affairs & Customer Communications
• External Affairs & Customer Communications Project 1: Consolidate web-based platforms

• External Affairs & Customer Communications Project 2: Further develop future state model
3.7. Task 7: Additional Consultant Support (as needed)

Throughout the lifecycle of this project, the MTA may require additional support from the Consultant(s) in
the form of organizational design, business process reengineering, change management and project
management. The scope of these activities may be for additional functions or Agency areas and will be
further defined at a later stage and can be contracted on a time and materials basis, as per the agreed
upon rate card.
4. Detailed Description of Category 1: Support Functions

4.1. Overview
The scope of Category 1: Support Functions includes all Tasks:
• Task 1: Business Process Reengineering (BPR) & Management Consulting

• Task 2: Technology Enhancements to PeopleSoft
• Task 3: Technology Systems Assessment & Requirements
• Task 4: Category-Specific Project Management & Change Management
• Task 5: Transformation Program Management Support & Governance
• Task 6: Other Identified Projects
• Task 7: Additional Consultant Support (as needed)
These Tasks apply to Support Functions, which include: Finance, Procurement, Human Resources,
Training, Labor Relations, Legal & Compliance, and Diversity & EEO.
The Support Functions Category also includes centralized IT transformation that involves two key
projects: i. Conduct an application and infrastructure rationalization, and ii. Grow the MTA’s data
management capability, which are outlined in the detail that follows.
The awarded Consultant will also be responsible for Task 5: Transformation Program Management
Support & Governance to assist the Transformation Management Office with enterprise-wide
transformation coordination and support, including leadership with plan / milestone tracking, budget
management, benefits realization, and dashboarding / status reporting.
Additionally, this Category includes on-call Agency advisory support. This advisory support will be
provided through Task 7: Additional Consultant Support to provide as-needed services to MTA’s six (6)
Operating Agencies and HQ.
Key qualifications for this Category include, but are not limited to:
• General management and business process reengineering experience

• PeopleSoft IT implementation capabilities
• Technology assessment and requirements gathering experience
• Application rationalization analysis and implementation qualifications
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• IT data management / governance and advanced analytics experience
• Project management and change management skills
• Deep experience in the in scope back-office / support functional areas
• Expertise with transportation agencies and organizations with union employees
Consultant should provide deliverable-based Cost Proposals for Tasks 1-6 and a rate card for Task 7.
The MTA will award a single (1) Consultant for this Category.
4.2. Finance
Context
All six (6) Operating Agencies and HQ currently employ staff dedicated to Finance function
responsibilities within their organizations. Treasury is already consolidated across all Agencies within HQ,
and the Business Service Center has consolidated processing of finance transactions for the MTA,
including payroll accounting, accounts payable, accounts receivable, treasury, asset management, and
project costing.
Number of Employees
Currently, approximately 680 positions have been identified within the Finance function.
Goal of the Transformation in Finance

The Finance function at the MTA will be focused on creating a centralized “single source of truth” focused
on recurrence, cadence, and leverage. While centralization of key processes is important, the MTA also
wants to maintain Agency leaders' appropriate delegation of authority that empowers them to make
tactical and timely business decisions within budget, in alignment with quality standards and client service
and is critical to the continuity of service.
Future State Organization

Family Capabilities
Accounting & • Revenue Accounting
Cost • A / P Reconciliation & Processing
• A / R Reconciliation & Processing
• General & Technical Accounting
• Fixed Assets & Inventory
• Systems Management & Reporting
Payroll & • Timekeeping Aggregation & Reconciliation

Timekeeping • Processing & Distribution
• Time & Expense Audit
Financial • Cash & Investment Management

Services • Finance & Debt Management
• Long-Term Investment Management
• Treasury Reporting
• Capital Funding Management
• Small Treasury
Operating • Financial Planning

Budget • Budget Management
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Family Capabilities
Analysis & • Revenue & Utilization Analysis
Forecasting • Systems Management & Reporting
Office of • Construction Oversight

Construction
Oversight
Procurement • This can be found in Section 4.3.
Finance Business Process Reengineering (Task 1)

Consultant will conduct all activities related to business process reengineering (Section 3.1.). Where
applicable, additional activities are provided below.
4.2.5.1. Finance BPR 1: Business process reengineering for Finance

Project description: Process reengineering across Finance function
Related processes: Detail provided in Section 9.1. for all Finance families and capabilities
Other Identified Finance Projects (Task 6)

4.2.6.1. Finance Project 1: Recommend and implement an integrated
dashboard tool
Project description: Recommend dashboards and reporting tools to allow for accessible, timely, and
accurate reporting; enable the Finance team to streamline and simplify recurring analytics and decision
support processes, and maximize time spent performing advanced analysis; set up access to standard
and tailored reports available on an as-needed basis.
Additional activities:
• Take stock of existing reporting tools and dashboards in Finance

• Identify needs for dashboards and opportunities for automation
• Recommend consistent / standard dashboard to be used across the MTA
Deliverables:
• Inventory and assessment of existing dashboards

• Recommendation on specific dashboard tool with cost / benefit analysis, specially tailored to
transit context and needs, and incorporating transit-specific KPI
4.2.6.2. Finance Project 2: Transition from interagency invoices to paperless

electronic transactions
Project description: Assess the current state of interagency invoicing processes and support the MTA to
transition to an electronic transaction to enable faster and paperless distribution of cost across Agencies.
• Collect a list of existing interagency transactions and organize them based on the level of
complexity and efficiency to determine which transactions should be prioritized for change
• Review the different existing options in PeopleSoft to re-distribute costs across Agencies and
recommend which solution would be most efficient given PeopleSoft’s configuration
• Demonstrate a proof of concept for the identified solution
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• Document the selected solution for future reference
Deliverables:
• Inventory of current interagency transactions

• Recommendation on solution for paperless interagency transaction processing
• Documented proof of concept for the solution
4.2.6.3. Finance Project 3: Overhead cost allocation approach

Project description: Propose a standard model and approach for allocating overhead cost for CT, NJ,
Amtrak, NYC, and Federal partners as well as costs of MTA central functions back to Agencies.
• Provide best practices on overhead allocations

• Recommend and develop an allocation model that will best support the MTA
Deliverables:
• Research on best practices for overhead allocation approaches

• Documented details for selected approach including guidance, policy paper and training materials
• Allocation model
4.3. Procurement
Context
All six (6) Operating Agencies and HQ currently have Procurement and supply chain functions for goods
and services within their organizations. Non-core procurements are consolidated within HQ, but core
procurements are still managed at the Operating Agencies. The MTA currently uses PeopleSoft for its
P2P processes. Some of the Agencies have material (supply chain) as part of their chains of command
within the Procurement department, but others have supply chain functions that sit elsewhere in the
Operating Agencies. Currently, Agencies operate both centralized and decentralized material warehouse
inventory management approaches and at least four (4) distinct warehouse management and inventory
management systems. Through the new EAM and Supply Chain Management System (SCM) programs,
the MTA is proposing to consolidate those systems into a shared software resource for all the Agencies
which will enable further consolidation of the material management functions and resources. While the
purchase and implementation of the EAM and SCM systems is not in scope of this RFP and the timing of
the EAM / SCM implementation may not coincide with the Transformation efforts, it is within the scope of
this RFP that the Consultant advise on best practices for material management and most effective
options for consolidation with or without the new system.
Number of Employees
Currently, approximately 1,300 positions have been identified within the Procurement function.
Goal of the Transformation in Procurement

The consolidated Procurement organization for the MTA will report to the MTA’s CFO and will create a
“savings culture” that permeates through the Agencies, while reducing turnaround time where possible.
Procurement is planning to realign resources to a Category Management strategy that supports on-going
contract and vendor management capabilities throughout the MTA (Procurement and the Agencies). To
achieve that, the organization needs to focus on business process reengineering and organization
redesign efforts with an emphasis on simplification and standardization. Furthermore, self-service using
the marketplace, auto sourcing, and Agency-based user-enabled contract releases for certain
procurements will be essential. The selected Consultant will advise Procurement function leadership on
future strategy, design of category management structure, organization design and process improvement,
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as well as support implementation of new processes. In order to provide a sound advice and
implementation support, the Consultant will be expected to have strong expertise and experience
supporting the consolidation of procurement functions, along with supply chain management and logistics
capabilities.

Scope of Future State Organizational Transformation: The future state Procurement will consist of the
following job families and capabilities:
Family Capabilities
Procurement • Procurement Strategy
Strategy & • Procurement Execution
Execution
Procurement • Procurement Operations, including: Policy & Procedures, Cost
Operations & Price Analysis, Bid Administration and MBE / WBE liaison
Support • Contract Management
• Vendor Management
• Reporting & Analytics
• Administrative Support
Material Planning • Forecasting & Demand Planning for all goods and services
• Inventory Management Strategy
• Supply Chain Control & Analysis
Material • Management of centralized and decentralized Distribution

Execution Centers
• Movement of Material and vendor direct deliveries
• Storeroom Management
Procurement Business Process Reengineering (Task 1)

Consultant will conduct all activities related to business process reengineering (Section 3.1). Where
4.3.5.1. Procurement BPR 1: Business process reengineering for

Procurement and Material lifecycle
Project description: Process reengineering across Procurement function
Related processes: Detail provided in Section 9.2. for all Procurement families and capabilities
Additional Activities:
• Process reengineering across Procurement on both C&D and operating side. Determine
if centralized Procurement will provide certain central support functions to C&D, such as
policy determination, MBE / WBE engagement, vendor management, etc.
• Analyze population of current C&D contracts and determine which contracts cover
design, maintenance, specialty management, and other categories. Based on the
analysis, determine which contracts in the future state will move to C&D and what will be
managed by centralized Procurement. Determine which sub-sets of construction and
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development contracts work will not be centralized within C&D (e.g. in-house track repair
program design and materials)
• Propose a standard approach for Small Business Mentoring across C&D
• Review current practices and recommend standard approaches for addressing different
legal requirements for the different Agencies from procurement, maintenance, and
operations standpoints (i.e., FRA / FTA requirements)
• Review current practices and recommend standard approaches for accounting for the
different levels of flexibility between union and non-union roles in procurement and supply
chain across the Agencies
• Review current practices and recommend standard approaches for conducting inspection
and testing of inventory and non-inventory material, such as rail, signals, or fuel
• Identify and assess opportunities to reduce turnaround time across all procurement types
• Other specific projects and activities as needed to support development of a best-in-class
Procurement function
Other Identified Procurement Projects (Task 6)

4.3.6.1. Procurement Project 1: Develop Category Management strategy
Project description: Realign Procurement resources to a Category Management strategy that
supports on-going contract and vendor management capabilities. Create a “savings culture”
that permeates through the Agencies, instituted through detailed and transparent savings
tracking and reporting.
• Recommend future state categories based on rigorous data analysis:
• Analyze data to define categories, including analysis of spend and commodities
data, inventory data, and existing contracts
• Group like categories
• Identify any gaps or discrepancies
• Recommend symbolization / common coding of inventory against proposed
categories:
• Analyze and match existing symbolization / codification of inventory against
proposed categories
• Identify any gaps or discrepancies
• Identify best practices for symbolization
• Develop approach, strategy, plans and structure for category management:
• Review and validate the category management strategy proposed in the
Transformation Plan and outline a precise approach and steps to transition to
category management structure and ensure that it is best in class. The proposed
approach will have a clear accountability framework delineating roles and
responsibilities of category managers and their interactions with Agencies
• The proposed approach will be supported by analysis demonstrating how the
new category management will save cost for MTA and it will outline standardized
processes for measuring and reporting on the cost savings.
• Review and recommend possible changes in internal policies and state
legislation to enable MTA procurement to be more agile, best-in-class and able to
function like a private sector organization
• Develop policies, manuals and training documentation, plans and approaches, as
well as knowledge transfer documents
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•Consolidate and enhance analytics and reporting capabilities including a
procurement dashboard showing work-flows, work-load details, contracts volume
and staffing needs to support management, aging reports, etc.
• Develop customer service / engagement standards and practices
• Define structure for engaging with Agencies and human resources required for
ensuring ongoing communications, Agency accountability, and proactive
planning in ordering
• Standardize and optimize the delegation of authority policy:
• Understand current delegation of authority policies across Agencies, experienced
issues, and risks
• Standardize and optimize a delegation of authority policy and a clear governance
structure to provide frontline Agency management with the ability to procure
needed materials and services within budgets
• Develop future state processes and performance measures to hold the Agency
personnel accountable for obtaining proper approvals
Deliverables:
• Future state categories based on data analysis and documented best practices
• Documented approach for symbolization of inventory against proposed categories
• Documented approach, strategy, plans, and structure for category management
including guidance and training materials
• Analytics dashboard for procurement
• Delegation of authority policy
4.3.6.2. Procurement Project 2: Optimize supply chain processes

Project description: Recommend best-in class policies, procedures and tools to optimize the
supply chain operations, including alignment with the planned implementation of an
Enterprise Asset Management System (EAM) and a Supply Chain Management System
(SCM).
• Review and standardize definitions of material:
• Determine and define parameters as to which material or goods should be
classified as inventory, non-inventory, just-in-time, and vendor managed, etc.
• Develop a recommendation for symbolization / common coding including
business case and initial plans for implementing common coding
• Review and recommend best-in-class supply chain planning systems and practices
for robust and dynamic management and oversight of the supply chain:
• Currently the Agencies operate at least four (4) distinct warehouse management
and inventory management systems. Through the EAM and SCM programs the
MTA is proposing to consolidate those systems into a shared software resource
for all Agencies which will enable further consolidation of strategic level material
functions and resources
• Procurement and implementation of the EAM and SCM systems is not in scope
of this RFP; however, the Consultant will be asked to engage with the EAM /
SCM implementation team to ensure proper design and optimization of supply
chain processes and alignment across the Procurement function. Note that the
timing of the implementation of EAM / SCM may not coincide with the
Transformation and the Consultant will be asked to consider the schedule of
EAM / SCM efforts to determine best future state design for the material function
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in the short-term (without a common EAM / SCM system) and long-term (with a
system in place), as well as assess potential challenges, risks, opportunities, and
savings.
• Assess current warehouse / storeroom operations, processes, and systems
across Agencies to identify common practices and gaps and recommend
relevant key supply chain performance indicators and dashboards
• Review and recommend best-in-class supply chain planning systems and
practices for robust and dynamic management and oversight of the supply chain.
This includes the capability to integrate information from warehousing,
procurement, maintenance and budget systems to facilitate the above-mentioned
oversight as well as to enable formulation of optimal supply chain strategies
• Define policies, procedures, and responsibilities for ordering inventory (storeroom vs.
central and procurement vs. planners):
• Define policies, procedures, and responsibilities for ordering inventory through
the issuance of PeopleSoft requisitions, either individually or through systemic
loads from the EAM program for critical and normal replenishments.
• Define policies, best practice procedures, and ownership / responsibilities for
inventory budget management across user departments and procurement.
• Review and recommend warehouse and supply chain strategies, policies, and
procedures, including but not limited to:
• Integrated and standardized material planning discipline including processes,
tools and integration with procurement and warehouse management
• Best in class warehouse equipment to optimize space and work efficiencies,
including, but not limited to, automated storage and retrieval systems, material
moving and handling equipment, automated kit production machines and direct
to user material dispensers
• Warehouse plant security systems upgrades and improvements
• Implementation and expansion of bar-coding / RFID and asset tagging solutions
for system-wide utilization
• Optimization systems to manage kit production and shipping operations
• Inventory stock catalog; recommendations should cover ownership and location
of catalog as well as inclusion of appropriate data
• Requisitioning parts from storeroom
• Determining excess and obsolete material
• Systems and processes to manage rotatable / repairable supply chain
• User-controlled inventory and movement
• Warranty management
• Align the material planner function across the Agencies
• Design future state practices for material planner function across the Agencies
Deliverables:
• Proposed standardized definitions of material based on data analysis and

documented best practices
• Documented assessment of current state warehouse / storeroom operations,
processes, and systems across Agencies to identify common practices and gaps,
and to recommend relevant key supply chain performance indicators and
dashboards
• Documented recommendations and options on best-in-class supply chain
planning systems and practices for robust and dynamic management and
oversight of the supply chain
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• Documented policies, procedures, and responsibilities for ordering inventory
• Documented strategies, policies, and procedures for warehouse and supply
chain management
4.3.6.3. Procurement Project 3: Centralize vendor management process and

system
Project description: Assess current state vendor management processes and system across
Agencies and recommend improvements including alignment on best practices for
background checks, best-fit new vendor management system or improvements needed for
PeopleSoft allowing for integrations with other tools and systems (inventory management,
project management, and Accounts Payable (A/P).
• Identify and assess existing databases and tools that track vendor records and
background check information:
• Identify and review existing databases that track vendor records, background
check information, and vendor stability checks
• Identify who owns these databases and how they are maintained
• Understand role of Finance and Procurement in management of these databases
• Identify and review manual processes and make recommendations for
technology solutions
• Outline a future state process for vendor management:
• Outline current state processes and identify gaps and redundancies
• Develop future state processes with clear owners and dependencies
• Make a recommendation for vendor management system (bolt on to PeopleSoft and
integrated with Inventory Management System):
• Review PeopleSoft capabilities and upgrades needed
• Ensure integration with Inventory Management System
• Make a recommendation on best-fit system for vendor management
Deliverables:
• Documented assessment of current state vendor management processes and tools

across Agencies
• Documented future state process for vendor management
• Recommendations on future state system / tool for vendor management including
technical specifications
4.3.6.4. Procurement Project 4: Standardize Contract Management practices

Project description: Standardize Contract Management (CM) practices and clearly delineate
the role of Contract Manager from Project Manager (PM).
• Identify and assess existing Contract Management practices and determine gaps:
• Create inventory of all contracts and determine owners and managers and
strategies for using them
• Create catalog of existing policies
• Understand existing best practices
• Research other best practices in the industry
• Clearly delineate the role of Contract Manager from Project Manager where they
currently reside and where they will reside in the future state:
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• Define the role of Category Manager vs. Project Manager
• Define procedures for engagement and collaboration between Category
Managers and Project Managers
• Develop policies, procedures, and training curriculum, plans, and materials for
Contract Management
• Develop future state policies and procedures for Contract Management in
collaboration with other key stakeholders: C&D, Engineering, Finance, EAM, and
others
• Clarify roles and interfaces with Finance including cost-effective procure-to-pay
process and invoice and voucher creation (electronic invoice data loading into
PeopleSoft) approvals, vendor file management, and vendor financial stability
checks
• Recommend enhancements to end user portal:
• Recommend an electronic end user portal for reconciliation purposes and future
Agency requests for service contracts with systemic data loads into the EAM
System for asset management
• Review current practices and tools when requests for work are to be performed
off existing contracts
• Recommend PeopleSoft enhancements to simplify procurement process and
allocation of budgets across Agencies
Deliverables:
• Documented current state assessment of Contract Management practices, existing
contracts, and current and best practices
• Documented research on industry leading practices for Contract Management and
Project Management
• Documented roles and responsibilities of Contract Management and Project
Management and their interaction
• Documented recommendations for enhancements to end user portal for contract
management
4.4. Human Resources

Context
Currently, Human Resources (HR) functions are highly decentralized, located at each Agency, and with
process components often owned and managed by different stakeholders. The system of record used to
support HR across Agencies is PeopleSoft. These disparate structures and processes – and gaps within
existing IT – contribute to several issues including duplication of services, inefficiencies due to handoffs,
limited HR analytics, and underinvestment in the MTA’s people. To advance the MTA’s strategic focus on
talent development and other critical people areas, the MTA will be consolidating efforts into a central HR
function, with a focus on attracting, retaining, and developing the talent essential to improve MTA service
delivery and business performance. This is a critical shift for the MTA and will enable it to have the right
talent focused on the right activities to deliver the right results for the organization.
Number of Employees
Currently, approximately 400 positions have been identified within the HR function.
Goal of the Transformation in HR

In order to truly align to the MTA’s strategic priorities and have a concerted focus on people development,
the MTA’s future state consolidates HR functions into a single, centrally-managed organization. The HR
function will report directly to the Chair and CEO and be able to share resources and skillsets to continue
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to promote and elevate a people-centric, consistent, “One MTA” culture. Moreover, HR in the future state
will deploy a talent strategy to guide staff recruiting and sourcing, a compensation philosophy to attract
and retain talent, a development plan to engage and grow staff, a case management model to reduce
costs, and an HR analytics strategy to inform leadership and program decision-making.

