REQUEST FOR PROPOSALS PT-18-1 OHIO RAIL FIXED GUIDEWAY SYSTEM SAFETY AND SECURITY OVERSIGHT PROGRAM

Transcription

1 REQUEST FOR PROPOSALS PT-18-1 OHIO RAIL FIXED GUIDEWAY SYSTEM SAFETY AND SECURITY OVERSIGHT PROGRAM OHIO DEPARTMENT OF TRANSPORTATION OFFICE OF TRANSIT February 17,

2 INTRODUCTION The Ohio Department of Transportation (ODOT) is soliciting the services of qualified firms to provide technical assistance, administration, and oversight activities for the Ohio Rail Fixed Guideway System Safety and Security Oversight (SSO) Program (the Program), in accordance with regulations issued by the Federal Transit Administration (FTA) in 49 CFR, Part 659 and Part 674 (the Rule) and all new requirements for FTA s SSO program in the current surface transportation authorization, Moving Ahead for Progress in the 21st Century (MAP-21) and Fixing Americas Surface Transportation (FAST), in 49 United States Code (U.S.C.) Section 5329, Public transportation safety program. As required by the Rule, ODOT developed a Safety and Security Oversight Program Standard (SSOPS), which describes the Program and defines the respective roles and responsibilities of ODOT, eligible transit agencies, and the FTA in its implementation. A copy of the SSOPS is available on the website at: Currently, the Greater Cleveland Regional Transit Authority (GCRTA) and the Cincinnati Bell Connector (Streetcar), a joint project with the City of Cincinnati and the Southwest Ohio Regional Transit Authority (SORTA) are the public transit systems in Ohio covered by the Program. The Rule requires GCRTA and SORTA to submit a System Safety Program Plan (SSPP) and System Security Plan (SSP) to ODOT that complies with the requirements of the SSOPS. ODOT does not expect any other rail transit system to initiate service in the state during the period covered by the contract awarded as a result of this solicitation, though the SSO program would be expect the successful bidder to accommodate SSO related new start up questions or concerns. SCOPE OF SERVICES -The successful proposer must demonstrate a thorough understanding of the Rule and MAP-21 requirements and the respective roles and responsibilities of ODOT, GCRTA and SORTA. -The successful proposer must demonstrate how they intend to act as an ODOT staff member of the SSO team. -ODOT currently has no waiver from the FTA Administrator regarding Conflict of Interest (COI) so the successful proposer must demonstrate an awareness of 49 CFR Part and 49 CFR Part regarding COI and indicate any conflicts of interest which may arise and must disclose any work performed for GCRTA or SORTA in the past three years. -The successful proposer must also demonstrate how their qualifications meet the requirements of the ODOT s Technical Training Plan requirements for covered SSO Staff. 2

3 - It is expected that the successful proposer will provide the task breakdown of their expected service tasks by the amount of hours per task and which proposed staff will be working each assignment. Under the guidance of staff from ODOT, and acting on behalf of ODOT, the successful proposer would be responsible for the following activities: Annual and Periodic Submissions to FTA and Governor of Ohio Annual Submission to FTA- This includes reporting of accidents on the FTA website, Annual Report on behalf of the ODOT SSOA, et al. Assist ODOT by preparing before March 15 of each year: 1. A publicly available annual report summarizing its oversight activities for the preceding twelve months, including a description of the causal factors of investigated accidents, status of corrective actions, updates and modifications to GCRTA and SORTA program documentation, and the level of effort used by the oversight agency to carry out its oversight activities 2. A report documenting and tracking findings from a three (3) year safety and security review activities and whether a three (3) year safety and security review has been completed since the last annual report was submitted. 3. Program standard and supporting procedures that have changed during the preceding year. 4. Certification that any changes or modifications to the GCRTA or SORTA s SSPP or SSP have been reviewed and approved by the oversight agency. Periodic Submissions to FTA The successful proposer must assist ODOT in preparing periodic program information including status reports of accidents, hazardous conditions, Safety Advisory (SA) submissions, and Corrective Action Plans (CAPs) if requested by FTA. ODOT s System Safety and Security Oversight Program Standard (SSOPS) Updates As revisions to FTA regulations are issued, ODOT s SSOPS must be modified to remain in compliance with the Rule. It will be the responsibility of the successful proposer to ensure ODOT s SSOPS is reviewed and updated as necessary. GCRTA and SORTA Annual Report 3

