REQUEST FOR PROPOSALS

Transcription

1 REQUEST FOR PROPOSALS Quality Assurance Program For ARTICULATED LOW FLOOR HEAVY DUTY DIESEL HYBRID ELECTRIC TRANSIT BUSES September 5, 2017 DEPARTMENT OF PUBLIC WORKS and TRANSPORTATION Vincent F. Kopicki, P.E., Commissioner 1

2 BACKGROUND... 4 PROJECT PURPOSE... 4 PROJECT DESCRIPTION... 4 PROJECT ORGANIZATION... 5 SCOPE OF WORK... 5 PROPOSAL REQUIREMENTS... 6 Proposal Format... 6 Technical Proposal Content... 7 Cost Proposal Requirements... 7 Cost of Proposal Preparation... 8 Proposals to be in Effect... 8 Signature Requirements... 8 Rejection of Proposals... 8 Required Disclosure of Relationships to County... 8 Qualified Transportation Fringe Program... 8 Conflict of Interest... 9 Proposal Due Date... 9 Addenda and Supplements to Request for Proposal... 9 SELECTION PROCEDURES... 9 PROJECT SCHEDULE Prohibited Interest of Members, Officials, Employees of the State of New York, County of Westchester or Local Public Body MacBride Principles

3 Contract Provisions LEGAL REPRESENTATIONS CONTENTS OF PROPOSAL MBE/WBE Criminal Background Disclosure Intellectual Property Rights Proposer Certification CERTIFICATION FORMS, ATTACHMENTS & SCHEDULE FORMS Federal Transit Administration Certification Forms FTA 1: CERTIFICATION OF RESTRICTIONS ON LOBBYING FORM FTA 2: Government-Wide Debarment and Suspension (Non-Procurement) FTA 3: DISADVANTAGED BUSINESS ENTERPRISE (DBE) SCHEDULE "E"

4 BACKGROUND The Westchester County Bee-Line System Bus System provides transit service within and between the County of Westchester, portions of the Bronx, Manhattan and Putnam County. The Bee-Line is the second largest bus system in New York State, following the MTA New York City Transit. The Bee-Line System has two bus storage and maintenance facilities (Yonkers and Valhalla) and has approximately 326 transit buses. The Westchester County Department of Public Works and Transportation (WCDPW&T), has initiated a bus replacement cycle for its aging fleet of seventy-eight sixty-foot diesel articulated buses. These buses are to be replaced with the newest generation of hybrid electric articulated buses. Federal, State and local funds may be used for the procurement of the vehicles. PROJECT PURPOSE The purpose of this Request for Proposals (RFP) is to solicit from interested parties responses that will assist the County of Westchester in selecting a qualified, experienced consultant to implement Quality Assurance Services including manufacturer adherence to Buy America requirements and review of the manufacturer s maintenance manuals for accuracy and inclusiveness in conjunction with Westchester s acquisition of Articulated Low Floor Heavy Duty Diesel Hybrid Electric Transit Buses. A final written Buy America compliance report shall be prepared by the consultant and submitted to Westchester upon completion of all quality assurance work. PROJECT DESCRIPTION The project is to provide a comprehensive and complete production line inspection and product quality assurance package for up to seventy-eight (78) articulated transit buses The consultant will produce and provide to Westchester County oral and written reports during the vehicle manufacturing process and written reports of the final condition, including Buy America compliance, of all vehicles prior to delivery. The successful Proposer shall provide for and ensure WCDPW&T s compliance with any and all applicable requirements of; 49 CFR, Part 661 Buy America Requirements Most current 49 CFR, Part 663 Post Delivery Audits of Rolling Stock Purchases or most recent revision 49 CFR, Part 665 Bus Testing or most recent revision, as required All required certifications shall be completed by the successful Proposer and shall be provided to WCDPW&T for the FTA on-file requirements. Required certifications shall be delivered to WCDPW&T concurrently with the delivery of each bus to the WCDPW&T. 4

5 The successful Proposer shall provide at a minimum: All FTA Required Audits and Documentation Technical Specification Configuration Certification and Reports Manufacturing Production Process Quality Assurance and Reports Pre-Delivery Inspection and Testing Reports Conditional Acceptance Testing at the OEM and Reports Review of manufacturer s proposed maintenance manuals and a report on any deficiencies Post-Delivery Reports and post production Buy America reports The successful Proposer shall witness the following at a minimum Desk audit of specifications vs. production plans prior to start of production; Configuration audit; Review of pre-award Buy America statement and production Buy America component compliance including certification of installation of designated parts; Pre-delivery visual and measured inspection; Pre-delivered total vehicle operation test(s) per the Specifications and a test of HVAC conditioning systems, wheelchair lift, on-board announcement and sign systems and all other standard or optional items as necessary. PROJECT ORGANIZATION The successful Consultant shall provide a project manager to supervise the inspection team, guide production line inspection duties, and assume ultimate responsibility for written reports until the project is satisfactorily concluded. The Consultant shall assess the final condition of all vehicles prior to delivery. Responsibilities and estimates of work efforts for the project manager and all other staff shall be clearly delineated in the proposal. SCOPE OF WORK The Consultant is free to propose additions or alterations to the activities required by Westchester County, in order to provide a scope of work which he feels would provide Technical and Quality Assurance Services, including visual inspection, during the period of fabrication and assembly at the manufacturing company s production facilities and those of selected component suppliers. The Proposal should allocate sufficient time for meetings with both County and vehicle and component manufacturers representatives. The Consultant selected shall provide engineering services during the construction phase of the regular production runs to evaluate the manufacturer s engineering changes and requested emergency use of non-conforming components and materials. 5