Scope of Future State Organizational Transformation: The future state HR function will consist of the
following job families and capabilities:
Family Capabilities
Talent • Forecasting and Planning
Acquisition • Talent Acquisition
• Pre-Employment
• Testing
HR Operations • HRIS
& Analytics • Case Management & Compliance
• Reasonable Accommodations
• Employee Call Center
• Analytics & Reporting
Org Design & • Org Strategy & Design

Development • HR Policy
• Performance Management
• Employee Engagement & Retention
• Talent & Success Planning
Rewards • Compensation
• Benefits
• Pension & Tax-Favored Programs
HR Business • To be determined (i.e., business partners acting as liaisons with

Partners Agencies and other centralized functions)
HR Projects Business Process Reengineering (Task 1)

4.4.5.1. HR BPR 1: Business process reengineering for Human Resources

Project description: Process reengineering across HR function
Related processes: Detail provided in Section 9.3., for all HR families and capabilities
Other Identified HR Projects (Task 6)

4.4.6.1. HR Project 1: Feasibility assessment for a Human Capital
Management system/modules
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Project description: Assess completeness of the HCM suite of modules to strengthen end-to-
end employee lifecycle oversight (e.g., modules for workforce planning, recruiting, talent
management, learning, compensation, benefits, performance management, etc.)
Related processes: Detail provided in Section 9.3., within Talent Acquisition, HR Operations
& Analytics, Org Design & Development, Rewards, and Training (which is addressed in the
following module)
• Conduct current state assessment of existing HCM capabilities (e.g., in PeopleSoft
and any other supporting HR systems) and perform gap analysis
• Perform research on HCM best practices and conduct product/vendor scan on
leading HCM systems/modules
• Develop cost-benefit analysis on pursuing a new HCM functionality/solution versus
enhancing PeopleSoft/existing technology and develop future state HCM
recommendation
• Coordinate with Task 3 activities to determine HCM inclusion (i.e., requirements
gathering, implementation roadmap)
Deliverables:
• Documented current state assessment of existing HCM capabilities (e.g., in
PeopleSoft and any other HR supporting systems) and gap analysis
• Documented research on HCM best practices and product/vendor scan on leading
HCM systems
• Cost-benefit analysis on pursuing a new HCM solution versus enhancing
PeopleSoft/existing technology and future state HCM recommendation
4.5. Training
Context
At the MTA today, Training is decentralized across Agencies and HQ, and there is significant variability in
terms of structures, processes, and systems. These disparate ways of managing, creating, delivering, and
analyzing training create opportunity for greater efficiency and quality outcomes. The goal for Training in
the future state is to support operational and development needs while delivering the best business value.
To reach this objective, Training will be structured as a “hybrid” model – with most capabilities
consolidated, but other critical capabilities localized, or retained, within Agencies. This model has been
designed to promote centralization of core training functions while allowing delivery of craft-specific
training to remain close to Operations. Through this design, the MTA aims to create efficiencies while
maintaining operational linkage, elevate training to a more strategic role in the organization, and identify
opportunities for short-, medium-, and long-term centralization.
Number of Employees
Currently, positions have been identified across the MTA as supporting the Training function. Exact
position count is not available at this time.
Goal of the Transformation in Training

In order to align to the MTA’s strategic priorities and transformation objectives, the MTA’s future state
consolidates Training functions into a hybrid organization with both centralized and decentralized
activities. Centralized Training activities will encourage the sharing of resources, best practices, and
technologies to strengthen talent and skill sets across “One MTA.” Decentralized Training activities will
allow for optimal training delivery as operational and regulatory needs mandate.
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Scope of Future State Organizational Transformation: The future state Training function will consist of
the following job families and capabilities:
Family Capabilities
Strategy & • Strategic Planning
Governance • Training Strategy / Governance
• Evaluation & Data Analytics
Content • Curriculum / Program Development
Development • Computer-Based Training (CBT) / Video Design
• Simulator Design & Management (localized)
Training • Craft / Title-Specific Training (localized)
Delivery • Credential-Specific Training
• Professional Development Training
• Safety Training
• Vendor-Delivered Training Oversight (also supported by Content
Development Family)
Service • Open Course Enrollment
Excellence • Scheduling & Logistics
Support • Service & Material Purchasing
• Record Keeping & Reporting
• Qualifications Monitoring (localized)
Training Business Process Reengineering (Task 1)

4.5.5.1. Training BPR 1: Business process reengineering for Training

Project description: Process reengineering across Training function
Related processes: Detail provided in Section 9.4. for all Training families and capabilities
Other Identified Training Projects (Task 6)

4.5.6.1. Training Project 1: Feasibility assessment for a Learning
Management System
Project description: Assess feasibility of implementing an improved LMS to strengthen
training enrollment, curricula, delivery, evaluation, analytics, recordkeeping, reporting,
purchasing, management, etc.
• Conduct current state assessment of existing LMS capabilities (e.g., in PeopleSoft
and any other supporting Training systems) and perform gap analysis
• Perform research on LMS best practices and conduct product / vendor scan on
leading LMS systems
• Develop cost-benefit analysis on pursuing a new LMS solution versus enhancing
PeopleSoft/existing technology and develop future state LMS recommendation
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• Coordinate with Task 3 activities to determine LMS inclusion (i.e., requirements
gathering, implementation roadmap)
Deliverables:
• Documented current state assessment of existing LMS capabilities (e.g., in
PeopleSoft and any other Training supporting systems) and gap analysis
• Documented research on LMS best practices and product/vendor scan on leading
LMS systems
• Cost-benefit analysis on pursuing a new LMS solution versus enhancing
PeopleSoft/existing technology and future state LMS recommendation
4.5.6.2. Training Project 2: Feasibility assessment for consolidating training

courses and administration
Project description: Assess feasibility of improving course offerings, enrollment, and delivery
as the new Training function is stood-up and operational
• Conduct current state assessment of the following areas and conduct a SWOT
analysis/identify gaps and improvement opportunities:
• Existing training courses
• Current training enrollment
• Current training delivery
• Perform research on training offering, enrollment, and delivery best practices, and
conduct scan on leading approaches/methodologies in comparable industries
• Create recommendations to enhance training offerings, course enrollment, and
training delivery
• Coordinate with Training Project 1 to determine system adjacencies / overarching
system capabilities to address identified gaps
Deliverables:
• Documented current state assessment of Training course offerings, enrollment,
and delivery, and synthesized gap analysis
• Documented research on Training course offerings, enrollment, and delivery best
practices/approaches in comparable industries, particularly within transportation
• Documented recommendations to improve Training course offerings, enrollment,
and delivery
4.6. Labor Relations

Context
All six (6) Operating Agencies and HQ currently have Labor Relations functions within their organizations.
The MTA coordinates with over 30 unions operating under hundreds of Collective Bargaining Agreements
(CBAs), each with distinct labor requirements, to oversee a highly-represented workforce. The Labor
Relations functions coordinate with unions to negotiate and administer these agreements, in addition to
managing all grievance, disciplinary, and investigation actions concerning represented employees. Today
Labor Relations also advises leadership and operating units on labor agreements and policies. To further
advance the Agency’s “One MTA” and efficiency objectives, the MTA will be consolidating Labor
Relations staff and activities into a central Labor Relations function.
Number of Employees
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Currently, approximately 130 positions have been identified within the Labor Relations function.
Goal of the Transformation in Labor Relations

The consolidated Labor Relations function will strategically pursue opportunities to enhance
standardization of the provisions of collective bargaining agreements and business practices across the
MTA. To achieve that, a focus on strategic planning, collaboration, and knowledge-sharing is essential.
The Consultant is expected to have strong expertise and past experience within the public sector and a
firm understanding of the nuances and complexities of labor relations and employee representation.

Scope of Future State Organizational Transformation: The future state Labor Relations function will
consist of the following job families and capabilities:
Family Capabilities
Collective • Labor Contract Administration & Development
Bargaining • Labor Contract Negotiations
Administrative • Grievance Hearings & Appeals

Trials & • Arbitration & Other Labor Litigation
Hearings / • Disciplinary Hearings & Appeals
Dispute
• Railroad Disciplinary Appeals
Resolution
Operational • Union Relations
Support & • Field / Management Relations
Advisement • First Stage Discipline & Grievances
Investigations • Pre-Trial Disciplinary Investigations

• Railroad Disciplinary Investigations & Hearings
• Employee Availability
Labor Relations Business Process Reengineering (Task 1)

4.6.5.1. Labor Relations BPR 1: Business process reengineering for Labor

Relations
Project description: Process reengineering across Labor Relations function
Related processes: Detail provided in Section 9.5., for all Labor Relations families and
capabilities
Other Identified Labor Relations Projects (Task 6)

4.6.6.1. Labor Relations Project 1: Conduct feasibility assessment for a
discipline and grievance tracking system
Project description: Assess feasibility of implementing a discipline and grievance tracking
system to improve case and financial management. This includes management of charges,
notices, statuses, records, and wage claims.
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• Conduct current state assessment of existing discipline and grievance tracking
capabilities (e.g., in NYCT PeopleSoft DAN) and perform gap analysis
• Perform research on discipline and grievance tracking best practices and conduct
product / vendor scan on leading systems/methodologies
• Create recommendations to promote data management / coding standardization to
enhance data integrity
• Develop cost-benefit analysis on pursuing a new discipline and grievance tracking
solution versus enhancing/expanding DAN and develop recommendation
• Coordinate with Task 3 activities to determine discipline and grievance tracking
system inclusion (i.e., requirements gathering, implementation roadmap)
Deliverables:
• Documented current state assessment of existing discipline and grievance tracking
capabilities (e.g., in PeopleSoft DAN, etc.) and gap analysis
• Documented research on discipline and grievance tracking best practices and
product/vendor scan on leading discipline and grievance tracking systems
• Documented recommendations to promote data management/coding
standardization to enhance data integrity
• Cost-benefit analysis on pursuing a new discipline and grievance tracking solution
versus enhancing DAN / existing technology and future state recommendation
4.7. Legal & Compliance

Context
Today, General Counsel Offices and Corporate Compliance (including Internal Controls) are spread
across the MTA Agencies, operating as generalists and subject-matter specialists; Risk & Insurance
Management is centralized within HQ. Structurally, Corporate Compliance and Risk & Insurance
Management have been independent functions, operating separately from (but in partnership with) the
General Counsel Offices. Currently, administrative processes can be cumbersome and fragmented, and
business process reengineering would greatly benefit areas such as claims management, vendor
payments, and records management. Process improvement and better usage of expert outside counsel
can also serve to improve cost containment and effectiveness.
Number of Employees
Currently, approximately 450 positions have been identified within the Legal & Compliance function.
Goal of the Transformation in Legal & Compliance

The future state Legal & Compliance function will be comprised of Legal, Corporate Compliance, and
Risk & Insurance Management. The Legal & Compliance function will report directly to the Chair and
CEO (with Corporate Compliance also having a dotted line to the Chair and CEO and to the Board) and
be able to share resources and skillsets across Agencies to improve efficiency and service delivery, and
continue to promote a strong and productive relationship between the MTA, its staff, and external parties.

Scope of Future State Organizational Transformation: The future state Legal & Compliance function
will consist of the following job families and capabilities:
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Family Capabilities
Legal • General Law

• Commercial Litigation
• Torts
• Construction
• Procurement & Contracts
• Labor & Employment
• Claims & Workers’ Compensation
• E-Discovery & FOIL
• Administration
• Real Estate
• Environment & Condemnation
• Finance & Pensions
Corporate • Enterprise Risk Management

Compliance • Compliance & Internal Controls
• Corporate Governance
• Ethics
Risk & • Risk Assessment

Insurance • Owner Controlled Insurance Program (OCIP)
Management • Loss Control, Claims, & Reporting
• Budget & Administration
Legal & Compliance Business Process Reengineering (Task 1)

4.7.5.1. Legal & Compliance BPR 1: Business process reengineering for Legal
Project description: Process reengineering across Legal family
Related processes: Detail provided in Section 9.6., for all Legal capabilities
4.7.5.2. Legal & Compliance BPR 2: Business process reengineering for

Corporate Compliance
Project description: Process reengineering across Corporate Compliance family
Related processes: Detail provided in Section 9.6., for all Corporate Compliance capabilities
4.8. Diversity & EEO

Additional detail may be provided through an addendum.
4.9. Agency Assistance: Advisory support to Agencies

As part of this project, additional services may be required to support the MTA’s Operating Agencies and
HQ. These services may be related to organizational design, workforce analysis, business process
reengineering, change management, project management, IT assessment, data analytics, or other areas
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pertaining to the Transformation as part of Task 7 (Section 3.7). These needs will be further defined at a
later stage and will be contracted on a Time and Materials basis, as per the agreed-upon rate card.
4.10. Centralized IT Transformation

Context
Currently, IT is centralized within HQ, but all Agencies have additional IT infrastructure and the
opportunity to further centralize IT applications. Each Agency also manages operating technology
responsible for the safe and reliable operation of rolling stock, such as trains and buses.
Number of Employees
Currently, approximately 960 people have been identified within the IT Function.
Goal of the Transformation in IT

The goal of the technology transformation is to elevate the role of IT to provide technology thought
leadership and engagement at a strategic level. The technology team will promote early engagement with
operations, as well as C&D, to support better planning and identify consolidation opportunities that
provide systems to service the entire MTA rather than individual Agencies.
Other Identified IT Projects (Task 6)

4.10.4.1. IT Project 1: Conduct an application and infrastructure rationalization
Project description: Building off the creation of a technology roadmap, the MTA will continue
to conduct the program of application and infrastructure technology rationalization that
optimizes the technology stack and modernization options. This program focuses on how
best to integrate and design future systems, move further towards shared platforms to
address the fragmented architecture, sunset legacy systems, and determine the need for new
tools and solutions.
• Build application and infrastructure inventory, including Operating Agency systems:
• Validate the application portfolio to include Operating Agency systems
• Analyze relevant documentation, including policies, procedures, and end-
user and developer training materials
• Develop a preliminary view of applications by business function with a
special focus on consolidation of applications with MTA IT and Operating
Agencies
• Assess Operating Agencies’ application and infrastructure portfolio:
• Develop an application questionnaire
• Compile information into an application information matrix or similar
document and integrate with the ServiceNow application portfolio
• Review application rationalization framework and as necessary:
o Develop scoring methodology and weighting framework based on overall
MTA IT roadmap, alignment to MTA strategic / business goals, and
alignment to MTA technology architecture, application complexity, and
cost considerations
o Create portfolio assessment template
o Score each application on variety of key quantitative and qualitative
indicators. A variety of data, metrics and KPIs will be determined for
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each application that aligns to the scoring methodology and weighting
framework
o Draft application scorecards and adjust based on stakeholder
discussions
• Identify any additional application redundancies, as well as the risk profile of
all the Operating Agency applications. Information may include applications
to upgrade, applications that are high cost for low utility, and opportunities for
improvement
• Provide an assessment of each Operating Agency application, as well as an
overall view of the application portfolio
• Conduct a fit / gap analysis
• Determine resources required to stand up capability
• Identify target state and develop roadmap:
• Finalize application scorecards, review previously identified target state of
each application, and revise as necessary
• Review the inventory of prioritized key initiatives to address any application
gaps / opportunities identified, and revise as necessary
• Determine and develop roadmap with recommended key initiatives MTA can
undertake to achieve the target state
• Draft future state recommendations, cost requirements, and implementation
plan
• Implement recommendations for no more than 40 applications. Recommendations
could include: upgrading or decommissioning identified applications or centralizing
/ consolidating applications previously hosted by Operating Agencies
Deliverables:
• Updated application inventory for Operating Agencies

• Application information matrix
• Individual application recommendations
• Rationale for applications recommended to be retired
• Portfolio assessment and recommendations
• Future state roadmap and implementation plan
• Implemented recommendations for no more than 40 applications
4.10.4.2. IT Project 2: Grow the MTA’s data management capability

Project description: The MTA has an abundance of data to support operations and has
recognized data as one of its most important assets. Building more robust data management
and data governance capabilities will provide a better view into the data ecosystem at the
MTA. An integrated data model will help the MTA operate more efficiently and provide more
transparency and access to new datasets that will be used to improve decision-making
capabilities.
• Develop MTA’s data governance and organizational models:

• Establish roles, responsibilities, and an accountability model to govern the
creation, use, and access of data
• Define governance model that enables business and IT to collaborate on the
governance of data assets
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• Formalize policies and procedures across all aspects of data management:
definition, architecture, access, security, and quality control
• Define metrics and KPIs to set goals and measure effectiveness of the data
management
• Develop centralized data management platform:
• Establish data inventory and classification method
• Establish a process to manage and maintain business metadata
• Establish common vocabulary, consistent understanding, and usage
between Operating Agencies, IT, and different functional groups
• Identify business owners for data and establish protocols and rules around
what degree of data access and privileges different users should have
• Build proof of concept data management platform with a select amount of data:
• Solution must be scalable to manage all of MTA’s data and coordinated with
other MTA efforts (e.g., EAM)
• Solution must include structured and unstructured data (including social
media data)
• Create set of objectives and outcomes, and identify scope for the proof of
concept
• Identify core components of the technology to allow for scaling in the future
• Components should include but are not limited to: security architecture, data
warehouse platform configuration, data ingestion, and ETL / ELT (Extract –
Transform – Load) tools configuration, self-service reporting tool
configuration, end-to-end smoke testing, and initial quality assurance review
• Create use cases and coordinate with available similar proofs of concept
projects that are ongoing under other Transformation initiatives (e.g., EAM)
• Source, cleanse, and standardize data sets
• Develop centralized analytics function:
• Develop a centralized function for generating analytical insights easily and
efficiently by correlating and aggregating data across Agencies
• Recruit and retain for specialized skills required
• Identify opportunities for employees with strong analytics skills to move into
data analytics team
• Determine process to manage requests from Operating Agencies and HQ
• Update existing trainings to meet analytics needs and / or develop training
courses that do not currently exist to support analytics work
• Identify opportunities to acquire MTA-wide software licenses necessary to
give analytics access
• Recommend and implement a cloud hosted Artificial Intelligence (AI) solution for data
analytics with four cases that have a direct positive impact on enhancing service
delivery; cases should include predictive and prescriptive analytics using data
aggregated from MTA and external sources
Deliverables:
• Enterprise data governance and ownership model

• Enterprise data governance policies and procedures
• Enterprise KPIs and metrics
• Cloud hosted environment and data repository (using open source to the extent
possible)
• Interfaces to source systems and data summarization and archival processes to
ensure planned data growth management
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• Configured AI tool for four fully developed use cases that have a direct, positive
impact on service delivery (suggest a Bus, Subway, and two commuter rail cases)
• Enterprise data inventory and glossary
• Recommendations on roles, responsibilities, and procedures for the central analytics
function
• Training courses to support staff
• Enterprise data management platform proof of concept
5. Detailed Description for Category 2: Operational &

Engineering Functions
5.1. Overview
The scope of Category 2: Operational & Engineering Functions includes Tasks:
• Task 1: Business Process Reengineering & Management Consulting

These Tasks apply to Operational & Engineering Functions, which include: Engineering; Construction &
Development; Safety, Health, & Environment; and Operating Standards & Service Design.
Additionally, this Category includes on-call Agency advisory support. This advisory support will be
provided through Task 7: Additional Consultant Support to provide as-needed services to HQ and the
Operating Agencies.