4 Pursuant to the Rule, GCRTA and SORTA are required to submit an Annual Report to ODOT no later than January 31 st of each year. The successful proposer s activities will include, but not be limited to the following: 1. Review and internal approval or disapproval of checklists or procedures that GCRTA/SORTA will use during reviews or audits. If disapproved, the successful proposer must identify deficiencies in the checklists or procedures and notify GCRTA/SORTA of the need for corrective actions; 2. Review the internal safety and security reviews and issue a written response either approving or disapproving the Annual Report within thirty (30) calendar days of receiving the report. If disapproved, the successful proposer must also; 3. Identify deficiencies in the report and notify GCRTA/SORTA of need for corrective actions and the development of a CAP; 4. Review GCRTA/SORTA s CAP report and issue a written response of acceptance or rejection, and; 5. Continue review and correspondence activities with GCRTA/SORTA and ODOT until the noted deficiencies have been resolved. Investigation of Accidents and Significant Hazardous Conditions The successful proposer will assist ODOT SSO in the investigation of accidents and significant hazardous conditions that occur or exist at GCRTA and SORTA. Activities may include, but not be limited to the following: Accidents/Reportable Events 1. Serve as the initial contact for accident notification by GCRTA/SORTA; 2. Receive and review accident reports, gather data and information necessary to characterize any reported accident and provide the initial briefing to ODOT, according to the accident reporting procedures established in the SSOPS; 3. Monitor and review accident investigation activities conducted by GCRTA/SORTA; 4. When directed by ODOT, conduct actual on-site accident investigation activities (i.e., perform physical inspections, review relevant data and records, interview individuals involved in the accident, etc.) and prepare both interim accident investigation status reports and a final accident investigation report; 5. In the event of a National Transportation Safety Board (NTSB) investigation, serve as a primary contact on NTSB activities including meetings, interviews, requests for data, etc.; and 6. Provide additional assistance, as directed by ODOT, to fulfill the accident investigation requirements outlined in the SSOPS. Significant Hazardous Conditions 1. Serve as the initial contact for notification of significant hazardous conditions by GCRTA/SORTA and contact the ODOT TMC and FTA hotline if needed; 4

5 2. Receive and review reports of significant hazardous conditions, gather data and information necessary to characterize any reported condition and provide the initial briefing to ODOT according to the procedures established in the SSOPS for reporting significant hazardous conditions; 3. Monitor and review significant hazardous condition investigation activities conducted by GCRTA/SORTA 4. When directed by ODOT, conduct actual on-site significant hazardous condition investigation activities (i.e., perform physical inspections, review relevant data and records, interview individuals responsible for reporting significant hazardous conditions, etc.), prepare both interim investigation status reports and a final accident investigation report; and 5. Provide additional assistance, as directed by ODOT, to fulfill the investigation requirements for significant hazardous conditions, as outlined in the SSOPS. Corrective Action Plans (CAPs) The Rule requires transit agencies covered by the Program to prepare and submit Corrective Action Plans (CAPs) to minimize, control, correct, or eliminate any safety deficiencies or significant hazardous conditions, which contribute to or cause an accident. During its review of reported accidents and significant hazardous conditions, the successful proposer would be responsible, on behalf of ODOT, for approving and monitoring the implementation of recommended corrective actions submitted by GCRTA/SORTA. In the event that the NTSB conducts an investigation, GCRTA/ SORTA and ODOT shall review the NTSB findings and recommendations to determine whether or not a CAP should be developed by GCRTA/ SORTA. ODOT s procedures for accident investigations, significant hazardous condition investigations and corrective actions are described in Chapters 6 through 9 of the SSOPS. Additionally, in fulfilling the requirements for investigating accidents and significant hazardous conditions and monitoring corrective actions, the successful proposer will be required to meet jointly with ODOT and GCRTA/ SORTA at least quarterly in GCRTA/SORTA offices to review open investigations, corrective action activities and other open or unresolved issues. GCRTA s and SORTA s System Safety Program Plan (SSPP) and System Security Plan (SSP) Updates GCRTA has prepared and submitted to ODOT a SSPP and SSP that complies with the ODOT SSOPS. Minimum requirements of the SSPP are described in Chapter 9 of the SSOPS. Minimum requirements of the SSP are described in Chapter 11 of the SSOPS. GCRTA/SORTA is required on an annual basis or sooner (if necessary) to review the SSPP and SSP and perform any necessary updates or modifications to ensure the SSPP and SSP are current at all times. GCRTA/SORTA must also annually certify that it is in compliance with its SSPP and SSP. ODOT shall require changes to the SSPP and SSP based on revisions to the SSOPS, FTA 49 5