6 Surveillance of the manufacturing process and inspection of production as required shall be provided by the Consultant during In-Process and Final Inspection before the vehicles are released for shipment, to assure compliance with Westchester County s Articulated Low Floor Heavy Duty Diesel Hybrid Electric Transit Buses specifications. The selected Consultant shall be responsible for acceptance testing and inspection of vehicles prior to delivery to Westchester County and shall submit to the County written recommendations as to the acceptability of each vehicle. Regular written reports and recommendations shall be forwarded to the Commissioner or his/her designated Project Manager on an on-going basis (weekly or on some other agreed upon schedule) throughout this phase of the program. In addition, daily project updates, digital photos and notes are to be ed to WCDPW&T s Project Manager. As necessary, the selected Consultant shall also initiate verbal communications with the County when necessary to discuss and resolve production line issues. A final report shall be submitted by the Consultant for each vehicle. The final report for each vehicle and for the overall project shall be in sufficient detail to enable the County to determine that the maximum level of quality is built into each vehicle. The final report package for each vehicle shall at a minimum include in-plant QC/QA forms; inspection records and general information specific to each bus and, at least, draft copies of this information shall be included with delivery of each bus. Final individual bus reports for each bus shall be delivered with the final report package including a separate official Post Production Buy America Audit (Three Audit Copies minimum). Reports shall be received by WCDPW&T within 6 weeks of a bus order production completion. The consultant s staff shall be present on-site 100% of the production time. The production location may be in St. Cloud, Minnesota, Crookston, Minnesota and/or Anniston, Alabama. CURRENT PRODUCTION SCHEDULE (Subject to Change) Pilot Bus Online: February 5, 2018 Lead Bus Online: May 21, 2018 Serial Production: June 16, 2018 Serial Production 2 nd Order: April 17, 2020 PROPOSAL REQUIREMENTS This will be a federally funded project; therefore, federally mandated certifications must be completed and included in the proposal. All required forms are so noted and included in APPENDIX A. Proposal Format 6

7 All responses to this Request for Proposal (RFP) shall be submitted in two separate documents: a Technical Proposal and a sealed Cost Proposal. Five (5) copies of each part shall be submitted. Any proposal that violates this requirement shall be judged non-responsive regardless of the remainder of its contents. Technical Proposal Content This RFP is intended to provide interested firms with an opportunity to demonstrate their ability to perform the required tasks. The content should generally follow the outline of the work tasks, though alternative approaches may be suggested to accomplish the same end. The proposal submission is not intended to be an expensive, elaborate presentation, though it should be well composed for simplicity and ease of understanding. Contacts for references should be provided for similar work performed. The proposals submitted must clearly identify: 1. A work plan indicating that the proposer understands the nature, scope and scale of the work to be done. 2. Personnel to be assigned to this project with resumes. 3. Organizational chart showing relationships among personnel assigned to this project. 4. Activities to be undertaken under each work task. 5. Time to be devoted to each task and timeline. 6. Disadvantaged Business Enterprise (DBE) participation in the project Because proposals can at times be ambiguous, WCDPW&T reserves the right to request additional information before making an award. After the proposals have been submitted to WCDPW&T, interviews with selected responsible firms may be requested. Each firm may be expected to make a formal presentation on the content of its proposal and its ability to undertake the required work. Cost Proposal Requirements The following information should be included for review as part of the Cost Proposal: 1) A work budget indicating the number of hours assigned to each task 2) A cost estimate budget for the total contract amount and a cost breakdown by task which includes labor hours and expenses 3) A completed Cost Proposal Form, Attachment 1 included in APPENDIX A 4) Letter of Reference from a commercial bank chartered in the State of the proposer s home office address 5) Balance sheets and income statements for the last three years 6) Statement of Incorporation, Partnership or Proprietorship of Proposer, including the names, titles and home addresses of all officers, partners or principals of the proposer 7) A listing of previous County of Westchester contracts (if applicable) 8) Line item noting the cost of hourly (full production hour) inspection services 7