• Qualifications in design-build and capital project delivery leading practices
• Deep experience in the in-scope operational, maintenance, asset management, and engineering
functional areas
Consultants should provide a rate card-based Cost Proposal for this Category. The MTA plans to offer a
class award to approximately 2-4 Consultants. Subsequent task orders will be issued to awarded
Consultants to provide proposals for more specific, deliverable-based, and / or rate card-based services
aligned with the Category.
5.2. Engineering
Context
Currently, engineering standards, technical competency management, and asset management are not
centralized and are coordinated differently across the Agencies. Each Agency operates with different
standards, policies, and supporting systems. The centralized Engineering function will allow Agencies to
focus exclusively on day-to-day operations, maintenance, and safety while driving long-term value
creation across Engineering. This will be achieved via advisor-client-builder model. Engineering will act as
an “advisor” to the organization by driving innovation, overseeing enterprise-level engineering and whole-
lifecycle asset management across multi-dimensional and cross-functional lines, stewardship of overall
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technical strategy, standards and innovation, and promotion of centers of excellence in engineering and
asset management capabilities. The responsibilities of Engineering include:
• Driving professional excellence through resource and competency management

• Setting enterprise standards and policies to be adhered to across the organization
• Acting as a single point of contact on regulatory reporting on assets and technical standards
• Actively promoting and supporting innovation
• Fulfilling the role of independent advisor and technical authority to the MTA Chairman and
executive team
• Encouraging whole lifecycle management thinking and adoption of Asset Management best
practices (as described in ISO 55000) to maximize value derived from MTA’s $1 trillion asset
base by:
o Improving MTA’s buying power
o Optimizing asset performance and investment decisions
o Lowering overall asset acquisition, maintenance, and operational costs to achieve lowest
total cost of ownership for MTA assets
Agencies will be acting as a “client”, embracing centrally-set guidelines and policies to efficiently and
consistently provide the best service while offering subject-matter expertise (or SME) and niche technical
support.
Number of employees
Currently, approximately 1,390 positions have been identified within the Engineering function.
Goal of the Transformation in Engineering

The goal of the consolidated Engineering function is to drive the enterprise engineering vision through
innovation and best practice, empowering Agencies to deliver best-in-class engineering and customer
service. To enable this, Engineering should act as the advisor within the client-advisor-builder model by
setting and managing standards; ensuring they are properly followed; driving technical innovation; and
accelerating the implementation of the EAM program to proactively address engineering deficiencies and
ensure that performance requirements are met, reducing the total cost of asset ownership to the MTA. All
of this will be done with customer needs and requirements in mind.
Engineering will also align asset information management practices across the MTA to deliver consistent
data collection and enable data-driven decision-making capability. This will set the standards for asset
information management across the MTA, ensuring that different departments and Agencies across the
MTA are unified in their data capture methodology (e.g. Asset Valuation within Finance and Whole-Life
Cost within Procurement), and ensuring all data recorded and stored across the MTA is aligned,
integrated where practical, and of sufficient quality.

Scope of Future State Organizational Transformation: The future state Engineering function will
consist of the following job families and capabilities:
Family Capabilities
Research and • Engineering innovation research and opportunities within different
Innovation levels of readiness
• Establishing a culture of innovation through organization of
innovation competitions
• Liaising with Agencies and C&D to support pilots of innovative
ideas
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Family Capabilities
• Establishing and managing industry and private partnerships
Enterprise • Lifecycle Asset Management Strategy & Strategic Initiatives

Asset • Asset Management Systems & Processes
Management • Asset Information Architecture & Tools
• Continuous Improvement
Center of • Professional Excellence (Resource Management, Professional

Excellence Development, Benchmarking)
(CoE) • Enterprise Standards (Policies & Guidelines, Standards & Codes)
• Subject-Matter Expertise (Architecture, Mechanical,
Environmental, Structural / Civil, Electrical, Systems,
Communications, Signal & Train Controls)
Assurance & • Assurance & Quality Assessment

Audit • Regulatory Reporting
Engineering Business Process Reengineering (Task 1)

Consultant(s) will conduct all activities related to business process reengineering (Section 3.1.). Where
5.2.5.1. Engineering BPR 1: Business process reengineering for

Engineering
Project description: Process reengineering across Engineering function
Related processes: Detail provided in Section 9.6., for all Engineering families and
capabilities
Other Identified Engineering Projects (Task 6)

5.2.6.1. Engineering Project 1: Develop Research and Innovation family
Project description: Develop processes for research and innovation function to find and apply
innovative engineering solutions and products across the MTA
Related processes: Section 9.6., Research and innovation
• Understand existing initiatives and efforts

• Define vision and strategy, needs, and approval processes
• Directly interface with EAM program implementation team to identify strategic
initiatives and facilitate coordination with Agencies
5.2.6.2. Engineering Project 2: Establish Center of Professional Excellence

Project description: Develop professional excellence organization to establish career
progression guidelines and framework to manage competencies, and identify training needs
to build competencies
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Related processes: Section 9.6., Center of Professional Excellence
• Digitalize staff profiles, qualifications, and certifications

• Establish process for training, professionalism, and career milestones
• Review, define, and align competencies across the Engineering function
• Develop framework to manage competencies and career progressions
5.2.6.3. Engineering Project 3: Define enterprise standards, policies and

guidelines
Project description: Define enterprise standards, policies, and guidelines which will be
leveraged by Agencies to develop their operating procedures
Related processes: Section 9.6., Center of Professional Excellence
• Collate existing standard operating procedures (SOPs) and standards from Agencies
and perform gap analysis
• Develop process for addressing and prioritizing development needs of SOPs
• Develop process for collating and storing enterprise standards
• Establish standards, review and development methods, and governance
5.2.6.4. Engineering Project 4: Reporting requirements

Project description: Define and align reporting needs across Engineering, Agencies, and
interfaces, and act as a single source to report to external stakeholders.
Related processes: Section 9.6., Center for Professional Excellence, Assurance & Audit
• Define reporting needs and determine gaps against current reports

• Design and develop standard reports and reporting methodology
• Develop tools and record management capability to support reporting, facilitated by
EAM
5.2.6.5. Engineering Project 5: Audit and quality assessments

Project description: Provide governance and guidance to Quality Assurance and perform
audits to ensure quality and compliance
Related processes: Section 9.6., Assurance & Audit
• Identify quality and compliance requirements across Engineering and interfacing

functions subject to quality assurance / quality control
• Define internal audit methodology and quality guidelines
• Integrate consistent auditing methodology across Engineering, Agencies, and C&D
5.2.6.6. Engineering Project 6: Asset information management alignment

Project description: Align in-flight asset information management practices to the rest of the
MTA to deliver consistent decision-making capability. This in-flight asset information is
existing data about the MTA’s physical assets (e.g., condition, location, quantities, service
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life) and what is done with these physical assets (e.g., commission/decommission,
maintenance, inspection, overhaul). This information enables the MTA to make more
effective management decisions about its assets throughout their lifecycle, and allows for
better demonstration of regulatory and legislative compliance.
Related processes: Section 9.6., Enterprise Asset Management
• Directly interface and coordinate with EAM program team to identify standards to be
rolled out across the MTA, to ensure complete alignment of asset information
management and framework
5.2.6.7. Engineering Project 7: Further develop future state model

Project description: Build upon existing future state model by determining to-be organizational
structure (3-4 levels below Chief role), identify future state staffing levels using a data-driven
approach, determine key challenges and risks to implementation and develop mitigation
plans, and create an implementation plan to stand-up the new organizational model and
provide support to the MTA as-needed.
• Determine future state organizational structure (3-4 levels below Chief role), building
on existing (level 1-2) future state model structure
• Identify future state staffing levels using a data-driven approach (e.g.,
volume/transaction-based, benchmarking-based)
• Determine key challenges and risks to successful adoption of the future state
organizational model, and determine mitigation strategies (e.g., labor, co-location)
• Develop implementation plan to stand-up new organizational model and provide
support to the MTA on an as-needed basis (e.g., job descriptions, facility changes)
Deliverables:
• Refined future state model (3-4 levels below Chief role)

• Data-driven staffing levels
• Key challenges/risks and mitigation strategies
• Organizational stand-up implementation plan
5.3. Construction & Development

Additional detail may be provided through an addendum on additional functions within this category, such
as Construction & Development.
5.4. Safety, Health, & Environment

Context
Currently, Safety, Health, & Environment (SH&E) has some level of centralization within HQ providing
oversight. However, the policy and planning functions, as well as reporting and response functions, are
not centralized, and report to different parts of the Agencies and at different levels. At each Agency, these
groups operate with different standards, policies, and supporting systems. The centralized SH&E function
aims to establish a Safety Management System (SMS) that would align Agency and business unit safety
goals, processes, and operations around a common framework that complies with industry standards. A
safety management system is a comprehensive management system designed to integrate safety as a
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business function. The elements of SMS supporting continuous improvement include policy, risk
management, assurance, and promotion.
Number of Employees
Currently, approximately 540 positions have been identified within the Safety, Health, & Environment
function.
Goal of the Transformation in Safety, Health, & Environment

In order to truly align to the MTA’s strategic priorities, the MTA’s future state consolidates critical functions
into a single function centrally managed to ensure consistency and optimize resources. The SH&E
function will report directly to the MTA Chair and CEO, and be able to share resources and skillsets,
continuing to promote and integrate safety into the culture at the MTA.

Scope of Future State Organizational Transformation: The future state SH&E function will consist of
the following job families and capabilities:
Family Capabilities
Homeless • Outreach Support
Outreach • Encampment Removal
Occupational • Clinical Services

Health Services • Medical Standards & Compliance
• WorkLife Services
• Medical Administration
• Drug & Alcohol Program
• Information & Support
Strategic • Quality Assurance & Major Investigations

Planning & • Policy & Planning
Policy • Data Information & Analytics
• Reporting
• Strategic Initiatives
Safety • Risk Management

• Assurance
• Promotion
Environment • Operations & Maintenance

• Capital Projects Review & Oversight
Emergency • Readiness & Resiliency

Management • Emergency Training & Exercise
• Emergency Response
• GCT / ESA Fire Brigade Response
Safety, Health, & Environment Business Process Reengineering

(Task 1)
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Consultant(s) will conduct all activities related to business process reengineering (Section 3.1). Where
5.4.5.1. SH&E BPR 1: Business Process Reengineering for Strategic Policy

& Planning
Project description: Process reengineering for the Strategic Policy & Planning family to
provide support and resources to meet the needs of all families within SH&E
Related processes: Section 9.7., Strategic Policy & Planning, as it supports all Families under
SH&E and interfaces with other Functions
5.4.5.2. SH&E BPR 2: Business Process Reengineering for Safety

Project description: Process reengineering for Safety, including Risk Management,
Assurance, and Promotion capabilities. These capabilities comprise the pillars in the MTA’s
Safety Management System
Related processes: Section 9.7., Safety, including Risk Management, Assurance, and
Promotion capabilities
5.4.5.3. SH&E BPR 3: Business Process Reengineering for Emergency

Management
Project description: Process reengineering for the Emergency Management family
Related processes: Section 9.7., Emergency Management, with a focus on the Emergency
Response capability
Other Identified Safety, Health, & Environment Projects (Task 6)

5.4.6.1. SH&E Project 1: Contracted services rationalization
Project description: Inventory contracted services, identify optimization opportunities, and
estimate potential savings across all work within the SH&E function
Activities:
• Gather and analyze inventory of contracts and vendors for SH&E across the various
Agencies
• Develop recommendations on where contracts and vendors can be consolidated,
including cost savings analysis
• Conduct vendor/market scan to identify costs savings
Deliverables:
• Catalogue of contracted services, including contract details and costs

• Rationalization recommendations, with risks, considerations, timeline, and estimated
savings
5.4.6.2. SH&E Project 2: Further develop future state model
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• Identify future state staffing levels using a data-driven approach (e.g., volume /
transaction-based, benchmarking-based)
Deliverables:

5.5. Operating Standards & Service Design

Additional detail may be provided through an addendum on additional functions within this category, such
as Operating Standards & Service Design.
5.6. Agency Assistance: Advisory support to Agencies

As part of this project, additional services may be required to support HQ and Operating Agencies. These
services may be related to organizational design, workforce analysis, business process reengineering,
change management, project management, IT assessment, data analytics, or other areas pertaining to
the transformation as part of Task 7 (Section 3.7). These needs will be further defined at a later stage and
will be contracted on a time and materials basis, as per the agreed-upon rate card.
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6. Detailed Description for Category 3: Police & Security
6.1. Overview
The scope of Category 3: Police & Security includes Tasks:

These Tasks apply to the Police & Security function.

• Deep experience in the police and security field
• Qualifications in organizational assessment and design for police and security departments
Proposers should provide deliverable-based Cost Proposals for Tasks 1, 3, 4, and 6, and a rate card for
Task 7. The MTA will award a single (1) Consultant for this Category.
6.2. Police & Security

Context
Today, all six Operating Agencies and HQ have security functions within their organizations. Agency
Chiefs of Security report to Agency Presidents and MTA’s Chief of Police / Chief Security Officer (CoP /
CSO also oversees the MTA Police Department and HQ Security, with close coordination to Agency
work. Agencies have a mix of in-house and contracted guard services supporting security and B&T
employs a force of Peace Officers. Centrally, MTA Security leads the Threat Vulnerability Risk
Assessment and oversees Department of Homeland Security Grant Funding, with strong coordination
with Agencies.
Number of Employees
Future state model is not yet developed.
Goal of the Transformation in Police & Security

The Police and Security functions at the MTA will be focused using the MTA’s vast expertise and
resources to establish the most effective, best in class police and public transportation security function in
the world in order to deter, detect, interdict, and respond to adversaries across the threat spectrum and
ensure safe passage of riders.

Scope of Future State Organizational Transformation: The future state of the current Police and Security
functions requires additional assessment by the selected vendor to inform the design of the future state.
Police & Security Business Process Reengineering (Task 1)
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6.2.5.1. Police & Security BPR 1: Business process reengineering for Police
& Security
Project description: After the completion of Project 1 (6.2.6.1) and Project 2 (6.2.6.1), process
reengineering across Police & Security function in support of consolidated model (pending
MTA approval of Section 6.2.6.2 deliverables) and / or in support of consolidation of other
functions interfacing with this function.
Related processes: Detail to be developed as part of Section 6.2.6.2.
Other Identified Police & Security Projects (Task 6)

6.2.6.1. Police and Security Project 1: Assess current state
Project description: Assess current state of Police and Security function across the MTA,
conduct organizational best-practice benchmarking, validate current state assessment with
key stakeholders and the MTA leadership, develop recommendations for consolidation of this
function to optimize effectiveness efficiency, incorporate new policy changes (e.g., expanded
focus on fare evasion), and ensure continuity of MTA’s Threat and Vulnerability Risk
Assessment work to meet the MTA’s safety goals, as well as those in New Criminal Justice
Reform for January 2020 (as applicable).
• Confirm transformation goals for Police & Security and update as needed
• Assess and document current operating model with personnel headcount, types,
skillsets, and costs
• Develop current organizational charts by Agency, inclusive of locations, as well as
represented, non-represented, and contractor roles
• Identify current and future process gaps and redundancies (if any)
• Identify commonalities / differences in operations, processes, and skills required
across each Agency
• Identify levels of specialized knowledge and support required within Agency
operations and if these skills may be transferable within a centralized operation or are
best retained in each Agency
• Identify any existing KPIs or metrics used by each Agency
• Conduct best practice research and benchmark current MTA operations against best-
in-class transportation police and security metrics
Deliverables:
• Current state assessment, including summary of all findings from activities above
6.2.6.2. Police and Security Project 2: Develop future state model and
identify key processes for reengineering
Project description: Using the stakeholder inputs and data gathered in the current state
assessment (Section 6.2.6.1), the vendor will develop recommendations, grounded in
industry best practices, to outline a strategy that the MTA should consider to maximize
effectiveness, streamline operations, and improve safety and security across all operations. It
is expected that the Consultant would propose up to three (3) options for the MTA, which take
into consideration the complexity and time needed to execute them. Each recommendation
should lead to direct and measurable cost savings for the MTA.
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• Conduct cost-benefit analysis for each recommendation (in combination or

standalone, as applicable)
• Develop high-level business process inventory
• Create a preliminary schedule for implementation, inclusive of transition and
calibration to steady state
• The MTA expects the Consultant to apply and consider the following practices during
this phase:
o Executive visioning sessions
o Opportunity assessment
o Gap analysis (e.g., personnel, facilities, technology)
o Leading practices and benchmarking analysis
o Prioritization framework (objective and improvement-driven)
Deliverables:
• Future state model(s) – up to three (3) options (to be determined with the MTA)
• Cost-benefit analysis for models
• Business process inventory (to be used in Section 6.2.6.2)
• Implementation timeline
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•
7. Detailed Description for Category 4: External Affairs &

Customer Communications
7.1. Overview
The scope of Category 4: External Affairs & Customer Communications includes Tasks:
These Tasks apply to the External Affairs & Customer Communications function.
• Technical expertise in multichannel marketing strategies and digital design and development
(e.g., web, app, social media)
• Channel management and optimization (e.g., content analytics, web, social, digital screens)
• Deep experience in market research and advanced customer data analytics
• Qualifications in vendor management and contract management optimization
• Experience with transportation agencies and organizations with union employees
Consultants should provide deliverable-based Cost Proposals for Tasks 1, 3, 4, and 6, and a rate card for
Task 7. The MTA will award a single (1) Consultant for this Category.
7.2. External Affairs & Customer Communications

Context
Currently, the External Affairs & Customer Communications function is highly decentralized across MTA’s
Operating Agencies, with the exception of Government & Community Affairs and Media Affairs, which are
primarily located within HQ. Sales & Promotions, Special Events, Multichannel Marketing, Market
Research & Customer Analytics, and Customer Contact Centers are located at each Agency with
different operating models, processes, systems, and standards. These disparate ways of doing business
have led to disjointed messages to customers and external stakeholders, duplication or redundancy of
services, limited customer research and analytics, and sub-optimization of leading multichannel marketing
and more traditional customer service tools. To further align with the MTA’s strategic principles (centered
around enhancing the customer experience and delivering a clearer and more consistent message to
customers), the MTA will establish a new, consolidated External Affairs & Customer Communications
function.
Number of Employees
Currently, approximately 340 positions have been identified within the External Affairs & Customer
Communications function.
Goal of the Transformation in External Affairs & Customer

Communications
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In order to truly align to MTA’s strategic, customer-centric priorities, the MTA is consolidating these critical
functions into a single function that is centrally managed. The EA&CC function will report directly to the
MTA Chair and CEO and be able to share resources and skillsets to promote an enhanced customer
experience and communicate with a single, “One MTA” voice across signage, station announcements,
social media, and more.