8 No proposal will be accepted from, nor any agreement awarded to, any proposer that is in arrears upon any debt or in default of any obligation owed to the County. Additionally, no agreement will be awarded to any proposer that has failed to satisfactorily perform pursuant to any prior agreement with the County. Cost of Proposal Preparation No reimbursement will be made for any costs incurred prior to a formal notice to proceed. Proposals to be in Effect Each proposal shall state that it is valid for a period of six months from the date of submission. Signature Requirements Proposals MUST be signed. Unsigned proposals will be rejected. Proposals must be signed by one or more duly authorized officials of the proposer. Consortia, joint ventures, or teams submitting proposals, although permitted, will not be considered responsive unless it is established that all contractual responsibility rests solely with one contractor or one legal entity which shall not be a subsidiary or affiliate with limited resources. Each proposal should indicate the entity responsible for contract execution on behalf of the proposal team. Rejection of Proposals Westchester County reserves the right to reject any and all proposals. Required Disclosure of Relationships to County Proposers are required to complete the questionnaire entitled Required Disclosure of Relationships to County attached hereto as APPENDIX A, Schedule B. In the event that any information provided in the completed questionnaire changes, Proposer agrees to provide a revised Required Disclosure of Relationships to County form to the County within ten (10) business days of such event. Qualified Transportation Fringe Program Executive Order No requires that contractors, concessionaires and vendors doing business with the County enroll in a Qualified Transportation Fringe Program as defined in 132(f)(1) of the IRS Tax Code for all contracts for goods or services of $100,000 or more in any twelve month period during the contract term if such contractor, concessionaire or vendor employs more than 25 individuals who utilize public transportation and/or pay for commuter parking at least 1 day per week regardless of whether those employees are engaged in work pursuant to the contract. Proposers shall submit the signed statement which is attached hereto as page 1 of Schedule C in APPENDIX A. Notwithstanding the above, a Proposer may submit to the Commissioner a Waiver Application in the form attached hereto as page 2 of Schedule C in APPENDIX A. 8

9 Conflict of Interest All firms must disclose with their proposals the name of any officer, director or agent who is also an employee of the County of Westchester. Further, all firms must disclose the name of any County employee who owns, directly or indirectly, an interest of ten percent or more in the firm or any of its subsidiaries or affiliates. Proposal Due Date All proposals must be received no later than October 10, 2017and be addressed as follows: Vincent F. Kopicki, P.E., Commissioner Westchester County Department of Public Works and Transportation 148 Martine Avenue, Room 518 White Plains, NY Any proposals received after the deadline will be judged non-responsive and returned to the sender. Proposers are advised to confirm receipt of their proposal by the Department. Inquiries Requests for clarification of this RFP must be written and submitted to Michael Swee no later than 4 p.m. on September 25, 2017 via at mas9@westchestergov.com. Formal written responses will be distributed by the County on or before October 2, NO COMMUNICATIONS OF ANY KIND WILL BE BINDING AGAINST THE COUNTY, EXCEPT FOR THE FORMAL WRITTEN RESPONSES TO ANY REQUEST FOR CLARIFICATION. Oral Presentation Proposers may be required to give an oral presentation to the County to clarify or elaborate on the written proposal. Addenda and Supplements to Request for Proposal In the event that it becomes necessary to revise any part of this RFP, or if additional information is necessary to enable the proposer to make an adequate interpretation of the provisions of this RFP, a supplement to the RFP will be made available to potential proposers through the Westchester County website at SELECTION PROCEDURES Selection will be based upon the qualifications of the firm and its ability to satisfy the project requirements, schedule and approach as described in the proposal, as well as the cost. The County of Westchester reserves the right, at its sole discretion, to reject any or all proposals and to waive minor irregularities. Proposals will be evaluated by a selection committee, in accordance with the criteria identified in Factors for Selection. Firms may be required to make an oral 9

10 presentation of their proposal to this committee. Factors for Selection This project will require the services of a knowledgeable, experienced and wellequipped consultant or consultant team who will be responsible for all aspects of the project. Proposals will be evaluated based on the following criteria: 1. Reputation and Experience: Does the consultant have a reputation for being reliable, delivering on schedule, within budget and performing tasks to the satisfaction of its client? Does the consultant have sufficient experience in the kinds of work required? 2. Capability and Availability of Staff: Does the designated firm have the qualified and experienced staff needed to perform this job? 3. Understanding of the Project Objectives and Scope of Work: Is there a thorough knowledge and understanding of the nature of the work involved and the tasks required to undertake this project for DPW&T? Is the approach as developed in the proposal a relevant and effective one? 4. Clarity and Organization: Are the proposed work program and schedule well organized, clearly presented and realistic? 5. Disadvantaged Business Enterprises (DBE) participation in the project. 6. Cost Proposal Evaluation criteria are not necessarily listed in order of importance. The County reserves the right to weigh its evaluation criteria in any manner it deems appropriate. PROJECT SCHEDULE September 5, 2017 September 25, 2017 October 2, 2017 October 10, 2017 Week of October 16, 2017 No later than 12/1/17 Request for Proposals Issued Deadline for Requests for RFP Clarifications WCDPW&T Responses to Clarification Requests Technical and Cost Proposals Due Consultant Interviews Contract Award CONTRACTUAL OBLIGATIONS AND OTHER PROVISIONS This proposed procurement is to be federally funded in part and accordingly, is subject to applicable federal statutes and regulations. Those provisions are described in the document, Federal Transit Administration Required Contract Provisions for Professional Services, included in APPENDIX A. Proposals shall be deemed 10

11 incomplete if they do not include the required forms. Disadvantaged Business Enterprise (DBE), 49 CFR Part 26 The Westchester County Department of Public Works & Transportation (DPW&T) is subject to 49 CFR Part 26 and thus shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any FTA-assisted contract or in the administration of its DBE Program or the requirements of 49 CFR Part 26. The County shall take all necessary and reasonable steps under 49 CFR Part 26 to ensure nondiscrimination in the award and administration of FTA-assisted contracts. The County s DBE Program, as required by 49 CFR Part 26 and as approved by FTA, is incorporated by reference in this agreement. Implementation of this program is a legal obligation and failure to carry out its terms is treated as a violation of the agreement between the County and the FTA. Upon notification to the Westchester County Department of Public Works & Transportation of its failure to carry out its approved program, the FTA may impose sanctions as provided for under Part 26 and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C et seq.). This contract is subject to the requirements of Title 49, Code of Federal Regulations, Part 26, Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs. Westchester County s overall goal for DBE participation is 3.96%. The contractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR Part 26 in the award and administration of this DOT-assisted contract. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as DPW&T deems appropriate. Each subcontract the contractor signs with a subcontractor must include the assurance in this paragraph (see 49 CFR 26.13(b)). The prime contractor agrees to pay each subcontractor under this prime contract for satisfactory performance of its contract no later than 30 days from the receipt of each payment the prime contractor receives from DPW&T. The prime contractor agrees further to return retainage payments to each subcontractor within 30 days after the subcontractor's work is satisfactorily completed. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of the DPW&T. This clause applies to both DBE and non- DBE subcontractors. The contractor must promptly notify DPW&T, whenever a DBE subcontractor performing work related to this contract is terminated or fails to complete its work, and must make good faith efforts to engage another DBE subcontractor to perform at least the same amount of work. The contractor may not terminate any DBE subcontractor and perform that work through its own forces or those of an affiliate without prior written consent of DPW&T. 11

12 The successful bidder/offeror will be required to report its DBE participation obtained through race-neutral means throughout the period of performance. Prohibited Interest of Members, Officials, Employees of the State of New York, County of Westchester or Local Public Body. No member, officer, employee of the County of Westchester, or member of its governing body or of a local public body having jurisdiction within the County during his or her tenure or one year thereafter, shall have any interest, direct or indirect, in any resultant contract or the proceeds thereof. Neither shall any vehicle manufacturer or supplier or any transit system operating within Westchester County, or any of their officers, principals or employees have any interest, direct or indirect, in any resultant contract or the proceeds thereof. MacBride Principles The selected Consultant must certify adherence to the MacBride Principles regarding business operations in Northern Ireland. Definitions of these principles and the certification are included as APPENDIX A, Schedule A. Contract Provisions After selection of the successful proposer, a formal written contract will be prepared by the County of Westchester and will not be binding until signed by both parties and approved by the Westchester County Board of Acquisition & Contract and the Office of the County Attorney. NO RIGHTS SHALL ACCRUE TO ANY PROPOSER BY THE FACT THAT A PROPOSAL HAS BEEN SELECTED BY THE COUNTY FOR SUBMISSION TO THE BOARD OF ACQUISITION & CONTRACT FOR CONTRACT APPROVAL. SAID BOARD HAS THE RIGHT TO REJECT ANY RECOMMENDATION AND THE APPROVAL OF SAID BOARD IS NECESSARY BEFORE A VALID AND BINDING CONTRACT MAY BE EXECUTED BY THE COUNTY. a) Indemnification and Insurance The proposer accepts and agrees that language in substantially the following form will be included in the contract between the proposer and the County: In addition to, and not in limitation of the insurance requirements contained herein, the Consultant agrees: (1) that except for the amount, if any, of damage contributed to, caused by or resulting from the negligence of the County, the Consultant shall indemnify and hold harmless the County, its officers, employees and agents from and against any and all liability, damage, claims, demands, costs, judgments, fees, attorneys' fees or loss arising directly or indirectly out of the acts or omissions hereunder by the Consultant or third parties under the direction or control of the Consultant; and (2) to provide defense for and defend, at its sole expense, any and all claims, demands or causes of action directly or indirectly arising out of this Agreement and to bear all other costs and expenses related 12

13 thereto. Upon execution of any contract between the proposer and the County, the proposer will be required to provide proof of the insurance coverage described in Schedule E. Insurance coverage in amount and form shall not be deemed acceptable until approved by the County of Westchester, Department of Risk Management. The Director of Risk Management may alter insurance requirements at his discretion. b) Non-Collusion The proposer, by completing and including in their proposal Form A-1, does hereby warrant and represent that any ensuing agreement has not been solicited, secured or prepared directly or indirectly, in a manner contrary to the laws of the State of New York and the County of Westchester, and that said laws have not been violated and shall not be violated as they relate to the procurement or the performance of the agreement by any conduct, including the paying or the giving of any fee, commission, compensation, gift, gratuity or consideration of any kind, directly or indirectly, to any County employee, officer or official. Compliance with Laws The preparation of proposals, selection of vendors and the award of contracts are subject to provisions of all Federal, State and County laws, rules and regulations. LEGAL REPRESENTATIONS UNDERSTANDINGS Please take notice, by submission of a proposal in response to this request for proposals, proposing entity agrees to and understands: that any proposal, attachments, additional information, etc. submitted pursuant to this Request for Proposals constitute merely a suggestion to negotiate with the County of Westchester and is not a bid under Section 103 of the New York State General Municipal Law; submission of a proposal, attachments, and additional information shall not entitle the proposing entity to enter into a service agreement with the County of Westchester for the required services; by submitting a proposal, the proposing entity agrees and understands that the County of Westchester is not obligated to respond to the proposal, nor is it legally bound in any manner whatsoever by submission of same; that any and all counter-proposals, negotiations or any communications received by a proposing entity, its officers, employees or agents from the 13