Scope of Future State Organizational Transformation: The future state External Affairs & Customer
Communications function will consist of the following job families and capabilities:
Family Capabilities
Sales & • Promotional Events
Promotions • Promotional Sales
• Private Partnerships
Multichannel • Strategy
Marketing • Design
• Content
• Print
Market • Market Research

Research & • Customer Data Analytics
Customer
Analytics
Customer • Customer Information Systems
Contact Center • Email & Correspondence
• Telephone Call Center
• Social Media & Web
• Signage & Audio Announcements
• Lost & Found
Government & • State

Community • Local
Affairs • Federal
• Community / Events
Media Affairs • Media Liaisons

• Speech Writing
External Affairs & Customer Communications Business Process

Reengineering (Task 1)
Consultant(s) will conduct all activities related to business process reengineering (Section 3.1.). Where
7.2.5.1. External Affairs & Customer Communications BPR 1: Business

process reengineering for Sales & Promotions; Multichannel Marketing;
and Market Research & Customer Analytics
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Project description: Process reengineering for Sales & Promotions, Multichannel Marketing,
and Market Research & Customer Analytics families
Related processes: Section 9.9., Sales & Promotions, Multichannel Marketing, and Market
Research & Customer Analytics
7.2.5.2. External Affairs & Customer Communications BPR 2: Business

process reengineering for Government & Community Affairs and Media
Affairs
Project description: Process reengineering for Government & Community Affairs and Media
Affairs families
Related processes: Section 9.9., Government & Community Affairs and Media Affairs
Other Identified External Affairs & Customer Communication

Projects (Task 6)
7.2.6.1. External Affairs & Customer Communications Project 1: Consolidate
web-based platforms
Project description: Consolidate and develop a strategy for web-based platforms
(external websites, mobile apps) and social media to support the MTA’s goal of achieving
“One MTA” voice and single source of truth. This work must be done in coordination to
complement existing MTA efforts to centralize publication of customer communications.
• Evaluate existing web-based platforms (e.g., content, access, use, design)

• Identify gaps and areas for reengineering or redevelopment
• Create a strategy and cost-benefit analysis for future state web-based platforms
and social media (e.g., Instagram, twitter, Facebook)
• Develop a detailed implementation plan
• Re-design and rationalize web-based platforms (external websites, mobile apps,
social media tools including Meltwater)
• Establish web-based platform performance standards
• Develop and implement tools to measure performance against goals
Deliverables:
• Assessment of web-based platforms, building off existing work

• Strategy and recommendations for to-be web-based platforms
• Web-based platform re-design and rationalization / go-live
• Methodology and tools to evaluate web-based platform performance
7.2.6.2. External Affairs & Customer Communications Project 2: Further

develop future state model
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• Identify future state staffing levels using a data-driven approach (e.g.,
volume/transaction-based, benchmarking-based)
• Through business process reengineering, support the MTA with determining how
Lost & Found items will be stored and transported throughout the territory
Deliverables:

8. Deliverables Description
For a full list of deliverables, see Sections 3.1.5., 3.2.4., 3.3.5., 3.4.4., 3.5.2, and 3.6 above. Other
deliverables may arise from Tasks 6 and 7.
8.1. Deliverable Acceptance

All deliverables must be submitted to the MTA for review and approval or rejection. The MTA will
designate a Project Manager from the Transformation Management Office who will be responsible for the
review and acceptance of the Consultant’s deliverables on behalf of the MTA. Deliverable acceptance will
be in accordance with the following:
• Deliverable Submission: The Consultant(s) will submit an email to the designated Project
Manager, indicating the services that were completed and providing a copy of completed
deliverables on a weekly basis.
• MTA Review and Acceptance: The Project Manager will review and provide feedback within four
(4) business days of deliverable submission. The count of business days will begin on the first
business day following the MTA’s receipt of deliverable submission. The Project Manager will
provide email notification of:
• Deliverable acceptance within four (4) business days
• Detailed rationale for non-acceptance, including additional edits and / or updates
requested based on this Statement of Work within four (4) business days
• If the Project Manager still deems the deliverables unacceptable after the Consultant’s
revisions, deliverable acceptance will be escalated to the MTA Transformation Steering
Committee for further evaluation
• If no reply is provided by the Project Manager within four (4) business days, the
Consultant(s) will send a follow up email and the MTA Project Manager shall be given an
additional three (3) business days to advise on deliverable acceptance or non-
acceptance
• Consultant Revisions: The Consultant(s) will have two (2) business days (or other mutually
agreed upon period between the Consultant(s) and the Project Manager) to complete requested
updates and revisions. The count of business days will begin on the first business day following
the Consultant’s receipt of the Project Manager’s written statement of requested updates.
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9. Additional Detail: MTA Functions, Families, and
Capabilities
The following section outlines the function, family, and capability detail. Estimated level of effort is
included to help indicate the directional amount of effort required for business process design but may be
subject to change.
Rows that are highlighted in grey are not considered in scope for the purposes of this RFP; they are
simply listed for reference purposes only.
9.1. Finance
Function Overview
Finance oversees MTA accounting and financial analysis. The scope of work in the Finance function
includes Accounting & Cost, Payroll & Timekeeping, Financial Services, Operating Budget Analysis &
Forecasting, and Procurement. In the future state, the Finance function will also include a team of
Finance Business Partners* that collaborate with Agency leaders to plan Agency finances.
*The Business Partner role will be included in the future state model / is in scope for this RFP. However,
the responsibility for and placement of the role is still being determined.
Finance Families and Capabilities

Family Family Definition Capability
Accounting & Manages accounting and • Revenue Accounting
Cost payments, including A / P and • A / P Reconciliation & Processing
A/R • A / R Reconciliation & Processing
• General & Technical Accounting
• Fixed Assets & Inventory
Payroll & Payroll & timekeeping • Timekeeping Aggregation & Reconciliation

Timekeeping • Payroll Processing & Distribution
• Time and Expense Audit
Financial Responsible for MTA treasury • Cash & Investment Management

Services functions, debt management • Finance & Debt Management
and capital funding • Long-Term Investment Management
management
• Treasury Reporting
• Capital Funding Management
• Small Treasury
Operating Budget Analytics and forecasting for • Financial Planning

Analysis & operating budget • Budget Management
Forecasting • Revenue & Utilization Analysis
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Office of Construction Oversight • Construction Oversight (TBD: Engineering
Construction decision)
Oversight
Procurement Procurement function will

report to CFO. This is
covered separately in another
section below.
Finance Family: Accounting & Cost

Family Description
Manages accounting and payments, including A / P and A / R
Capability Capability Process Areas Estimated Level of
Definition Effort for BPR
Revenue Conducts • Revenue accounting and Medium
Accounting accounting and reconciliation
reconciliation of • Monthly close and reporting
revenues, grants • Monthly statement of station
and subsidies and
agents’ liabilities
performs monthly
close and reporting • Refund processing and
chargebacks (e.g., ADL 6009
processing)
• Surplus transfer
A/P Reconciles and • Invoice processing and Low

Reconciliation processes accounts reconciliation
& Processing payable, including • Payments / disbursement
invoice management
reconciliation and
• A / P match exception reports
disbursement
management • Capital invoice contract reviews
and approval
• Travel approvals and processing
• Sales tax filings
• Retainage approval and release
• Invoice analysis (e.g., utilities,
refuse)
A/R Manages billing and • Billing and collection management Low

Reconciliation collection, • Accounts receivable reconciliation
& Processing reimbursements and reporting
and work order • Deposits, reimbursements, and
maintenance
refunds processing
• Bad debt reserve and dishonored
check system and reporting
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• Work order maintenance
General & Maintains chart of • Chart of accounts maintenance Medium

Technical accounts and • Monthly accounting close
Accounting conducts monthly • Financial statements
accounting close.
• Disclosure preparation
Generates financial
statements and • Overhead and fringe benefit rate
disclosures and calculation
maintains • Accounting policy
accounting policy
Fixed Assets Performs fixed • Capitalization and depreciation Medium
& Inventory asset accounting accounting
• Write-offs of projects; retirements;
FTA assets
• Inventory accounting and analysis
• Project accounting – aggregates
and reconciles the values of the
many Capital Projects
Systems Maintains • Finance systems and data Low

Management databases and management
& Reporting systems of record • Other reports
and supports
production of
reports
Finance Family: Payroll & Timekeeping

Family Description
Reconciles, processes, distributes, and audits payroll and timekeeping
Capability Capability Definition Process Areas Estimated

Level of
Effort for
BPR
Timekeeping Aggregates and • Collection and aggregation of High
Aggregation & reconciles timesheets timekeeping information
Reconciliation against other systems • Timesheet accuracy checks and
of record. Review and reconciliations
ensure accuracy of
• Process timekeeping files
timekeeping records
for all employees
Processing & Processes payroll and • Payroll calculations including Low
Distribution distributes pay to withholding
employees • Paycheck distribution or electronic pay
orders execution
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• Payroll reporting, filings, and record
management
Time & Conducts audit of time • Time and expense audit Low
Expense Audit and expenses
Systems Systems management • Systems management and reporting Low
Management
& Reporting
Finance Family: Financial Services

Family Description
Responsible for MTA treasury functions

Level of
Effort for
BPR
Cash & Manages portfolio of • Cash flow management Medium
Investment cash and investments, • Forecasting and liquidity analysis
Management including forecasting • Treasury accounting
and liquidity analysis.
• Investment management
Performs treasury
accounting, capital • Capital fund reconciliation
fund reconciliation and • Accounts maintenance
account maintenance
Finance & Manages portfolio of • Financial planning and budget Medium
Debt debt and financial development
Management instruments, including • Access capital markets to raise funds
funding analysis and • Investor relations and rating Agency
accounting, and lender
management
and credit rating
Agency relationship • 15c2-12 disclosure compliance
management • Bond covenants compliance
• Board reporting
Long-Term Performs funding • Funding analysis and accounting Medium

Investment analysis and provides • Pension investor advisor oversight
Management oversight over Pension • Captive insurer investment oversight
Investor Advisor and
Captive Insurer
Investment
Treasury Reconciles and reports • Treasury reporting Low
Reporting on treasury funds • System management
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Capital Capital Funding • Funding envelope projection / Medium
Funding Management reconciliation
Management • Fund source encumbrance
• Funding MOU / grant agreement
management
• Capital cash management / reporting
• IMPACT system management
Small Manages travel • Travel advances Low

Treasury advances, redemption • Check printing
of tokens, and petty • Petty cash transactions and
cash transactions and reconciliation
reconciliation
• Redemption of old tokens
Finance Family: Operating Budget Analysis & Forecasting

Family Description
Analytics and forecasting for operating budget

Level of
Effort for
BPR
Financial Conducts analysis and • Financial planning and budget Medium
Planning forecasting to develop development
budget • Labor and non-labor analysis,
planning, and support
• Third-party agreement analysis,
planning, and support
• Impact of changes to collective
bargaining agreements
• Economic analysis and subsidies
forecasting
Budget Conducts analysis of • Budget variance analysis (enterprise- Medium

Management budget variance and wide and department)
cash flow analysis and • Cash flow analysis & forecasting
forecasting; • Commitment control
commitment control;
• Strategic analysis and decision support
strategic analysis
decision support • MTA-wide management of CFO
function including Board Interface
• Classification of Cost
Revenue & Performs analysis and • Revenue, ridership, traffic and other Medium
Utilization reporting of revenue, revenue analysis
Analysis ridership and traffic; • Fare and toll policy, calculations and
fare and tall policy, changes, evasion analysis
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changes and evasion • Conductor and stations auditing
analysis.
Systems Systems management • Systems and data management Low
Management and reporting • Performance management, metrics,
& Reporting dashboards, and analytics
• Reporting
9.2. Procurement
Function Overview
The Procurement and material functions focus on both the strategic and tactical elements in order to
ensure supply at best value to MTA. In the future state, the Procurement function will also include a
team of Business Partners* that collaborate with Agency stakeholders and employees to advise on
Procurement matters.

Procurement Interface with Agencies to • Procurement Strategy
Strategy & identify procurement needs, • Procurement Execution
Execution develop a strategic
procurement plan and
execute the procurement.
Procurement Enables procurement • Procurement Operations which includes:
Operations & activities by developing and Policy & Procedures, Cost Price Analysis, Bid
Support maintaining policies, Administration and MBE/WBE liaison
performing contract • Contract Management
management, vendor
• Vendor Management
management and reporting
and analytics. • Reporting & Analytics
Material Planning Forecast demand for • Forecasting & Demand Planning

material needs, analyzes • Inventory Management Strategy
and controls supply chain • Supply Chain Control & Analysis
and develops inventory
management strategy.
Material Execution Manages distribution • Management of Distribution Center

centers, movement of • Movement of Material
material and management of • Storeroom Management
inventories in storerooms.
Procurement Family: Procurement Strategy & Execution

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Family Description
Interface with Agencies to identify procurement needs, develop a strategic procurement plan and
execute the procurement

Level of
Effort for
BPR
Procurement Strategic procurement • Strategic procurement planning and High
Strategy planning and spend spend review - to determine contract
review; demand requirements
identification; supplier / • Demand identification / Agency
market information
coordination to define needs
collection and analysis;
sourcing strategies; • Resource for use on RFPs as selection
vendor relationship Committee Members
management, Agency • Funding source / identification
coordination and cost • Supplier / market information collection,
savings and cost analysis and strategies
containment estimation • Sourcing strategies – Channel and
approach determination including
alternative sourcing and life-cycle
analysis including expenses
(maintenance), emergency
procurement, OEM / sole source
negotiations, specialty procurements i.e.
alternate bus and ferry services.
• Vendor management
• Opportunities and risk identification and
analysis including continuous quality
improvement plans
• Cost savings and cost containment
estimation
Procurement Procurement execution • Sourcing plan / Procurement method High

Execution from procurement selection
method selection, • Solicitation documents preparation
solicitation documents • Bid & Proposal evaluation and
preparation, proposal
Evaluation Committee Coordination
evaluations, vendor
checks, contact • Cost-price analysis within certain
negotiations and threshold
contract modifications • Final vendor checks, selection and
processing vendor communications
• Contract drafting including legal terms
review with Legal Dept.
• Contract negotiations / BAFO
• Internal and External approvals for
contract award
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• Expediting of POs (including late and
non-late)
• Critical purchasing for inventory
impacting rolling stock, infrastructure
and safety issues
• Contract modifications (e.g.,
amendments, settlement agreements,
budget adjustments, additional work
orders, etc.)
• Pre-bid / proposal conference, site
tours, and respond to vendor inquiries
• Assemble Solicitation Documents,
Contract and Solicitation / Contract File
• Responsibility / vendor integrity reviews
Federal vs State funding provisions /
requirements
Procurement Family: Procurement Operations & Support

Family Description
Enables procurement activities by developing and maintaining policies and procedures, cost price
analysis, bid administration, MBE/WBE liaison, performing Contract Management, Vendor
Management and reporting and analytics

Level of
Effort for
BPR
Procurement Develops • Policy, manuals, procedures and Medium
Operations procurement policy, technology
procedures, • Compliance with regulations and
processes, manuals; Internal Control Testing
Cost price analysis,
• Protests, FOIL, Transparent workflow
bid administration and
MBE / WBE liaison; compliance etc.
manages risk and • Government and media relations
compliance • Training on procurement policy,
procedures and technology, including
specific training on Contracts
Management
• Procurement templates management
(RFPs, checklist / guidance documents,
RFIs, Bids as well as Terms and
Conditions)
• Management of improvement processes
and special projects
• Legislation, trends, leading practice
analysis
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• Preparation of Board packages and
Executive Correspondence
• Bid administration - procurement
advertisement coordination
• Bid administration - proposals / bids
receipt coordination, safeguarding and
tracking submittals
• Bid administration - posting of addenda
• Bid administration - Sales of
Solicitations: validates vendors within
FedBizOps
• Bid administration - create and post plan
holders list
• Cost price analysis above certain
threshold
• Cost price analysis - price negotiations /
support
• Cost price analysis - pricing strategy
• MBE/WBE/DBE/SDVOB Policy and
Engagement
Contract Administers contracts • Periodic contract evaluations Medium

Management including system-wide • Contract work acceptance and PS
contracts and Receipt prep
coordinates with • Requisition for modifications and
Project Managers.
renewal to contracts, and issue
management
• Vendor / Supplier relationship
management
• Coordination with Project Managers and
end users - Need to define the roles and
interfaces / hand-offs between CMs and
PMs.
• Status reporting to
State/FTA/MTA/Board on key projects –
coordination between User and
Procurement
• Asset Recovery / Disposition including:
waste hauling, e-waste, memorabilia
sales, lost property disposal and sales,
fleet sales, obsolete items removal, etc.
Vendor Manages vendors • Vendor master file maintenance Medium

Management including: conducts • Vendor background checks
background checks, • Vendor financial stability checks within
engages vendors, certain threshold
identifies and
• Vendor responsibility hearings; vendor
addresses vendor
performance issues integrity, and ethics and performance
hearings
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• Facilitation of Audits. Preparation of
audit responses and interface with
investigative groups
• Vendor performance evaluations
• Coordination of updates to QPLs with
Engineering
• Manage and distribute the Vital Debar
list
• Manage / oversight of IPSIG
• Pre-qualification of vendors
Reporting & Reporting and • Data collection, analysis synthesis and High
Analytics analytics’ insight
• KPI tracking and reporting on
performance
• Update and maintenance of the e-
procurment platform and other intranet
and internet sites as needed
• Continuing focus on process
simplification and automation (e.g.
consolidation of databases)
• Public Authorities Reporting Information
System (PARIS)
• Create Ad-hoc reports
• Create and manage Dashboards for
Procurement and Vendor Management
• Requisition /PO/Contract Closeout in
PeopleSoft (Capital & Operating) i.e.:
File maintenance in PS
Administrative Support Procurement • Management of Division / Department Medium

Support and Material functions Budgets; Headcount / PSR; Charge
with administrative backs / Accruals
items • HR actions - development of postings,
reviewing resumes, submitting
paperwork for promotions / new hires,
tracking PARs / PIPS
• Internal Controls
• Labor relations
• Coordination with IT for systems
maintenance and updates
• Safety Compliance Program
• Timekeeping
• Filing / Scanning
Procurement Family: Material Planning

Family Description
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Forecast demand for material needs, analyzes and controls supply chain and develops inventory
management strategy