14 County, its elected officials, officers, employees or agents, shall not be binding against the County of Westchester, its elected officials, officers, employees or agents unless and until a formal written agreement for the services sought by this RFP is duly executed by both parties and approved by the Westchester County Board of Acquisition & Contract, and the Office of the Westchester County Attorney. In addition to the foregoing, by submitting a proposal, the proposing entity also understands and agrees that the County of Westchester reserves the right, and may at its sole discretion exercise, the following rights and options with respect to this Request for Proposals: To reject any or all proposals; To issue additional solicitations for proposals; To issue amendments to this RFP; To waive any irregularities in proposals received after notification to proposers affected; To select any proposal as the basis for negotiations of a contract, and to negotiate with one or more of the proposers for amendments or other modifications to their proposals; To conduct investigations with respect to the qualifications of each proposer; To exercise its discretion and apply its judgment with respect to any aspect of this RFP, the evaluation of proposals, and the negotiations and award of any contract; To enter into an agreement for only portions (or not to enter into an agreement for any) of the services contemplated by the proposals with one or more of the proposers; To select the proposal that best satisfies the interests of the County and not necessarily on the basis of price or any other single factor; While this is a Request For Proposals and not a bid, the County reserves the right to apply the case law under General Municipal Law 103 regarding bidder responsibility in determining whether a proposer is a responsible vendor for the purpose of this RFP process; The County assumes no responsibility or liability of any kind for costs incurred in the preparation or submission of any proposal; The County is not responsible for any internal or external delivery delays which may cause any proposal to arrive beyond the stated deadline. To be considered, proposals MUST arrive at the place specified herein and be time stamped prior to the deadline. Evaluation criteria are not necessarily listed in order of importance. The County reserves the right to weigh its evaluation criteria in any manner it 14

15 deems appropriate. CONTENTS OF PROPOSAL The New York State Freedom of Information Law as set forth in Public Officers Law, Article 6, Sections 84-90, mandates public access to government records. However, proposals submitted in response to this RFP may contain technical, financial background or other data, public disclosure of which could cause substantial injury to the proposer's competitive position or constitute a trade secret. Proposers who have a good faith belief that information submitted in their proposals is protected from disclosure under the New York Freedom of Information Law shall: a) insert the following notice in the front of its proposal: NOTICE The data on pages of this proposal identified by an asterisk (*) contains technical or financial information constituting trade secrets or information the disclosure of which would result in substantial injury to the proposer s competitive position. and The proposer requests that such information be used only for the evaluation of the proposal, but understands that any disclosure will be limited to the extent that the County considers proper under the law. If the County enters into an agreement with this proposer, the County shall have the right to use or disclose such information as provided in the agreement, unless otherwise obligated by law. b) clearly identify the pages of the proposals containing such information by typing in bold face on the top of each page " * THE PROPOSER BELIEVES THAT THIS INFORMATION IS PROTECTED FROM DISCLOSURE UNDER THE STATE FREEDOM OF INFORMATION LAW." The County assumes no liability for disclosure of information so identified, provided that the County has made a good faith legal determination that the information is not protected from disclosure under applicable law or where disclosure is required to comply with an order or judgment of a court of competent jurisdiction. The contents of the proposal which is accepted by the County, except portions "Protected from Disclosure", may become part of any agreement resulting from this RFP. MBE/WBE Pursuant to Local Law No , it is the goal of the County to use its best efforts 15

16 to encourage, promote and increase the participation of business enterprises which are owned and controlled by persons of color or women in contracts and projects funded by the County. Therefore, the County asks Proposers to complete the questionnaire attached hereto as APPENDIX A, Form A-3. This form is for informational purposes only, as FTA funded contracts are concerned only with DBE participation. Criminal Background Disclosure PLEASE TAKE NOTICE that pursuant to Executive Order No , the County shall have the right to bar any contractor, consultant, licensee or lessee of County owned real property, their principals, agents, employees, volunteers or any other person acting on behalf of said contractor, consultant, licensee or lessee who is at least sixteen (16) years old, including but not limited to subconsultants, subcontractors, sublessees or sublicensees or any family member or other person, who is at least sixteen (16) years old, residing in the household of a County employee who lives in housing provided by the County located on County property from providing work or services to the County or from being on County property if any of the above mentioned persons has either one of the following: (a) A conviction of a crime (all felonies and misdemeanors as defined under the New York State Penal Law or the equivalent under Federal law or the laws of any other State); (b) A pending criminal proceeding for a crime(s) as defined above; or (c) A refusal to answer such questions; where the following criteria apply: (a) If any of the persons providing work or services to the County in relation to a County Contract are not subject to constant monitoring by County staff while performing tasks and/or while such persons are present on County property pursuant to the County Contract; and (b) If any of the persons providing work or services to the County, in relation to a County Contract may, in the course of providing those services, have access to sensitive data (for example, Social Security Numbers and other personal/secure data); facilities (secure facilities and/or communication equipment); and/or vulnerable populations (for example, children, seniors and the infirm). Proposers that are awarded a contract shall be required to submit a Certification Form and any additional applicable criminal disclosure forms as attached hereto as Schedule D in APPENDIX A, along with the executed contract. Notwithstanding the above, a Bidder/Proposer may qualify for an exemption from Executive Order if: (i) the County has already conducted a background check and issued a security clearance that is in full force and effect for those persons; or (ii) if another state or federal agency having appropriate jurisdiction has conducted a security and/or background clearance or has implemented other protocols or criteria for this purpose that apply to the subject matter of the agreement that is sought by this RFP and the same is in full force and effect. Intellectual Property Rights The proposer accepts and agrees that language in substantially the following form will be included in the contract between the proposer and the County: All deliverables created under this Agreement by the Consultant are to be 16