Level of
Effort for
BPR
Forecasting & Modeling inventory • Modeling inventory dynamics High
Demand dynamic, • Liaison with Agencies on issuance of
Planning replenishment system inventory requisitions based on end
management, demand user demand
planning and
• Replenishment systems management
escalating, inventory
cost and performance and new technology
analytics • Demand planning and escalating
• Management of regular stock and
repairable inventory units
• Inventory budget tracking / costing and
analysis
• Inventory performance analytics
Inventory Definition and planning • Strategy for inventory tracking and High
Management of strategies related to rebalancing
Strategy inventory tracking and • Strategy for disposition of excess /
rebalancing, obsolete / scrap material
disposition of excess
• Strategy for warranty handling
or obsolete material,
warranty, kitting, • Strategy for kitting
serialization and • Strategy for serialization / marking
marking across MTA
Supply Chain Supply logistics • Supply logistics control High

Control & control, audit of cycle • QA / Audit of cycle counting and / or
Analysis counting, wall to wall inventory
troubleshooting supply • Manage review and develop new
chain issues,
technology or process improvements
cataloguing and
oversight of inventory • Troubleshoot supply chain Issues, to
movement enhance operational processes and
improve end user expectations
• Maintain inventory cataloging and
master file management with digital
communication to end users.
• Planning and oversight of movement of
inventory
Procurement Family: Material Execution

Family Description
Manages distribution centers, movement of material and management of inventories in storerooms
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Level of
Effort for
BPR
Management Management of • Distribution center management Medium
of Distribution distribution centers, • Liaison with Facilities to manage and
Center wall to wall cycle maintain storeroom facilities
counts and labeling • Wall-to-wall counts and cycles
and tracking
• Labeling and tracking in DC
• Labeling and tracking
• Blind receipt and verification of
materials
• Inventory quality control/inspection
• Kits development
Movement of The movement of • Material transportation and distribution Medium

Material material within and • Direct deliveries facilitation
between MTA facilities
across the region;
facilitation of direct
deliveries
Storeroom Inventory management • Blind receipt and verification of Medium
Management including: receipt and materials
verification of • Inventory quality control / inspection
materials, inventory • Handling of Warranty transactions
quality control and
• Tactical inventory tracking and
inspections, handling
of disposition of rebalancing
excess, obsolete, • Physical / tactical disposition of excess /
scrap or rejected obsolete / scrap material
materials; this also • Physical handling of rejected material
includes kits • Kits development
development, • Physical handling of packaging /
packaging, barcoding barcoding / serialization
and serialization as
• Repairable unit core storage and
well as cycle counts
management / salvage
and wall-to-wall
inventory • Cycle counts and / or wall to wall
inventory
Reconciliations
Reporting & Reporting and • Data collection, analysis synthesis and High
Analytics Analytics; insight
• KPI tracking and reporting on
performance
• Update and maintenance of the e-
procurement platform and other intranet
and internet sites as needed
• File retention
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Key Categories
The categories listed below are an initial draft and will need to be finalized based on analysis of spend,
volume and contracts information. Consultant(s) will conduct the analysis and recommend new
categories.
Key Categories
1. Professional services, including medical, management, security, architecture, and engineering
2. Building and equipment service

3. IT, hardware, software and telecommunications (e.g., new fare payment system collection)
4. Facilities, consumables and fuel and building heating fuels, chemicals
5. Signals, communications. and power

6. Rolling Stock – commuter rail and subways, including aftermarket repair and replacement.
7. Rolling Stock – busses, paratransit and non-revenue vehicles. Including aftermarket repair and
replacement.
8. Track and structures
9. P-cards, office supplies, “one off” other purchases, furniture
10. Utilities, natural gas, water and electric

11. Financial services, banking and real estate
12. Paratransit and supplemental, alternate and emergency services (ferry, feeder bus, car services)
13. Purchase / Maintenance of Shop Equipment; Repair and Return of Bus, Revenue car, non-revenue
car. Non-revenue vehicle components; purchase of tools
14. Employee Benefits
15. Intelligent tolling infrastructure and other revenue collection devices
9.3. Human Resources

Function Overview
Human Resources is responsible for the overall, end-to-end employee lifecycle from hiring until retiring
/ separation. The scope of work in the Human Resources function includes Talent Acquisition, HR
Operations & Analytics, Org Design & Development, and Rewards. In the future state, the Human
Resources function will also include a team of Business Partners* that collaborate with Agency
stakeholders and employees to advise on Human Resources matters.
HR Families and Capabilities
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Talent Acquisition Attracts, hires, and screens • Forecasting & Planning
diverse talent • Talent Acquisition
• Pre-Employment
• Testing
HR Operations & Manages transactional HR • HRIS

Analytics processes related to data, • Case Management & Compliance
reporting, and case • Reasonable Accommodations
management
• Employee Call Center
• Analytics & Reporting
Org Design & Sets the People strategy and • Org Strategy & Design
Development tracks progress towards • HR Policy
talent goals • Performance Management
• Employee Engagement & Retention
• Talent & Success Planning
Rewards Develops employee • Compensation

compensation package, • Benefits
including pay, benefits, and • Pension & Tax-Favored Programs
retirement
HRBP To be determined (i.e., business partners acting as liaisons with Agencies and
other centralized functions)
HR Family: Talent Acquisition

Family Description
Attracts, hires, and screens diverse talent
Capabilities and Processes

Capability Capability Process Areas Estimated
Definition Level of
Effort for
BPR
Forecasting & Identifies talent • Workforce planning and hiring Medium
Planning needs and prepares forecasting
for talent recruitment • Budget reconciliation and allocation
/ approval
• Civil service / job title development
/ modification (in partnership with
DCAS for civil service titles)
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• Hiring list development /
modification (e.g., ensure alignment
of job specifications with duties)
• Job description preparation and
posting
• Screening question development
Talent Acquisition Recruits, evaluates, • Job advertising / marketing & Medium

and hires staff recruitment (e.g., MTA Internet,
LinkedIn, Outfront, social media)
• Job fairs and campus / site
recruitment
• Candidate development programs
(e.g., internships, associate
engineer program)
• Police officer recruitment
(Sergeants & Lieutenants)
• Collecting agent recruitment
• Candidate assessment / screening
• Interview preparation and
execution
• Candidate selection and liaising
• Post retirement employment (30G,
211 and 212 waivers)
• New hire onboarding
Pre-Employment Coordinates with HR • Background check Medium

Performance o 8-point factor check
Analysis Unit, OMB, o Sex offender registry
hiring departments, o Fingerprinting
and Examinations o Drug test
Unit and Operations
o Credit report
Training to develop
o I-9 verification
and implement
timely employment o Employment verification
processing / hiring o Education validation
schedules o Licensure / certification
verification
o Sanction searches
o Motor vehicle report
o Reference checks
o Military record verification
o Medical exam
o Criminal records (e.g.,
MaBSTOA & MTABC)
• Prior service verification and
coordination
• Candidate scheduling for pre-
employment processing
• DCAS civil service compliance /
coordination (e.g., 1 in 3 rule,
DCAS PRAT audit)
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• Work history review (e.g., with
hiring departments to determine
whether to hire / promote)
Testing Administers and • Testing scheduling (e.g., medical Medium

coordinates appointments, physical abilities)
candidate testing • Third-party testing vendor
management
• English language testing
management
• Police testing administration (e.g.,
written examinations, payment
management)
• “List” title exam development
• Exam evaluation / analysis /
scoring
• Other testing administration (e.g.,
applicant correspondence, entry
level multiple choice)
HR Family: HR Operations & Analytics

Family Description
Manages transactional HR processes related to data, reporting, and case management

Definition Level of
Effort for
BPR
HRIS (Human Utilizes HR software • HRIS transactions: (i.e., occur daily, Medium
Resources to process HR weekly, monthly, ad-hoc)
Information transactions o HRIS core (e.g., process all
System) new hires / promotions /
transfers / salary changes /
title changes)
o HRIS contractual bargaining
(e.g., GWI, annual
payments, wage
progression, RWA)
• HRIS reporting (e.g., FOIL, PARIS
State reporting, 2806 State
reporting)
• HRIS system administration (e.g.,
creation of new fields, workflow)
• Time & labor reconciliation
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Case Manages leave and • Leave management (e.g., FMLA, High
Management & separations PFL, Military)
Compliance • Vendor management
• Retirement / separation
management
• Unemployment claims management
o Investigate and research
individual claims to
determine if they should be
contested
o Interview SMEs
o Attend / testify at DOL
hearings
o Interview and prepare
witnesses
• Process No-Fault insurance claims
• Vendor management
• Recordkeeping and reporting
Reasonable Manages requests • Facilitate requests High

Accommodations and compliance with • Determine accommodations &
ADA and New York solutions
State reasonable • Deliver accommodations
accommodations
• Monitoring & compliance reporting
requirements
Employee Call Manages employee • Tier 1 employee phone calls (e.g., Low
Center telephone related to HR, Benefits, Pension,
communication (i.e., (already
Payroll, etc.)
Tier 1 calls and case centralized)
• Case management for escalated
management for
employee phone calls
escalated calls
regarding HR, • Employee call center reporting
Benefits, Pension,
Payroll, etc.)
Analytics & Conducts analytics • Ad-hoc people data analytics (e.g., Medium
Reports on HR data to inform PRAT reporting, demographic
leadership decision- reporting, OLR reporting)
making • Ongoing HR KPI analysis and
reporting (e.g., attrition rate, time to
hire)
HR Family: Org Design & Development

Family Description
Sets the people strategy and tracks progress towards talent goals
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Level of
Effort for
BPR
Org Strategy & Identifies structural and • People analysis / strategy Medium
Design organizational needs and development
develops strategies to • Talent and knowledge retention
meet these needs • Org design
• Consolidations
• Compensation strategy / policy
• Special project management
HR Policy Develops HR policy and • Policy research and Medium

conducts internal audits to benchmarking
ensure compliance with • Policy development and
policies maintenance
• Internal process audits
• Workplace poster compliance
and management
• Domestic violence reporting to
NYS
• SOP management
• Task Force / Committee
participation as HR
representative (e.g., PFL,
Domestic Violence)
Performance Develops performance • Performance targets and Medium

Management management program and metrics (dashboard)
tracks progress toward • Performance tracking (e.g., 360
individual, departmental, degree)
and organizational
• Performance management
performance goals
process cycle
• Standard competencies
• Manager support (e.g.,
performance process, people
management)
• Probationary checks and period
monitoring
Employee Sources, identifies, • Employee engagement surveys Medium

Engagement & screens, and secures staff • Tuition reimbursement
Retention • Employee recognition programs
• Engagement events (e.g., panel
discussions and webinars)
• Knowledge sharing (e.g.,
microsite, formal program)
• Employee relations (e.g.,
coaching, conflict resolution,
location monitoring)
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• New hire onboarding
Talent & Conducts succession • Succession planning Medium

Success planning and ensures • Succession management
Planning knowledge transfer • Talent pipeline development
• Learning and development
(e.g., career path development)
• Future competencies
• Knowledge transfer
management (e.g., job
shadowing programs)
HR Family: Rewards
Family Description
Develops employee compensation package, including pay, benefits, and retirement

Level of Effort
for BPR
Compensation Manages consistent • Compensation policy design High
compensation • Step titles
determination and • Salary actions (e.g.,
execution compensation table
management)
• Hay evaluations / vendor
management
• General wage increase
• Vacation buy-back / carry-over
• Acting pay / special project
awards
• Salary range adjustment
• Compression review / analysis
• JCOPE review and assignment
• FLSA review and assignment
• Compensation audit (e.g., of
compensation actions /
information in PeopleSoft)
• Implement Managerial Merit
programs
• Review equity issues
Benefits Manages benefits • Benefits policy design & High

packages and partner implementation
relationships (i.e.,
inclusive of medical,
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dental, vision, • Benefits enrollment &
prescription, life management (e.g., new hire
insurance, short-term orientation, open enrollment,
disability, long-term benefit changes)
disability) • Benefits vendor management
(e.g., procurement,
negotiations)
• Benefits union fund
management (e.g., maintain
Carrier Fund information /
CBAs)
• Vendor billing (i.e., manage
self-billing)
• Claim processing (e.g., death
claims)
• Employee & retiree
reimbursements (e.g.,
Medicare Part A & B, 30/60/90-
day letters)
• Customer service (e.g., NYCT
walk-in center, in-person
consultations, triaged calls)
• Benefits QA / auditing & annual
reporting
• Wellness benefits / events
• Commutation passes
• Gym memberships
Pension & Tax- Manages pension • New hire orientation & pension High
Favored Programs contributions and enrollment
retirement plans (already
• Pension active member centralized)
services
• Beneficiary changes
• Tier plan changes
• Contribution changes
• Loans
• Pension & prior service
buyback
• Pension forecasting &
retirement estimates
• Refunds & vouchers
• QDROs
• Customer service (e.g.,
in-person consultations,
triaged calls)
• Pension off boarding services
• Pension seminars & exit
interviews
• COLAs
• Death benefits
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• Calculations (e.g., LIRR
close age 65
recalculation, RRB Tier
2 recalculations)
• Pension accounting &
investment services
• Fund transfers
• Onboarding / off-
boarding investment
managers
• Plan expenses
• Annual financial
statements
• 401k / 457 plans
• Flexible spending account
administration (e.g.,
WageWorks)
• Auditing & reporting
HR Family: HRBP
Family Description
Serves as the HR business partner for Agencies and operational units

Definition Level of
Effort for
BPR
NYCT Serves as the • NYCT / HR liaison Medium
HR business
partner for NYCT
BUS Serves as the • Bus / HR liaison Medium

HR business
partner for Bus
MNR Serves as the • MNR / HR liaison Medium
HR business
partner for MNR
LIR Serves as the • LIRR / HR liaison Medium
HR business
partner for LIRR
B&T Serves as the • B&T HR liaison Medium

HR business
partner for B&T
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Engineering / Serves as the • Engineering / C&D / HR liaison Medium
C&D HR business
partner for
Engineering /
C&D
Corporate Serves as the • Corporate / HR liaison Medium
HR business
partner for MTA
Corporate
9.4. Training
Function Overview
Training oversees the technical qualification and professional development of MTA employees. The
scope of work in the Training Function includes Strategy & Governance, Content Development,
Training Delivery, and Service Excellence Support. In the future state, the Training function will also
include a team of Business Partners* that collaborate with Agency stakeholders and employees to
advise on Training matters.
Training Families and Capabilities

Strategy & Sets strategic direction for, • Strategic Planning
Governance evaluates performance of, • Training Strategy / Governance
and provides governance • Evaluation & Data Analytics
over the Training function
Content Develops training content and • Curriculum / Program Development
Development supporting resources • CBT / Video Design
• Simulator Design & Management (localized)
Training Executes and monitors • Craft / Title-Specific Training (localized)

Delivery delivery of training programs • Credential-Specific Training
• Professional Development Training
• Safety Training
• Vendor-Delivered Training Oversight (also
supported by Content Development family)
Service Supports the overall • Open Course Enrollment
Excellence development and execution • Scheduling & Logistics
Support of training and ensures • Service & Material Purchasing
effective documentation and
• Recordkeeping & Reporting
reporting of training
• Qualifications Monitoring (localized)
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Training Family: Strategy & Governance
Family Description
Sets strategic direction for, evaluates performance of, and provides governance over the Training
function
Capability Capability Definition Process Areas Estimated Level of

Effort for BPR
Strategic Sets strategic direction and • Strategic priority Low
Planning goals / targets for the Training assessment /
Function establishment, e.g.,
• Coordinates with MTA reflecting
leadership / • New business
Transformation Office on priorities / initiatives
organizational skill gaps • Ongoing business
and requirements and regulatory
• Identifies financial needs requirements
and allocates available • New regulatory
financial resources requirements and
• Prioritizes resources and new operational
efforts at the highest and business needs
level • Data / results from
evaluations,
surveys, focus
groups, reports,
conferences, etc.
• Budget / financial
planning and oversight
(e.g., visibility over flow
of resources)
• Project / resource
prioritization
Training •Provides top-level oversight • Training function Low
Strategy / over all aspects of the oversight
Governance Training Function • Policy, procedure, &
• Provides day-to-day standard setting for all
governance over delivery Training Functions:
(e.g., placement of new • Needs analysis,
training initiatives in existing design,
families / capabilities, development,
decisions about whether delivery,
specific training should be evaluation,
conducted locally or record-keeping,
centrally, etc.) and reporting
• Sets standards, policies, • Training staff
procedures, and processes qualification,
for the Training Function development, and
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• Sets standards for staff performance
performance and management
performance management • Communication
• Provides high level issue and coordination
identification and resolution with stakeholders
• Budget / financial /
resource planning
and oversight
• Facility and
information
security, including
confidentiality
• Issue identification /
resolution
Evaluation & • Analyzes and evaluates • Training performance Medium
Data high level training program analysis (i.e.,
Analytics performance effectiveness of
• Measures and reports on programs, modules,
training performance and supporting
against strategic goals / resources)
targets • Department, unit, and
staff performance
analysis
• Peer / related industry
benchmarking
Training Family: Content Development

Family Description
Develops training content and supporting resources

Capability Capability Definition Process Areas Estimated Level
of Effort for BPR
Curriculum / • Designs, develops, pilots, • Client-specific needs Medium
Program evaluates, maintains, and assessment / requirements
Development updates / enhances establishment
training programs • Updates (e.g., in response
• Reviews plans and to major regulatory,
materials for vendor- operational, or business
delivered training initiatives such as 49 CFR
Part 243, Positive Train
Control, Design-Build, etc.)
• Program design,
development, piloting,
evaluation, maintenance,
and enhancement for:
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• Operating / technical
programs (using in-
house and / or
operating department
SMEs)
• Non-technical
programs (using in-
house and / or client
department SMEs)
• In-house or vendor
resource training delivery
assessment / selection
• Training vendor oversight
(review of vendor scopes
of work, draft materials,
implementation plans, etc.)
CBT / Video • Develops, hosts, and • CBT development / design Medium
Design manages development of • Video development /
technology for CBT design (stand-alone
• Develops, hosts, and videos and components of
manages video-based broader modules and
training programs and programs)
content • Training CBT / video
vendor oversight (review
of vendor scopes of work,
draft materials,
implementation plans,
etc.)
Simulator • Oversees development • Simulator design and Medium
Design & and design and manages management
Management maintenance of • Vendor management and
*Local – simulators / immersive oversight (e.g., review of
Agency- technologies used in scopes of work and
specific training programs proposals for
resources & implementation and
delivery enhancements; oversight
of implementation and
maintenance activities)
• Daily in-house systems
oversight / management
* Activity critical to operational effectiveness and requires coordination with operating teams
Training Family: Training Delivery

Family Description
Executes and monitors delivery of training programs
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Effort for BPR
Craft / Title- • Delivers and provides • Planning and course Medium
Specific oversight over craft / title- preparation (e.g.,
Training specific technical, planning and
operations, and safety coordination with
*Local – training, e.g., operating departments
Agency-
• New hire / initial on schedules, locations,
specific
qualification and employees to be
resources &
delivery • Refresher / trained)
recertification • Training delivery and /
• Regulatory or oversight
• Remedial • Includes
• Specialized equipment coordination and
and skills training oversight of on-the-
• Coordinates with operations job training
management on delivery delivered by
planning, including class operating
schedules, locations, and departments and
audience (operating training delivered by
department supervision vendors
schedules the employees to • Training effectiveness
attend) evaluation (in
• Establishes delivery conjunction with
schedules and performs all operating departments)
course preparation • Attendance / successful
completion tracking
Credential- • Delivers and provide • Planning and course Medium
Specific oversight over training for preparation
Training non-operational credentials, • Training delivery and /
certifications, licenses, and or oversight
skills enhancement (Six • Attendance / successful
Sigma, PE, legal licenses, completion tracking
Design-Build, project • Attendance / successful
management) completion tracking for
in-house delivery
Professional • Delivers and provides • Planning and course Medium

Development oversight over training in preparation
Training leadership / managerial • Training delivery and /
skills, knowledge transfer for or oversight
succession planning, and • Training effectiveness
other non-technical evaluation (in
professional skills training conjunction with client
(e.g., communications skills), departments)
including courses delivered • Attendance / successful
as part of broader operations completion tracking
training programs (e.g.,
Foreman in Training) and as
stand-alone courses
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Safety • Delivers and provides • Planning and course Medium
Training oversight over safety-specific preparation
courses (e.g., OSHA 30, • Training delivery and /
bloodborne pathogens, or oversight
confined space, fall arrest, • Training effectiveness
defensive driving, including evaluation (in
courses delivered as part of conjunction with
broader operations training operating departments)
programs (e.g., Foreman in • Attendance / successful
Training) and as stand-alone completion tracking
modules)
Vendor- • Coordinates, schedules, and • Training vendor Medium
Delivered provide oversight over oversight (e.g.,
Training vendors delivering training coordinates, oversees,
Oversight (e.g., review of vendor and evaluates vendor-
(also scopes of work, plans, and delivered training in the
supported by
materials; evaluation of field and classroom)
Content
delivery quality and
Development
function) effectiveness; and
recordkeeping evaluation)
Training Family: Service Excellence Support

Family Description
Supports the overall development and execution of training and ensures effective documentation and
reporting of training

Effort for BPR
Open Course • Manages enrollments (e.g., • Open course Medium
Enrollment maximum / minimum advertising
thresholds) for open / • Open course
shared courses (i.e., nomination and
courses open to a wide approval / denial
audience across processing
departments and Agencies, • Open course roster
such as stand-alone development and
professional development management
and safety courses)
Scheduling & • Manages scheduling and • Room / facility Medium
Logistics logistics for open / shared scheduling and
courses booking for open /
• Manages / coordinates shared courses
scheduling of shared
classrooms
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• Ensure shared training • Annual / quarterly
facilities meet needs (e.g., schedule planning for
audio visual needs, room open / shared courses
setup) • CBT enrollment
• Enrolls employees in web-
based / CBT courses
delivered through
PeopleSoft ELM
Service & • Manages purchasing, • Training-specific Medium
Material receipt, and invoicing for services and materials
Purchasing required training-specific procurement, e.g.,
services and materials • Standard materials
• Manages / updates audio / for classroom-
visual equipment as based training
appropriate • Technical
• Manages purchasing, equipment and
receipt, and invoicing for materials, including
standard office materials upgrades
and equipment • Vendor training
services
• Vendor invoicing
and receipting
• Standard office
materials and
equipment
procurement
Recordkeeping • Maintains records of training • Training and Medium
& Reporting and certification completions certification completion
• Provides regular and ad-hoc recordkeeping
reports on training • Training completion /
completions, employee employee training
training histories, etc. as history reporting (i.e.,
required for client as required for client
departments, MTA Board departments, MTA
committees, regulatory Board committees,
agencies, and other external regulatory agencies,
stakeholders and other external
stakeholders)
• Monitoring of training
recordkeeping /
reporting systems
(e.g., PeopleSoft ELM,
Workforce Certification
System, other Agency
legacy systems)
• Systems issue
resolution
• Systems upgrades /
enhancements
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Administrative • Performs Function-wide • Budget / financial Low
Support administrative tasks tracking & reporting
(e.g., budgeting, • Contract management
financials, contract / tracking
tracking, payroll / • Payroll / timekeeping
timekeeping, human • HR transactions (PAR,
resources transactions, PUR, TAM, TAN, etc.)
etc.) • Tuition Reimbursement
• Administers Tuition Program administration
Reimbursement
Program
Qualifications • Ensures operating • Monitoring of employee Medium
Monitoring departments have qualifications tracking
efficient and effective by operating
*Local –
Agency- access to training departments
specific records to ensure • Error / inconsistency
resources & employees are qualified reporting for
delivery to perform their investigation and
assigned tasks on an resolution
ongoing basis
9.5. Labor Relations

Function Overview
Labor Relations manages MTA’s relationship with labor groups and employees. The scope of work in
the Labor Relations function includes Collective Bargaining, Administrative Trials & Hearings / Dispute
Resolution, Operational Support & Advisement, and Investigations. In the future state, the Labor
Relations function will also include a team of Business Partners* that collaborate with Agency
stakeholders and employees to advise on Labor Relations matters.
Labor Relations Families and Capabilities

Collective Negotiates and administers • Labor Contract Administration &
Bargaining collective bargaining Development
agreement with labor groups • Labor Contract Negotiations
Administrative Manages proceedings on • Grievance Hearings & Appeals

Trials & Hearings labor conflicts, disciplinary • Arbitration & Other Labor Litigation
/ Dispute concerns, and possible rule / • Disciplinary Hearings & Appeals
Resolution agreement violations
• Railroad Disciplinary Appeals
Operational Manages relationships with • Union Relations

Support & unions, field-staff, and • Field / Management Relations
Advisement management, and performs • First Stage Discipline & Grievances
early-stage discipline
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Investigations Conducts investigations of • Pre-Trial Disciplinary Investigations
issues / incidents involving • Railroad Disciplinary Investigations &
staff Hearings
• Employee Availability
Labor Relations Family: Collective Bargaining

Family Description
Negotiates and administers collective bargaining agreement with labor groups

Capability Capability Process Areas Estimated Level
Definition of Effort for BPR
Labor Contract Manages and • Contract research Medium
Administration & administers contracts • Contract implementation
Development with labor unions • Contract administration
• Incident and case tracking
• Incident and case
recordkeeping
• Centralized statistical reporting
• Union contract summaries and
bargaining status reports
• Centralized compliance
reporting (to EEO)
• Time and attendance
repository
• Union membership reporting
Labor Contract Negotiates and • Union contract summaries and High

Negotiations finalizes contracts bargaining status reports
with labor unions • Union membership reports
• Strategy formulation, costing,
and oversight
• Pattern negotiations
• Departmental negotiations
• Ongoing negotiations
• Mid-term negotiations
• Labor contract preparation and
presentation for MTA Board
approval
• Farming out / third-party labor
clearance oversight
• Tracking and recordkeeping
Labor Relations Family: Administrative Trials & Hearings / Dispute Resolution

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Family Description
Manages proceedings on labor conflicts, disciplinary concerns, and possible rules / agreement
violations

Effort for BPR
Grievance Manages and • Departmental assistance / Medium
Hearings & adjudicates staff mediation
Appeals grievances, disputes, • Grievance investigation
and appeals • Case presentation and
grievance decision writing
• Reporting
Arbitration (e.g., Oversees and • Investigation and discovery Medium

traditional adjudicates staff • Case preparation (e.g.,
arbitration, arbitrations and other witness preparation,
impasse labor litigation discovery)
arbitration) &
• Case presentation (e.g., brief
other Labor
Litigation (PERB / drafting, negotiated
OATH) stipulation)
• Post-case summary (e.g.,
post-hearing brief drafting)
• Reporting
Disciplinary Manages disciplinary • Hearing scheduling and Medium

Hearings & hearings and later- planning
Appeals stage dispute • Preside over hearing
resolution for • Disciplinary decision and
represented
report
employees
• Appeals representation (e.g.,
at the Civil Service
Commission or Appellate
Division)
• Union coordination on
disciplinary action
Railroad Manages appeals to • Appellate review and Medium

Disciplinary Railroad disciplinary evaluation
Appeals decisions • Appellate conference
• Arbiter presentation
Labor Relations Family: Operational Support & Advisement
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Family Description
Manages relationships with unions, field-staff, and management, and performs early-stage discipline

of Effort for
BPR
Union Relations Manages interactions • Daily / ongoing union interactions High
and relationship with • Labor / management meetings,
unions issue research, and union
response
• Impact bargaining meetings
• Fund and payment approval
oversight
• Union release time oversight
Field / Manages relationship • Daily field / management Medium

Management between interactions
Relations management and • Issue management
staff in field • Field / management
operations
communication
• Labor Relations training
Early Stage Manages low-level • Discovery / investigations (e.g., Medium

Discipline & and / or early-stage with Internal Security
Grievances disciplinary actions Department)
and dispute • Disciplinary charge oversight /
resolution management
• Employee counseling
• Resolution
Labor Relations Family: Investigations

Family Description
Conducts investigations of issues / incidents involving staff

of Effort for BPR
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Pre-Trial Identifies, • Intake and triaging (i.e., Medium
Disciplinary investigates, and internal / external complaint
Investigations addresses issues / investigations)
incidents involving • Investigation plan
staff development
• Investigation execution
• Reviewing Officers
evaluate / recommend
disciplinary action
• Investigation findings report
• Respond to oral and
written appeals of
disciplinary trial results
Railroad Presides over • Hearing Officers Medium

Disciplinary Railroad disciplinary • Disciplinary recommendations
Hearings hearings and
determines
disciplinary
recommendation
Employee Investigates sick • Doctor’s lines / sick notes Medium
Availability leave review and verification
• Home visits
9.6. Engineering
Function Overview
Engineering oversees enterprise-level engineering and asset management multi-dimensionally, looking
after strategy, standards and innovation. The responsibilities of the engineering include: driving
professional excellence through resource and competency management; setting enterprise standards
and policies to be adhered to across the organization; acting as a single point of contact on regulatory
reporting; actively promoting and supporting innovation; fulfilling the role of independent advisor and
technical authority to the MTA; and, through EAM, encouraging whole lifecycle thinking and AM
strategy adoption to improve MTA’s buying power and lower acquisition and maintenance costs. In the
future state, the Engineering function will also include a team of Business Partners* that collaborate
with Agency stakeholders and employees to advise on Engineering matters.
Engineering Families and Capabilities

Research The Research and Innovation • Innovation Research and Opportunities
and function will continuously explore
Innovation applications and ideas for
innovative solutions and
products across the MTA. They
will work closely with C&D,
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Agencies and EAM tower to
develop funding justification and
business plans for larger
innovative initiatives aligned with
the C-Suite level MTA strategy.
This function will also support
pilots and facilitate incorporating
successful initiatives into Asset
Management in the context of
existing business architecture
and portfolio. The long-term goal
is to establish innovation as
business as usual, continually
evolving and revolutionizing
processes, technologies and
products at the MTA.
Enterprise Aligning asset information • Lifecycle AM Strategy & Strategic Initiatives
Asset management practices across • Asset Management Systems & Processes
Management the MTA to deliver consistent • Asset Information Architecture & Tools
decision-making capability. This
• Continuous Improvement
recommendation will set the
standards for asset information
management across the MTA,
ensuring that different
departments and Agencies
across the MTA are unified in
their data capture methodology
(e.g. Asset Valuation within
Finance and WLC within
Procurement), and ensuring all
data recorded and stored across
the MTA is aligned, integrated
where practical and of sufficient
quality.
Center of Center of Excellence (CoE) • Professional Excellence (resource
Excellence function will provide advisory management, professional development,
services to Agencies and C&D benchmarking)
for Professional Excellence in • Enterprise Standards (policies & guidelines,
Engineering and Subject Matter
standards & codes)
Expertise represented by key
engineering disciplines. The CoE • Subject matter expertise (architecture,
function will also work closely mechanical, environmental, structural / civil,
with Agencies to define electrical, systems, communications, signal &
Enterprise Standards, Policies train controls)
and Guidelines which will be
leveraged by Agencies to
develop their operating
procedures.
In central engineering,
Professional Excellence will
provide performance
management for engineers
based on C&D and Agency
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feedback, ensure engineers
have correct certification to carry
out work at Agencies and C&D
and provide an interface with HR
and write guidelines on training.
Assurance & This function will facilitate • Assurance & Quality Assessment
Audit systematic measurement, • Regulatory Reporting
monitoring and enforcement of
engineering policies, guidelines
and standards, creating a clear
view of quality and standards
alignment as well
communicating across the MTA
Engineering (including C&D and
Agencies) plan vs. actual
performance.
Engineering Family: Research and Innovation

Family Description
Research and innovation will promote culture of innovation across the MTA by continuously exploring
applications and ideas for innovative engineering solutions and products; developing productive
industry partnerships; and encouraging participation across all levels of the organization. It will also
support pilots and facilitate incorporation of successful initiatives into Asset Management in the context
of existing business architecture and portfolio as well as identifying new ways of work and help shape
the wider transportation industry. The long-term goal is to establish innovation as business as usual,
continually evolving and revolutionizing processes, technologies and products at the MTA, positioning
the organization as a recognized worldwide leader and ensuring the ever-increasing customer needs
are addressed.

Level of
Effort for
BPR
Research and • Responsible for • Industry innovation Medium
Innovation rewarding and partnerships management
empowering innovative • Funding mechanism for pilots,
thinking across the MTA etc.
to create a culture of • Business case creation and
innovation, by ensuring support
best practices and • Communities of practice
expertise are widely management
shared, intentional • Innovation culture setting
innovation takes place in
line with MTA strategic
objectives and
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measuring innovation
performance.
Engineering Family: Enterprise Asset Management

Family Description
The Engineering EAM function will support the larger MTA EAM program to plan, track and optimize
management of MTA assets and infrastructure, realizing the long-term vision of improving asset
performance and longevity while reducing unplanned downtime and disruption across the network
through preventative and predictive maintenance. The central Engineering EAM function will also
closely align with and facilitate the MTA’s target “to be” practice for 2025: employing asset
management best practices during planning, development and the delivery of large-scale capital
projects.

Capability Capability Definition Process Area Estimated
Level of
Effort for
BPR
Lifecycle AM • Focused on delivering a • SAMP drafting and updating High
Strategy & single MTA-wide • Asset Management Policy and
Strategic management system that Planning
Initiatives fits into critical • Intervention, Inspection and
documents including the Maintenance Strategy and
Transit Asset Planning
Management Plan • Design management process
(TAMP) and cascades • EAM Project Economics and
into specific plans. By Justification
creating visibility into • Lifecycle cost modeling
enterprise-wise needs • Systems Analysis
and operational trade- • Risk Management Framework -
offs, this function will non-corporate
enable tangible
• Risk appetite and compliance
conversations about
requirements
strategy and tactics,
• Business continuity plan (BCP)
establishing a clear line
• EAM Communication Strategy
of sight between “how we
do things” and “why we • TAMP – Capital based Transit /
Transport AM plan
do them”.
Asset • Responsible for driving • Design and Definition of AMS High
Management and managing a single and framework for lifecycle AM
Systems & repository of asset processes
Process management business • Integration with other
processes, providing a organizational systems
clear and consistent • Asset Creation,
management approach Commissioning, Handover and
across the MTA. Foundational Asset
Currently this function is Management Procedures
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fulfilled at Agency level, • Work Management and
however by establishing Delivery processes including
central enterprise labor and materials
requirements that • Supply Chain and Materials
Agencies can leverage to Management
define their process • Asset Information configuration
steps, the existing and management incl. tagging
methods can be aligned, and tracking
adapted and improved • EAM WLC portfolio and cost
while promoting MTA- model development and
wide governance and management process
assurance requirements • Asset System Condition
assessment methodology
• Electronic Document
management processes and
procedures
• Performance management
implementation
Asset • Enables the development • Asset and Work Management High

Information and configuration of Information Standards
Architecture & adopted IT solutions as (definition and Management)
Tools well as the alignment and • Condition Assessment Method
engineering of existing IT & Standards drafting and
solutions with the key updating
goal of effective data • Maintenance and Inspection
management and a protocols by asset class
single asset hierarchy • INT MTA IT: IT - Determine
and criticality rating Software and hardware
[FWG4 & FWG5]. architecture to meet EAM req,
Working closely with InforEAM Improvements
Agencies to deliver (development), Bentley Optram
architecture that work Improvements (development),
across the MTA, this GIS Solutions, BIM Solutions,
function will help Lifecycle Modelling Solutions,
establish a clear view of Specialised inspection
enterprise decision solutions, Other EAM Software
making requirements and Solutions, Obsolete IT
deliver positive cost- Decommissioning, EAM
benefit outcomes that Software Integration,
can be translated into Document Management,
MTA-wide asset and InforEAM Mobile Deployment,
work information Site Readiness
standards. • Condition Monitoring (remote
and onsite)
• Asset valuation data and
information
• Asset information requirements
to critical interfaces
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Continuous • In charge of encouraging • Definition and Delivery of EAM Medium
Improvement and incorporating the IP
best thinking and • ISO55000 Gap Assessment
practice into day-to-day • Identifying enterprise-wide
processes and systems. initiatives
This function is driven by
value and efficiency
creation, enabling MTA
to adapt to new
challenges and move
forward in its maturity
journey.
Engineering Family: Center of Excellence

Family Description
CoE function will provide advisory services to Agencies and C&D for Professional Excellence in
Engineering and Subject Matter Expertise represented by key engineering disciplines. The CoE
function will also work closely with Agencies to define Enterprise Standards, Policies and Guidelines
which will be leveraged by Agencies to develop their operating procedures.