17 considered works made for hire. If any of the deliverables do not qualify as works made for hire, the Consultant hereby assigns to the County all right, title and interest (including ownership of copyright) in such deliverables and such assignment allows the County to obtain in its name, copyrights, registrations and similar protections which may be available. The Consultant agrees to assist the County, if required, in perfecting these rights. The Consultant shall provide the County with at least one copy of each deliverable. The Consultant agrees to indemnify and hold harmless the County for all damages, liabilities, losses and expenses arising out of any claim that a deliverable infringes upon an intellectual property right of a third party. If such a claim is made, or appears likely to be made, the Consultant agrees to enable the County s continued use of the deliverable, or to modify or replace it. If the County determines that none of these alternatives is reasonably available, the deliverable will be returned. All records compiled by the Consultant in completing the work described in this Agreement, including but not limited to written reports, studies, drawings, blueprints, negatives of photographs, computer printouts, graphs, charts, plans, specifications and all other similar recorded data, shall become and remain the property of the County. The Consultant may retain copies of such records for its own use. Proposer Certification Proposers are required to complete and include in their proposal Form A-2 in APPENDIX A. 17

18 APPENDIX A CERTIFICATION FORMS, ATTACHMENTS & SCHEDULE FORMS REQUIRED DOCUMENTS TO BE COMPLETED AND INCLUDED IN THE PROPOSAL: Attachment 1: Cost Proposal Form (four pages) Schedule A : Certification Regarding Business Dealings with Northern Ireland Schedule B : Required Disclosure of Relationships to County Schedule C : Statement of Enrollment in a Qualified Transportation Fringe Program Schedule D (Including D-1 through D-5 ): Consultant Criminal Background Disclosure Instructions Form A-1 : Non-Collusive Bidding Certification Form A-2 : Proposer Certification Form A-3 : Questionnaire Regarding Business Enterprises Owned and Controlled by Persons of Color or Women FTA 1: Certification of Restrictions on Lobbying FTA 2: Government-Wide Debarment and Suspension (Non-Procurement) FTA 3: Disadvantaged Business Enterprise Bidders List Form DOCUMENTS FOR INFORMATIONAL PURPOSES Schedule E : Standard Insurance Provisions Federal Transit Administration Required Contract Provisions for Professional Services 18

19 WESTCHESTER COUNTY DEPARTMENT OF PUBLIC WORKS AND TRANSPORTATION CONTRACT PROPOSAL DO NOT WRITE IN SHADED AREAS Attachment 1 COST PROPOSAL FORM DATE RECEIVED ACTION CONTRACT NUMBER REVIEWED BY NAME OF PROJECT MANAGER PART I. GENERAL 1.DURATION OF PROJECT (Dates) FROM: TO: 3. PURPOSE OF PROPOSAL (Check one) NEW CHANGE (Contr. No.) 4. NAME AND BUSINESS OF PROPOSER (Individual, Firm, or Corporation and State in which incorporated) 2. TITLE OF PROPOSAL (Please be brief) 5. NAME, TITLE, AND MAILING ADDRESS OF PRINCIPAL BEARING TECHNICAL RESPONSIBILITY 6. MAJOR SUBDIVISION THAT WILL CONDUCT WORK 7. NAME AND TITLE OF CO-PRINCIPAL PART II. SUPPORT (List all sources other than WCDPW&T from which financial support for the project covered by this proposal is expected.) SOURCE TENTATIVE OR FIXED PERIOD OF SUPPORT FROM: TO: AMOUNT (Omit cents) ESTIMATED SUPPORT $ 19

20 Attachment 1: COST PROPOSAL FORM - Page 2 PART III. COST and PRICE ANALYSIS (The information below must be complete when submitted with proposals for the procurement of professional services. If your cost accounting system does not permit analysis of cost as required, contact WCDPW&T for further instructions). DETAIL DESCRIPTION 1. DIRECT LABOR (Specify) ESTIMATED HOURS RATE/HOUR TOTAL ESTIMATED COST ($) TOTAL DIRECT LABOR 2. OVERHEAD COST ON DIRECT LABOR ABOVE OVERHEAD RATE X BASE = OVERHEAD ($) TOTAL OVERHEAD 3. TOTAL DIRECT LABOR AND OVERHEAD 4. FIXED FEE/PROFIT (State basis for amount in proposal) 5. OTHER DIRECT COSTS: (Specify in Exhibit B on Page 3 for additional space) EST.COST ($) TOTAL OTHER DIRECT COSTS 6. SUBCONTRACTS: (Specify in Exhibit A on Page 3) EST.COST ($) 7. SPECIAL EQUIPMENT: (Specify in Exhibit B on Page 3) TOTAL SUBCONTRACTS 8. CONSULTANTS: (Identify - purpose - rate) EST.COST ($) TOTAL CONSULTANTS 9. TRAVEL: (If direct charge) A. TRANSPORTATION B. PER DIEM OR SUBSISTENCE TOTAL TRAVEL 10. TOTAL DIRECT FEE/PROFIT (Items 4 and 6) 11. TOTAL DIRECT REIMBURSEMENTS (Excludes profit) 12. TOTAL ESTIMATED COST AND FIXED FEE/PROFIT 20