Level of
Effort for
BPR
Resource • Responsible for • Recruitment processes High
Management collecting and reviewing support (job description draft
job specifications and and sign-off, new role sign-off,
Vacancy Notices for talent reviews)
Engineering talent to • Resilience planning (link in
provide consistency with biz continuity plan)
across MTA hires and • Leaving processes with focus
facilitate central HR in on knowledge transfer (see
hiring. This Function will also competence management
collaborate closely with system)
C&D and Agencies to • Industry / Educational
ensure their partnerships and talent
requirements are management programs
addressed and correct
technical resource with
appropriate training and
qualifications is
available. The Resource
Management Function
will also interface with
central HR to act as an
advocate for engineering
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across the MTA for
defining training and
recruitment processes,
allowing MTA to hire and
on-board people at a
competitive pace with
other employers on the
market
Professional • Responsible for • Engineering Training planning Medium
Development developing and retaining • Safety critical training
engineering talent at the monitoring
MTA. This Function will • Asset Management and
support C&D central Reliability Engineering (RCM)
function in their long- training
term transition plans by • Lean Six Sigma certification
helping establish a training (yellow, green, black
pathway for belts)
development of • Updates to existing training
professionals within area (consider CDM updates in
of specialization, UK), interface with regulatory
including: development updates
of skills and • Succession planning
competencies; • Communities of practice
recommendation on • Engineering knowledge
training; encouraging transfer / mentorship schemes
coaching and
• Graduate engineering
mentorship among
initiatives
engineering
• Competency management /
professionals.
matrix
Benchmarking • Focused on creating • External expert engagement Medium

long-term value and cost across academia, market and
containment by industry (TRB, APTA, IAM,
evaluating engineering etc.)
practices; asset • Drive higher level of data
management strategy collection and analysis for
and standards; and comparison
maintenance • Property level comparisons,
performance. new construction, performance
Benchmarking will levels, engineering practices
support and create
justification for change to
improve processes and
identify inconsistencies
as well as develop
methodology for
establishing historical
baseline and accurate
measuring practices
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Policies & • This function is tasked • Policy and guideline drafting High
Guidelines with the definition and (including EAM)
application of the MTA’s • Policy and guideline updates
engineering and asset • Feedback from Agency-led vs.
management policies enterprise policy and
and guidelines. Policies guidelines
and guidelines should • Obsolescence management
enable clear line of sight policies
between the MTA’s
commitments, their
executive sponsorship
and the systems,
standards and practice
that delivers them.
Standards & • Standards & Codes • Inspection criteria and High
Codes should enable the MTA frequencies
to leverage best practice • Standards drafting and
engineering thinking and updates
apply it across the • Regulation translation and
organization negotiation (in conjunction with
• This function is tasked Agencies)
with establishing well- • Support Agencies by collating
defined requirements all reporting stakeholder,
and standards to support reporting periods and
the MTA efforts to establishing methodology and
manage assets more records management
effectively whilst • Support reporting with EAM
promoting quality and implementation and strategy
appropriate consistency
across all Agencies and
functions.
• The standards should
provide the framework
for the development of
Agency standard
operating procedures
(SOPs) and enable
consistent application of
quality assurance and
performance
management
• This function is also
responsible of
establishing the
framework for code
compliance and updating
this in line of new /
update codes
Engineering Family: Assurance & Audit

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Family Description
Facilitates systematic measurement, monitoring and management of enterprise engineering policies,
guidelines and standards, creating a clear view of quality and standards alignment through effective
communication across the MTA Engineering (including C&D and Agencies) plan vs. actual
performance.

Level of
Effort for
BPR
Assurance & • Provides high level • Document management Medium
Quality Quality Assurance and (interface to wider EDMS)
Assessment Quality Control (QA / QC) • Audit process and records
to govern and guide QA / • Inspection process
QC functions at C&D and • Incident management
Agencies. Operating • Assurance spot checks
procedures management,
maintenance quality
assurance and some of
project-level quality
assurance will be
supported by the
dedicated QA / QC local
functions at Agencies
Regulatory • Act as a single point of • Regulatory body engagement Medium
Reporting contact for MTA management
regulators and industry • Reporting processes and SOPs
groups with support from • Reporting calendars
Agencies to make sure • Requirements register
local procedures and • Feedback loop between
regulations are Agencies, engineering and
addressed. regulators
• Reporting calendar
management
9.7. Safety, Health, & Environment

Function Overview
Safety, Health, & Environment oversees policy, procedures, and strategies for maintaining safety on
MTA sites, employee health, and environmental stewardship which are components of the MTA’s
Safety Management System (SMS). The scope of work in the Safety, Health, & Environment function
includes safety, employee health, environment, homeless outreach, emergency management, and
reporting. In the future state, the Safety, Health, & Environment function will also include a team of
Business Partners* that collaborate with Agency stakeholders and employees to advise on Safety,
Health, & Environment matters.
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SH&E Families and Capabilities

Environment Ensures MTA and Agency • Operations & Maintenance

compliance with federal, state, • Capital Project Review & Oversight
and local environmental
standards and required
reporting; advances
environmental sustainability
initiatives associated with
operations, facilities, and
construction’ develops, trains,
and manages environmental
response and mitigation to
incidents (e.g., fuel spills, water
contamination, noise, etc.);
supports Risk Management to
identify and mitigate legacy
issues
Emergency Serves as MTA's lead for • Readiness & Resilience
Management emergency preparedness • Emergency Training & Exercise
planning, monitoring, • Emergency Response
administration, and management
• GCT / ESA Fire Brigade
Safety Responsible for all Safety • Risk Management

activities: assess and manage • Assurance (including day-to-day
risk; create and update policies investigations)
and procedures; communicate • Promotion (Community Outreach / Training)
policies and procedures
internally and externally; and
conduct observations,
inspections, and audits to ensure
continuous improvement
Occupational Oversees MTA medical • Clinical Services
Health compliance in accordance with • Medical Standards & Compliance
Services federal, state and internal • WorkLife Services
standards and regulations;
• Medical Administration
manages MTA's occupational
health programs to ensure • Drug & Alcohol Program and Information &
employees are fit for duty; this Systems Support
includes drug testing, regulatory
compliance, injury on duty,
employee assistance programs,
medical leave requests, and
ADA assessments; supports
Procurement in qualifying,
evaluating, and managing 3rd
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party vendors and suppliers of
OHS
Homeless Serves at MTA's primary lead for • Outreach Support
Outreach existing homeless outreach • Encampment Removal (Safe & Secure)
programs; establishes policies
and standards associated with
homeless outreach and supports
homeless outreach in
coordination with all relevant city
and state Agencies; coordinates
encampment removal (safe and
secure room unit)
Strategic Responsible for providing • Quality Assurance & Major Investigations
Planning & strategic resources in policy • Policy & Planning
Policy development, planning, • Data, Information, & Analytics
research, and reporting for all
• Reporting
areas under the Safety, Health,
& Environment function; charged • Strategic Initiatives
with bringing a global
perspective to improve overall
MTA safety, health, and
resiliency; maintains Safety
Management System (e.g.,
policies, risk management,
assurance and promotion) that
enables alignment across the
MTA enterprise
SH&E Family: Environment

Family Description
Ensures MTA and Agency compliance with federal, state, and local environmental standards and
required reporting. Advances environmental sustainability initiatives associated with operations,
facilities, and construction. Develops, trains, and manages environmental response and mitigation to
incidents (e.g., fuel spills, water contamination, noise, etc.). Supports Risk Management to identify and
mitigate legacy issues.

Level of
Effort for
BPR
Operation & • Develop, train, and • Training Low (mostly
Maintenance manage environmental • Responses to Environmental centralized)
response and mitigation Issues On-Site
(out of scope)
to incidents (fuel spills, • Inspections
water contamination,
noise, etc.)
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• Support Safety Risk
Management to identify
and mitigate legacy
issues
Capital Project • Review planning and • Project Planning Advisory Low (mostly
Review & design for all new MTA • Design Review centralized)
Oversight construction projects • Job Observation & Support
(out of scope) • Monitor construction of (Construction
MTA-wide Projects for • Testing & Abatement
Environment / Energy
protocols, policies and
standards
SH&E Family: Emergency Management

Family Description
Serves as MTA's lead for emergency preparedness planning, monitoring, administration, and
management.

Level of
Effort for
BPR
Readiness & • Ensure readiness and • Plan development, Low (mostly
Resiliency resiliency by developing administration, assessment, centralized)
(Planning & all-hazard, incident- and risk mitigation
Recovery) specific, and Continuity
of Operations Plan
across the MTA
enterprise
• Once developed, work
with the training and
exercise team to train
and exercise staff on the
plans
• During an emergency,
operationalize the plan
to ensure MTA
executives and staff
have the information
required for decision
making
Emergency • Design and implement • Emergency preparedness Low (mostly
Training & emergency training and exercise centralized)
Exercise preparedness training administration
(Mitigation) and exercises for MTA
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employees and first • Ensure an open
responders communication during
• Ensure that MTA disruptions and emergencies
employees receive
federal and state
emergency management
specific training (e.g.,
TIMS, NIMS, ICS,
COOP, FAC) as well as
job-specific emergency
trainings
Emergency • Staff the MTA Situation • Staff the MTA Situation Room High
Response Room, coordinate the • Coordinate the activities of
activities of MTA Agency MTA Agency specific situation
specific situation rooms rooms
and ensure MTA • Ensure MTA executives and
executives and key key departments (press office,
departments (e.g., press intergov affairs, Security) have
office, intergovernmental the most up-to-date
affairs, security) have information
the most up-to-date • Coordinate and oversee on-
information the-ground response to the
• Responding to the scene scene of the emergency
of the emergency (on the
ground)
GCT / ESA • Provide Fire Brigade • Fire and life safety inspections Medium
Fire Brigade services for Grand • Fire brigade inspection and
Central Terminal / East response
Side Access • Respond to and mitigate fire,
• Future alignment with hazard, and medical
OHS contracted EMS emergencies
response and gaps • Monitor and receive
assessment to be emergency information from
explored fire alarm, building systems
• NOTE: Other capability • Dispatch and coordinate
of this group captured response of Fire Brigade
under Fire & Life Safety • Conduct fire safety and
evacuation drills
• Conduct project plan and code
review
• Graybar Building Liaison and
subject matter expert for fire /
life and safety concerns
SH&E Family: Safety

Family Description
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Responsible for all safety activities: assess and manage risk; create and update policies and
procedures; communicate policies and procedures internally and externally; and conduct observations,
inspections, and audits.

Level of
Effort for
BPR
Risk • Ensure safety • Risk Management High
Management regulations (FRA, FTA, • Fire & Life Safety
etc.) and best practices • Investigation
are followed and built • Safety Engineers
into MTA standards • Construction
• Mobilize teams for
periodic and random
safety audits
• Oversee major
investigations
• Maintain MTA's safety
data and develop
analysis to advance
safety (e.g., fatigue
analysis)
• Work with
communities, first
responders, labor
unions, and Public
Affairs to sponsor
programs such as
Operation Lifesaver
Assurance • Conduct observations, • Field Liaison High
inspections, and audits • Observations
for: Operations (Admin, • Inspections
RR, Subway, Bus, • Audits
Police); Infrastructure • Investigations
(Bridges, Tunnels,
Tracks, Signals); Shops,
Depots, Stations and
Facilities; Construction
Safety; Maintenance
and Equipment; and
Industrial Hygiene
• Responsibilities include:
serving as day-to-day
safety liaison;
investigating minor
accidents; engaging
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staff (including field
personnel) and unions;
conducting safety
checks; performing
programmed audits of
Safety Action Plans;
conducting probationary
and new hire reviews;
and providing subject
matter expertise on
safety policy
implementation and
regulation interpretation
Promotion • Internally and externally • Community Outreach Low
(Community promote policies, • Training
Outreach / procedures, and best • Employee Recognition
Training) practices to support • Internal Communication
awareness and build
understanding
SH&E Family: Occupational Health Services (OHS)

Family Description
Oversees MTA medical compliance in accordance with federal, state and internal standards and
regulations. Manages MTA's occupational health programs in to ensure employees are fit for duty. This
includes drug testing, regulatory compliance, injury on duty, employee assistance programs, medical
leave requests, and ADA assessments. Supports Procurement in qualifying, evaluating, and managing
3rd party vendors and suppliers of OHS.

Level of
Effort for
BPR
Clinical Services • Supervise the day-to- • Manage all clinical functions Low (mostly
day operations and and day-to-day operations for centralized)
(out of scope)
performance of the seven Medical Assessment
Medical Assessment Centers
Centers Manage the • Conduct all mandated
24 / 7 operation to regulatory testing for
provide Drug & Alcohol employees
testing services • Represent OHS in
• Manage the Help Hub arbitrations and court cases
program which related to the Drug & Alcohol
provides EMT services Program
in 12 subway stations • Administer programs (Flu
Vaccination, MTA PD new
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hires, Silica Surveillance
Examination Program)
• Manage the Help Hub
program (EMTs in 12 subway
stations to facilitate removal
of sick passengers)
Medical • Oversee and ensure • Ensure adherence to all Low (mostly

Standards & medical compliance in federal and state regulatory centralized)
Compliance accordance with medical and occupational
(out of scope) relevant federal, state, health policies and standards
and local standards • Develop and update
and regulations comprehensive medical
• Maintain Medical standards for all covered
Review Officer (MRO) Agencies
oversight • Conduct OSHA surveillance
examinations, Injury on Duty
(IOD) physical assessments,
Return to Work and Fitness
for Duty assessments
• Manage medical oversight for
leave requests (FMLA, PFL,
ADA)
• Serve as Medical Review
Officer (MRO) and supervise
MROs
• Represent OHS in
arbitrations and court cases
related to employee disputes
• Serve as medical
representative on Paratransit
Appeals Board
WorkLife • Manage Substance • Substance Abuse Low (mostly

Services Abuse Professionals Professional (SAP) services, centralized)
(SAP) for drug managing mandated drug
(out of scope)
counseling under and alcohol treatment, follow-
federal regulations up testing, and re-instatement
• Conduct non-DOT • Conduct Injury on Duty (IOD)
substance abuse psychological assessments
assessments • Oversee MTA Chaplains
• Provide counseling and Services (75 volunteers
bereavement services providing grief counseling,
hospital visits and family
support)
• Administer FMLA and Paid
Family Leave (PFL)
• Develop and disseminate
WorkLife policies and
standards across all Agencies
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Medical • Oversee all • Direct administration of $40M Low (mostly
Administration administrative activities in OHS vendor / consultant centralized)
including budgets, services
(out of scope)
staffing and regulatory • Develop staffing and budget
compliance plans, oversee hiring
• Direct, manage and processes and forecasting
oversee all vendor / needs
consultant services • Manage medical records unit
including storage and access
to records
Drug & Alcohol • Manage Drug & • Generate random drug Low (mostly
Program and Alcohol Program testing pools in compliance centralized)
Information & (NYCT, MTA Bus); with federal standards; keep
Systems Support limited for MNR, LIRR, testing panels up to date
(out of scope) MTA PD • Ensure requirements for
• Ensure compliance federal drug testing for Fit for
with federal and state Duty, Return to Work, random
regulation and pools, alcohols are met
company policies • Streamline drug testing
• Develop and manage procedures for LIRR and
all IT interfaces with MNR
internal and external • Notify Designated Employer
partners and OHS Representative (DER) to
software remove drug-positive safety-
sensitive employees
• Manage federal MIS reporting
on all drug testing programs
across all Agencies
• Ensure that OHS meets all
business IT requirements and
compliance with medical,
legal and security standards
• Manage multiple bi-directional
daily interface feeds that
integrate with OHS medical
and business applications
• Implement, maintain and
manage all IT and software
services
• Application support for OHS
software (Cority OH suite) for
LIRR and MNR Data
reporting and analytics
SH&E Family: Homeless Outreach

Family Description
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Serves at MTA's primary lead for existing homeless outreach programs. Establishes policies and
standards associated with homeless outreach and supports homeless outreach in coordination with all
relevant city and state Agencies. Coordinates encampment removal (safe and secure room unit).
Capability Capability Definition Process Areas

Outreach Support homeless outreach • Coordinate resources for engagement
Support efforts, target locations, and activities
coordinate with relevant city and • Develop schedules for daily outreach
(out of scope) state Agencies activities
Encampment Coordinate encampment • Coordinate the removal of encampments

Removal removal (safe and secure room • Secure locations and schedule re-visits to
(Safe & unit) ensure continued success
Secure)
(out of scope)
SH&E Family: Strategic Planning & Policy

Family Description
Responsible for providing strategic resources in policy development, planning, research, and reporting
for all areas under the Safety, Health, & Environment function. Charged with bringing a global
perspective to improve overall MTA safety, health, and resiliency.

Level of
Effort for BPR
Quality • Responsible for quality • Conduct regular review of High
Assurance & assurance across reports and process
Major entire function and all documentation
Investigations areas of subject matter • Conduct QA inspections and
expertise internal audits
• Lead investigations of • Coordinate external audits
major incidents, in and investigations
partnership with • Lead major investigations and
relevant field staff appropriate follow-up
(including fire)
Policy & •Establish policies and • Ensure policies keep MTA High
Planning standards associated and Agency in compliance
with all areas of SH&E with federal, state, and local
• Identify opportunities laws, executive orders,
to align across areas standards and mandates, and
of expertise required reporting
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• Interpretation of regulations
• Development of guidance
relating to associated
implications of regulations
• Develop policies in
partnership with all areas of
subject-matter-expertise
(including regulation-related)
• Provide expertise on new and
developing regulations
• Develop Rule Books,
procedures, and written policy
• Develop MOUs with outside
Agencies and resources
• Support planning through
development of strategic and
project plans
• Ensure MTA’s position
regarding impending
regulations are known to
regulators
Data, • Collect and maintain • Collect, clean and store data High
Information, & data for all areas of • Data analysis (for leadership
Analytics expertise in function and all areas across function)
• Produce analysis to • Develop metrics for
advance safety (e.g., measuring success of
fatigue analysis), activities
health, and • Evaluation of lessons learned
environmental goals
across the MTA
• Manipulate information
and data to give useful
trending and reports as
needed for
programmatic or issue-
specific needs
• Provide data and
analysis needed to
assess authority-wide
hazards, likelihood,
risk, evaluation results,
and lessons learned
from real-world
responses and
exercises
• During emergencies,
ensure the correct
information is getting
to their correct people
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• Provide data analysis
(including monitoring /
visualization) to MTA
leadership to support
decision-making (e.g.,
GIS mapping)
Reporting • Produce all required • External reporting High
and necessary reports • Internal reporting
for key stakeholders • Identification of KPI and
(e.g., state, federal, benchmarks
and local regulators; • Creation and maintenance of
MTA leadership; dashboards
Operating Agencies) •
Strategic • Coordinate multi- • Partner with all areas to High

Initiatives Agency and MTA-wide develop needed initiatives
initiatives across entire • Obtain sponsorship for
function to improve development and testing of
overall safety, health, initiatives
and resiliency of the • Support MTA Agencies
MTA adopting successful initiatives
9.8. Legal & Compliance

Function Overview
Legal & Compliance provides general and subject-matter legal counsel, compliance oversight, and
insurance management. The scope of work in the Legal & Compliance function includes Legal,
Corporate Compliance, and Risk & Insurance Management. In the future state, the Legal &
Compliance function will also include a team of Business Partners* that collaborate with Agency
stakeholders and employees to advise on Legal & Compliance matters.
Legal & Compliance Families and Capabilities

Legal Provides general and subject- • General Law
matter legal counsel • Commercial Litigation
• Torts
• Construction
• Procurement & Contracts
• Labor & Employment
• Claims & Workers’ Compensation
• E-Discovery & FOIL
• Administration
• Real Estate
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• Environment & Condemnation
• Finance & Pensions
Corporate Provides corporate compliance • Enterprise Risk Management

Compliance and ethics support to the MTA • Compliance & Internal Controls
• Corporate Governance
• Ethics
Risk & Manages the MTA’s overall • Risk Assessment

Insurance cost of risk through the • Owner Controlled Insurance Program (OCIP)
Management development and • Loss Control, Claims, & Reporting
implementation of effective risk
(out of scope) • Budget & Administration
strategies
Legal & Compliance Family: Legal

Family Description
Provides general and subject-matter legal counsel

Level of
Effort for
BPR
General Law Provides legal advice on • General legal advice High
general issues and • Special projects and complex
legislative / regulatory transactional matters
matters and complex • Legal research / analysis
transactional matters and
• Contract drafting / negotiation
oversees units
responsible for tolls and • TAB and toll unit oversight
Transit Adjudication
Bureau (TAB)
Commercial Provides legal advice and • Commercial litigation execution Medium
Litigation conducts litigation relating / oversight
to general business • Litigation execution and
issues; supervises in- oversight
house commercial
• Outside counsel oversight
litigation; and oversees
outside counsel • In-house commercial litigation
group oversight
• Litigation reporting
Torts Provides legal advice and • Tort law advice Medium

conducts litigation relating • Tort litigation execution /
to personal injury and oversight
property damage and • FELA, Bus, and No-Fault torts
oversees units
oversight
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responsible for FELA, • Outside counsel oversight
Bus and No-Fault torts
Construction Provides legal advice • Procurement and risk Medium
relating to construction management advice
projects and supervises • Contract drafting / negotiation
in-house construction • Dispute support and
counsel and oversees
management
outside counsel
• Contract changes and change
procedures advice
• Construction litigation execution
/ oversight
• Construction attorney group
oversight
Procurement & Provides legal advice • Procurement and risk Medium

Contracts relating to procurements; management advice
drafts and negotiates • Contract drafting / negotiation
contracts; supervises in- • Procurement & Contracts group
house procurement
oversight
counsel; oversees
outside counsel
Labor & Provides legal advice • Labor and employment law Medium
Employment relating to labor and advice
employment issues and • Labor and employment law
represents MTA and its reporting
Agencies in employment
• Legal employment group
related matters in
administrative tribunals oversight
and litigation before • MTA / Agency representation in
courts and outside employment-related matters in
agencies, and oversees courts / administrative Agencies
outside counsel
Claims & Manages bodily injury • Workers’ Compensation advice High
Workers’ and Workers’ • Workers’ Compensation lawyer
Compensation Compensation claims; / claims agent oversight
oversees units • Claims process oversight
responsible for FELA
(Workers’ Compensation, bodily
claims and special
investigations; oversees injury, property damage, etc.)
outside counsel • Claims involving FELA and
special investigations unit
oversight
E-Discovery & Provides support for e- • E-Discovery and electronic Medium

FOIL Discovery and Freedom document collection /
of Information Law (FOIL) preservation advice
compliance and • E-Discovery & FOIL Unit /
supervises in-house e- process oversight
Discovery and FOIL staff
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Administration Provides administrative • Vendor payments High
and claims support for • Records management
Legal • Non-lawyer support staff (e.g.,
secretaries, paralegals, library
personnel) management
Real Estate Provides legal advice • Real estate law advice Medium
relating to real estate • Real estate policy and business
transactions and advice
requirements for Real • Contract / document drafting
Estate Development and
• Contract / document negotiation
Real Estate Leasing and
Operations and
supervises in-house real
estate counsel and
oversees outside counsel
Environment & Provides legal advice • Environmental law advice / Medium
Condemnation relating to environmental representation
and condemnation- • Environmental / condemnation
related issues and investigations
supervises in-house
• Condemnation acquisition
environmental and
condemnation counsel negotiations / litigation
and oversees outside • Community and
counsel intergovernmental outreach
• Outside counsel oversight
Finance & Provides legal advice • Finance / securities law advice Medium
Pensions relating to municipal • Finance / securities law
finance and pension representation
benefits; supervises in- • Pension / deferred
house finance and
compensation program advice
pension counsel; and
oversees outside counsel • Pension / deferred
compensation program litigation
representation
• Finance / disclosure document
development / negotiation
• Finance / securities law
compliance
Legal & Compliance Family: Corporate Compliance

Family Description
Provides corporate compliance and ethics support to the MTA

Level of
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Effort for
BPR
Enterprise Risk Manages enterprise-wide • Policy development / Medium
Management risk through internal management (e.g., all-Agency
controls program, policy policy)
development and • Internal controls program
management, and audit management:
recommendation
o Vulnerability and risk
implementation tracking
assessment
o Self-assessment
o Internal controls
reporting and guidance
• Audit recommendations /
management (e.g.,
implementation tracking)
Compliance & Oversees MTA reporting • Reporting disclosures (e.g., Medium

Internal Controls disclosures and producing, coordinating,
compliance-related certifying, submitting,
training recordkeeping)
• Compliance-related training
(e.g., ethics, compliance, new
hire for HQ)
Corporate Manages Board self- • Board self-assessment Medium

Governance assessment process and • Governance document
governance documents, management (e.g., charters,
and serves as MTA’s governance guidelines)
compliance liaison
• Compliance liaison (e.g., to
Board, NYS Independent
Authorities Budget Office, etc.)
Ethics Oversees the ethics and • Ethics / compliance hotline Medium

compliance hotline, management (e.g., triaging,
performs due diligence case management)
reviews, manages • Due diligence reviews (e.g.,
financial disclosures, and conflicts of interest; travel
performs ethics
authorization requests;
counseling
honorary approvals; outside
activity approvals)
• Financial disclosure
management (i.e., triggered by
salary / responsibility)
• Ethics counseling (e.g., current
/ former employees)
Legal & Compliance: Risk & Insurance Management

Family Description
_____________________________
MTA RFP No. 0009000015
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Manages the MTA’s overall cost of risk through the development and implementation of effective risk
and insurance strategies

Level of
Effort for
BPR
Risk Assessment Places all Agency • Insurance placement Low (already
corporate insurance • Insurance standards compliance centralized)
(out of scope) programs through the and enforcement
traditional insurance
market and Captive,
First Mutual
Transportation
Assurance Company
(FMTAC); gathers
underwriting data
from Agencies to
complete insurance
submission; provides
evidence of MTA /
Agency insurance
through letters of self-
insurance and / or
certificates of
insurance; and
oversees FEMA
claims for first party
property damage
resulting from
catastrophic events
Owner Controlled Works with Capital • Insurance procurement Low (already
Insurance programs to procure • Mega projects (e.g., East centralized)
Program (OCIP) insurance for mega, Side Access, Second
labor-intensive Avenue Subway)
(out of scope) projects (e.g., broader
• Rolling wrap ups (e.g.,
terms and conditions,
higher limits, and covering work in the Capital
control over safety) Plan)
and procures “Rolling
Wrap Ups” (i.e.,
stand-alone policies,
including a carve-out
for the Small
Business Mentoring
Program)
Loss Control, Manages License • Loss control Low (already
Claims, and Monitor, Inc. (LMI) • LMI centralized)
Reporting program and
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MTA RFP No. 0009000015
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(out of scope) implementation for all • Auto Liability Insurance
MTA Agencies; Programs for Non-Revenue
oversees “third party” and Paratransit
capital claims / other • Claims
claim settlements
• “Third party” claims and all
among Paratransit /
Non-Revenue; and FMTAC Insured Programs
manages claims data • Vendor management of
to determine “ultimate Third Party Administrator for
risk” of loss and claims management
oversees creation of • Analytics
financial reports • “Ultimate risk” of loss / full
value of claim analysis
• Review motor vehicle and
loss data and prepare trend
reports to reduce accidents /
claims
• Certificate Tracking System
(CTS) and Claim System
tracking
Budget & Prepares Risk & • Budget preparation / management Low (already
Administration Insurance • FMTAC budget centralized)
Management (RIM) • RIM budget
(out of scope) and FMTAC budgets;
• FMTAC meetings
conducts FMTAC
meetings; ensures • Payment oversight
timely payments of • Administrative management
insurance premiums
for FMTAC /
commercially
procured insurance;
and manages
administrative
functions of RIM
Department
9.9. External Affairs & Customer Communications

Function Overview
External Affairs & Customer Communications manages the MTA’s relationship with customers. The
scope of work in the External Affairs & Customer Communications function includes Sales &
Promotions, Multichannel Marketing, Market Research & Customer Analytics, and Customer Contact
Center (under the oversight of a Chief Customer Officer), in addition to Government & Community
Affairs, and Media Affairs. In the future state, the External Affairs & Customer Communications function
will also include a team of Business Partners* that collaborate with Agency stakeholders and
employees to advise on External Affairs & Customer Communications matters
_____________________________
MTA RFP No. 0009000015
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External Affairs & Customer Communications Families and Capabilities

Sales & Manages MTA promotional • Promotional Events
Promotions sales and events • Promotional Sales
Multichannel Manages consistent, cross- • Strategy

Marketing channel customer content • Design
strategy, generation, and • Content
dissemination
• Print
Market Research Manages MTA’s market • Market Research

& Customer research and customer data • Customer Data Analytics
Analytics analytics to improve
programs / services, and the
overall customer experience
Customer Manages MTA's relationships • Customer Information Systems
Contact Center with its customers through • Email & Correspondence
direct interactions by phone, • Telephone Call Center
Out of scope email / web form, PA
• Social Media & Web
announcements, and (for Lost
& Found) in-person • Signage & Audio Announcements
• Lost & Found
Government & Manage MTA's relationships • State

Community with government and the • Local
Affairs community • Federal
• Community / Events
Media Affairs Manage MTA’s relationships • Media Liaisons

with the media and develop • Speech Writing
consistent messaging, with a
single voice
EA&CC Family: Sales & Promotions

Family Description
Manages MTA promotional sales and events

Effort for BPR
Promotional Manage promotional events for • Promotional events Medium
Events MTA customers (e.g., PGA Tour) strategy
• Promotional events
partnerships
marketing
_____________________________
MTA RFP No. 0009000015
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execution
performance metrics
• Process and manage
on-property film
requests
Promotional Manage promotional sales • Promotional sales Medium

Sales strategy, program development, strategy
and operations (e.g., Hamptons • Promotional sales
Reserve Service, MNR program development
Ride2Drive, NY Botanical
• Promotional sales
Garden ticket discount)
marketing
execution
performance metrics
EA&CC Family: Multichannel Marketing

Family Description
Manages consistent, cross-channel customer content strategy, generation, and dissemination

of Effort for BPR
Strategy Set the MTA's cross-channel • Multichannel marketing Medium
communication strategy (e.g., strategy development
message / medium alignment, • Multichannel marketing
strategic communications advertising
initiatives, etc.)
• Multichannel marketing
service quality levels /
targets
• IT / technology liaison
Design Visual design of all messaging • Graphic design Medium

created within the Content • Animation / motion /
Capability, with design overseen video design
by an art director
Content Develop / disseminate • Content / campaign Medium
consistent, high-impact development
messaging, including content on • Content / campaign
applications, website, and other execution
media
• Sustained
communications
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MTA RFP No. 0009000015
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Print Centralized production and • Print production Medium
distribution for print signage • Print distribution
(prior to full digital conversion)
EA&CC Family: Market Research & Customer Analytics

Family Description
Manages MTA’s market research and customer data analytics to improve programs / services, and the
overall customer experience

Effort for BPR
Market Conduct market research on all • Market research needs Medium
Research transit modes, on new products identification
(e.g., new fare payment • Market research
systems, Open Road Tolling), methodology /
and to support Sales approach
&Promotions, Multichannel
Marketing, Customer Contact • Market research
Center, Agency operations, and execution
all programs / services that touch • Market research
the customer, as well as analysis / synthesis
employee research
Customer Organize and analyze customer • Customer experience Medium

Data and performance data to help performance metrics /
Analytics drive decisions that improve the targets
customer experience • Tie between operating
needs and customer
targets
• Customer experience
tracking / mystery
shopping
• Customer satisfaction
surveys / service
quality reviews
• Customer experience
data analytics (e.g.,
vis-à-vis service /
programs)
EA&CC Family: Customer Contact Center

Family Description
Manages MTA's relationships with its customers through direct interactions by phone, email / web form,
PA announcements, and in-person (e.g., Lost & Found)
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MTA RFP No. 0009000015
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Level of Effort
for BPR
Customer Manage customer information • Call center system High
Information systems and knowledge management (e.g., IVR
Systems management database (e.g., / ACD)
IVR / ACD, CRM) • Customer relationship
(Out of scope)
system / knowledge
management (e.g.,
CRM)
• Service update system
management (e.g.,
ATIS)
• Customer information
system performance
audits
Email & Manage customer web form / • Simple email / web form Medium
Correspondence email and other written inquiry response (Tier
correspondence 1)
(Out of scope)
• Complaints /
complicated email / web
form inquiry response
(Tier 2)
• Email / web form inquiry
escalation / case
management
• Elected official inquiries
• Correspondence
reporting
Telephone Call Manage customer telephone • Simple phone inquiries High

Center communication (IVR, Tier 1, and (Tier 1)
escalated calls / complaints), • Complaints /
(Out of scope) including calls about directions, complicated phone
service changes, ticketing, new
inquiries (Tier 2)
fare payments, etc.
• Phone inquiry
escalation / case
management
• Call center reporting
Social Media & Manage social media and web • Real-time Medium
Web update messages to customers communication (e.g.,
apps, websites,
(Out of scope)
Instagram, Twitter,
Facebook)
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Signage & Audio Manage station signage and • Real-time audio service High
Announcements audio announcement messages updates
to customers • Real-time digital
(Out of scope)
signage updates (e.g.,
station signage)
• STAR unit / auxiliary
response
Lost & Found Manage the Lost & Found and • Lost & Found on-site Medium
liaise with Agency operations management
and customers • Lost & Found customer
communications
• Lost & Found reporting
EA&CC Family: Government & Community Affairs

Family Description
Manage MTA's relationships with government and the community

of Effort for BPR
State Manage MTA's relationship with • Relationship / Low
State entities, including the communications
legislature, Governor’s Office, management
inspectors, and other • Pending legislation
stakeholders monitoring / input
• Enacted legislation
guidance
• Data sharing / reporting
(as required)
• Stakeholder partnership /
alignment (e.g., disaster
response)
Local Manage MTA's relationship with • Relationship / Low

Local entities, including the New communications
York City Council, Mayor’s management
Office, county / town / village / • Data sharing / reporting
city governments, community
(as required)
boards, and other stakeholders
response)
Federal Manage MTA's relationship with • Relationship / Low

Federal entities, including communications
management
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regulators, inspectors, and other • Pending legislation
stakeholders monitoring / input
• Enacted legislation
guidance
• Data sharing / reporting
(as required)
response)
Community / Manage MTA's relationship with • Community engagement Low

Events the community entities (e.g., / events strategy
NGOs, citizen groups), including • Community engagement
community outreach / / events design
messaging, events promotion /
• Community engagement
execution, etc.
/ events marketing
• Community engagement
/ events execution
• Public hearing
coordination / outreach
• Relationship /
communications
management
EA&CC Family: Media Affairs

Family Description
Manage MTA’s relationships with the media and develop consistent messaging, with a single voice

of Effort for BPR
Media Manage MTA’s relationships with • Media engagement Low
Liaisons the media, including interviews, strategy for MTA
press releases, and other • MTA media partner
content / communication relationships /
communications
management
• MTA interview
coordination
• MTA press releases
Speech Develop high-quality speech • Market / industry Low

Writing writing that strategically and research
accurately reflects the position of • Fact gathering /
the MTA with a single voice checking
• Technical writing
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• Delivery facilitation
10. Exhibits
The following Exhibits are included as separate files:

Exhibit 1 – MTA Cost Proposal
Proposers must submit the Cost Proposal(s) using the Exhibit 1 MTA Cost Proposal template. Section 1.9
describes the Cost Proposal. Proposers must submit this separate from the technical proposal. It shall be
uploaded and submitted to the MTA via the GSG platform. Each category requires a separate technical
and cost proposal, as detailed in Section 1.8. Proposal Response Structure.
Exhibit 2 – Services Proposed
Proposers must submit the Services Proposed Workbook using Exhibit 2 with each Technical Proposal.
Exhibit 3 – MTA Business Service Center System Infrastructure
The MTA consolidated components of HR, Finance, and Procurement into the Business Service Center
(BSC). This exhibit details the current MTA PeopleSoft systems and technical architectures that support
this work.
Exhibit 4 – MTA BSC Development Standards and Processes
Overview of ERP implementation standards and processes for changes required for all applications at the
MTA BSC. This is the primary repository for information on development standards related to the
PeopleSoft.
Exhibit 5 – MTA Digital Business Model User Guide and Standards
Technical Reference on the context, format, intent and use of the “MTA Capabilities Model. This User
Guide provides an over view of the enterprise system of record for all future state business processes.
The model covers the full scope of the MTA including business capabilities, including capabilities at the
operational, tactical, and strategic layers.
Exhibit 6 – MTA Lean Six Sigma
HQ EAM initiated an EAM Six Sigma certification program in August 2017. A Guiding Principle of this
RFP is to “Focus on Efficiencies”, which requires coordination and / or consultation with the MTA Lean Six
Sigma Program team that coordinates Agency level teams operating across the enterprise.
Exhibit 7 – MTA RFP Structure Overview
Overview summary of the structure of this Statement of Work.
Exhibit 8 – Glossary of Terms
Commonly used terms and definitions applying to this solicitation.
_____________________________
MTA RFP No. 0009000015
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Attachment A – Statement of Work

MTA RFP No. 0009000015

MTA RFP No. 0009000015

MTA RFP No. 0009000015

MTA RFP No. 0009000015

MTA RFP No. 0009000015

Category 1: Support Functions

Below are the seven (7) Tasks :

Task 1: Business Process Reengineering (BPR) & Management Consulting

The MTA Operating Agencies participating in this RFP are as follows:

• Revised or newly created business processes within and across functions

• General management consulting expertise

1.2. RFP Timeline

RFP Activity Date

1.3. Communication During the RFP Process

1.4. Questions about the RFP

1.5. Additional Information to and from Proposers

1.6. Period of Performance

1.7. Evaluation and Selection Criteria

b. Experience and Expertise of the Project Team:

e. Proposer Diversity Practices:

TOTAL POINTS = 100

1.8. Proposal Response Structure

D. No information is required beyond what is specifically requested below.

H. The Technical Proposal shall consist of the following:

1. Executive Summary. An executive summary should highlight significant features of the

a. Firm overview and history

7. Firm Qualifications. Provide experience in similar industries, in government and public-sector

**THE COST PROPOSAL MUST BE SUBMITTED AS A SEPARATE FILE**

1) Technical Proposal (per Category response)

1.9. Cost Proposal

1.10. MTA Forms / Attachment Details and Applicable Laws

• Appendix A – Compensation Provisions

2) Affirmative Action / EEO Submission Requirements - The successful proposer will be

• Appendix C – Guidelines for Contractors Including Insurance

15% for MBE

15% for WBE

• Appendix E – Financial Interest Disclosure & Interests

• Appendix K – Executive Order 177 Compliance and Certification

Generally, the Human Rights Law applies to:

• Attachment D – Omnibus Procurement Act Provisions

• Attachment E – Prompt Payment Regulations

• Attachment F and Corresponding Form 1 and Form 2 New York

• Attachment G – Proposer’s Certification of Compliance with MTA

• Attachment I – Proposer Diversity Practices Questionnaire

• Attachment J – IT and Security Requirements

• Attachment K – Special Notice to Vendors Debarment

• Attachment L – Non-Disclosure and Confidentiality Agreement

• New York State Comptroller Review / Approval

1.11. Confidentiality – General Instructions

1.12. Additional Terms

1.13. Multi-Agency Use

Procurement Oversees the supply chain and procurement lifecycle.

Diversity & EEO Advances diversity, inclusion, and equal employment

Information Technology (IT) Oversees technology and data infrastructure strategy

2.2. Strategic Priorities

The Transformation Objectives and their Outcomes are:

2.3. Transformation Governance Structure

IT Steering Committee: The IT Steering Committee is comprised of centralized IT leadership and

RFP category Functions / components Tasks

See Exhibit 7: RFP Structure Overview for additional detail.

Category 3 13. Police & Security

THE COST PROPOSAL MUST BE SUBMITTED AS A SEPARATE FILE