21 Attachment 1: COST PROPOSAL FORM - Page 3 b. NAME AND ADDRESS OF GOVERNMENT AGENCY MAKING AUDIT c. DO YOUR CONTRACTS PROVIDE NEGOTIATED OVERHEAD RATES? (If yes, name Agency negotiating rates.) PART IV. CERTIFICATE The labor rates and overhead costs are current and other estimated costs have been determined by generally accepted accounting principles. Contractor represents: (a) that he has, has not, employed or retained any company or person (other than a full-time bona fide employee working solely for the Contractor) to solicit or secure his contract, and (b) that he has, has not, paid or agreed to pay to any company or person (other than a full-time bona fide employee working solely for the Contractor) any fee, commission, percentage or brokerage fee, contingent upon or resulting from the award of this contract, and agrees to furnish information relating to (a) and (b) above, as required by Contracting Officer. (For interpretation of the representation, including the term bona fide employee, see Code of Federal Regulations, Title 44, Part 150.) Number of contractor employees Over 500 Under 500 State incorporated in: DATE SIGNATURE AND TITLE OF AUTHORIZED REPRESENTATIVE OF CONTRACTOR PART V. REMARKS (If more space is needed, use blank sheets, identifying item number) 21

22 Attachment 1: COST PROPOSAL FORM - Page 4 TYPICAL ITEMS OF ALLOWABLE OVERHEAD EXPENSE Administrative salaries Project management salaries Office and clerical salaries Unallocated salaries, fee studies, etc. N.Y.C. occupancy tax N.Y.S. S. and N.Y.C. taxes Accounting and legal fees Rent and utilities Office supplies and maintenance Telephone and telegraph Dues, meetings, subscriptions Announcements and recruiting expense Insurance - public liability Insurance - company cars Insurance - professional liability and value papers Insurance - miscellaneous casualty Branch office expenses Depreciation, furniture and fixtures, engineering equipment, company cars, etc. Vacations Holidays Sick leave Federal social security Federal unemployment State unemployment State disability Worker's compensation insurance Employees' group insurance Employees' medical insurance Profit sharing plan Employees' bonuses Retirement contributions by employer only TYPICAL PAYROLL BURDEN ITEMS ***** 22

23 SCHEDULE A CERTIFICATION REGARDING BUSINESS DEALINGS WITH NORTHERN IRELAND A. The Contractor and any individual or legal entity in which the Contractor holds a ten percent (10%) or greater ownership interest and any individual or legal entity that holds a ten percent (10%) or greater ownership interest in the Contractor (a) has no business operations in Northern Ireland, or (b) shall take lawful steps in good faith to conduct any business operations in Northern Ireland in accordance with the MacBride Principles. B. For purposes of this Certification, MacBride Principles shall mean those principles relating to nondiscrimination in employment and freedom of workplace opportunity which require employers doing business in Northern Ireland to: (1) increase the representation of individuals from underrepresented religious groups in the work force, including managerial, supervisory, administrative, clerical and technical jobs; (2) take steps to promote adequate security for the protection of employees from underrepresented religious groups both at the workplace and while traveling to and from work; (3) ban provocative religious or political emblems from the workplace; (4) publicly advertise all job openings and make special recruitment efforts to attract applicants from underrepresented religious groups; (5) establish layoff, recall and termination procedures which do not in practice favor a particular religious group; (6) abolish all job reservations, apprenticeship restrictions and differential employment criteria which discriminate on the basis of religion; (7) develop training programs that will prepare substantial numbers of current employees from underrepresented religious groups for skilled jobs, including the expansion of existing programs and the creation of new programs to train, upgrade and improve the skills of workers from underrepresented religious groups; (8) establish procedures to assess, identify and actively recruit employees from underrepresented religious groups with potential for further advancement; and (9) appoint a senior management staff member to oversee affirmative action efforts and develop a timetable to ensure their full implementation. C. For purposes of this Certification, Northern Ireland shall be understood to be the six counties partitioned from the Irish Province of Ulster, and administered from London and/or from Stormont. 20

24 D. The Contractor agrees that the warranties and representation in paragraph A are material conditions of this Agreement. If the County receives information that the Contractor is in violation of paragraph A, the County shall review such information and give the Contractor opportunity to respond. If the County finds that such a violation has occurred, the County may declare the Contractor in default, and/or terminate this Agreement. In the event of any such termination, the County may procure the supplies, services or work from another source in accordance with applicable law. The Contractor shall pay to the County the difference between the contract price for the uncompleted portion of this Agreement and the cost to the County of completing performance of this Agreement either by itself or by engaging another Contractor. If this is a contract other than a construction contract, the Contractor shall be liable for the difference in price if the cost of procurement from another source is greater than what the County would have paid the Contractor plus any reasonable costs the County incurs in any new procurement and if this is a construction contract, the County shall also have the right to hold the Contractor in partial or total default in accordance with the default provisions of this Agreement. In addition, the Contractor may be declared not to be a responsible bidder or proposer for up to three (3) years, following written notice to the Contractor, giving the Contractor the opportunity for a hearing at which the Contractor may be represented by counsel. The rights and remedies of the County hereunder shall be in addition to, and not in lieu of, any rights and remedies the County has pursuant to this Agreement or by operation of law or in equity. Agreed: Name of Contractor: By (Authorized Representative): Title: Date: 21

25 SCHEDULE B REQUIRED DISCLOSURE OF RELATIONSHIPS TO COUNTY (Prior to execution of a contract by the County, a potential County contractor must complete, sign and return this form to the County) Contract Name and/or ID No.: Name of Contractor: (To be filled in by County) (To be filled in by Contractor) A.) Related Employees: 1. Are any of the employees that you will use to carry out this contract with Westchester County also an officer or employee of the County, or the spouse, or the child or dependent of such County officer or employee? Yes No If yes, please provide details: B.) Related Owners: 1. If you are the owner of the Contractor, are you or your spouse, an officer or employee of the County? Yes No If yes, please provide details: To answer the following question, the following definition of the word interest shall be used: Interest means a direct or indirect pecuniary or material benefit accruing to a county officer or employee, his or her spouse, child 22

26 or dependent, whether as the result of a contract with the county or otherwise. For the purpose of this chapter, a county officer or employee shall be deemed to have an "interest" in the contract of: i. His/her spouse, children and dependents, except a contract of employment with the county; ii. A firm, partnership or association of which such officer or employee is a member or employee; iii. A corporation of which such officer or employee is an officer, director or employee; and iv. A corporation of which more than five (5) percent of the outstanding capital stock is owned by any of the aforesaid parties. 2. Do any officers or employees of the County have an interest in the Contractor or in any subcontractor that will be used for this contract? Yes No If yes, please provide details: Authorized Company Official shall sign below and type or print information below the signature line: Name: Title: Date: 23

27 SCHEDULE "C" STATEMENT OF ENROLLMENT IN A QUALIFIED TRANSPORTATION FRINGE PROGRAM 1. I am the of (title) (Bidder's/Proposer's full legal name) 2. This statement is not applicable because (check all that apply, skip number 3 and sign below): The total value of the contract is less than $100,000 in any twelve month period during the contract term. Bidder/Proposer employs less than 25 individuals who utilize public transportation and/or pay for commuter parking at least 1 day per week. (If question 2 does not apply proceed with question 3 and sign below). 3. This Statement is applicable and is submitted in order to comply with the requirements of Executive Order No of the County of Westchester which requires prospective contractors, concessionaires and vendors to submit a signed statement at the time of procurement of the contract that they are enrolled in or have initiated the process to enroll in a Qualified Transportation Fringe Program as defined in 132(f)(1) of the IRS Tax Code. As of the date hereof the above indicated Bidder/Proposer: is enrolled in a Qualified Transportation Fringe Program as set forth in 132(f) of the Internal Revenue Service Tax Code, or has initiated the process of enrolling in a Qualified Transportation Fringe Program as set forth in 132(f) of the Internal Revenue Service Tax Code and will notify the appropriate County personnel in wiring upon the commencement of their participation in such a program. signature date page 1 24

28 SCHEDULE "C WAIVER APPLICATION Qualified Transportation Fringe Program Date: Name: Company: Address: This Application for a Waiver from the requirements of Executive Order No is being submitted based upon one of the following: an inability to comply with Executive Order No , or hardship would result from such compliance. Provide detailed explanation below: signature of authorized company official Approved: Disapproved: Date: Commissioner or Department Head Contract #: Name of Consultant/Subconsultant: page 2 25

29 SCHEDULE D CONSULTANT CRIMINAL BACKGROUND DISCLOSURE INSTRUCTIONS Pursuant to Executive Order and subject to the applicable provisions of New York Correction Law 752 and 753, the County shall have the right to bar the following Persons Subject to Disclosure (Persons shall mean individuals or legal entities) from providing work or services to the County or from being on County property: (a) Consultants, Contractors, Licensees, Lessees of County owned real property, their principals, agents, employees, volunteers or any other person acting on behalf of said Contractor, Consultant, Licensee, or Lessee who is at least sixteen (16) years old, including but not limited to Subconsultants, Subcontractors, Sublessees or Sublicensees who are providing services to the County; and (b) Any family member or other person, who is at least sixteen (16) years old, residing in the household of a County employee who lives in housing provided by the County located on County property. If any of the above mentioned Persons Subject to Disclosure has either one of the following: (a) A conviction of a crime (all felonies and misdemeanors as defined under the New York State Penal Law or the equivalent under Federal law or the laws of any other State); (b) A pending criminal proceeding for a crime(s) as defined above; or (c) A refusal to answer such questions. Where the following criteria apply: (a) If any of the Persons Subject to Disclosure providing work or services to the County in relation to a County Contract are not subject to constant monitoring by County staff while performing tasks and/or while such persons are present on County property pursuant to the County Contract; and (b) If any of the Persons Subject to Disclosure providing work or services to the County, in relation to a County Contract may, in the course of providing those services, have access to sensitive data (for example, Social Security Numbers and 26