6 CFR Part 659, Part 674, Part 673, Part 670 audit results, on-site reviews, investigations, or changing trends in accident/incident data. GCRTA/SORTA may periodically have to update or modify its SSPP and SSP as a result of changes within its organization, reassignment of organizational responsibilities, changes in operating conditions or physical facilities, audit report results, on-site inspections, changing trends in accident or security data, or other reasons that may come to the attention of either GCRTA, SORTA or ODOT. When changes to the SSPP or SSP are necessary, the successful proposer will review and recommend approval or disapproval to ODOT. If approved, the successful proposer will monitor the implementation schedule until all modifications are fully implemented. If disapproved, the successful proposer, ODOT and GCRTA/SORTA will negotiate alternative courses of action, as appropriate, until the SSPP and SSP comply with the SSOPS. SORTA is currently developing their initial submission of these documents, which will follow the same process of review and approval listed above. GCRTA and SORTA On-Site Triennial Audit The Rule requires ODOT to conduct an on-site safety compliance audit of GCRTA and SORTA once every three years. GCRTA: The last on-site safety audit of GCRTA was conducted in September The next audit is due and will be scheduled during the fall of 2018 State Fiscal Year (SFY)2019. SORTA: SORTA has not had an on-site audit since beginning revenue service. In order to begin the cycle and to ensure the mitigations and CAPS from the 2016 Pre-Revenue Service Review (PRSR) have been initiated into revenue service, SORTAs first Triennial Audit will be performed during Fall 2017 (SFY2018). The Contractor, along with ODOT personnel, will perform the on-site audit. The audit will focus primarily on assessing the Transit Agencies compliance with their internal safety and security policies, with a major emphasis on the organizational and procedural aspects of their operations as they relate to system safety and security. The on-site audit will consist of pre-audit data and 6

7 information gathering, the actual audit and the issuance of a post-audit report with any recommendations or findings. The major activities for each of these aspects will be as follows: Pre-Audit Data and Information Gathering Provide written notification to transit agency of the scheduled audit, identifying the objectives of the audit and the key documents to submit to ODOT for review. Typical documents that may be requested could include: 1. The current SSPP and SSP 2. Current Organizational Chart 3. Safety and Security Policy Statements 4. Operating Rulebook 5. Emergency Response Procedures 6. System safety and security statistics for the past three years Develop the audit evaluation criteria by which GCRTA and SORTA will be reviewed and evaluated. Assess the materials provided by the agency against the established evaluation criteria and determine which areas require review that is more extensive during the actual audit. Coordinate Audit meeting dates, times, and interviews at GCRTA and SORTA. Conduct On-Site Audit The purpose of the audit will be to assess how the agencies written system safety program works in practice and to determine if it complies with the SSOPS. At a minimum, the audit will provide an assessment of the following: 1. System Safety Policies and Procedures Review agencies safety and security policies and plans and the extent to which they are understood and implemented by all operating elements throughout the organization 2. Corrective Action Plan Implementation- Review a sample of closed corrective action items to verify and validate that approved action plans have been appropriately implemented 3. Management Examine management s commitment (i.e., policy, culture, organization, support to operating functions, etc.) to safety and security 4. Spot Checks Conduct spot checks of selected areas to determine if the system safety and security program is working in practice. Areas and/or facilities to be examined may include operations, training, maintenance, substance abuse, track, trains, signals, emergency response, communications systems, dispatching and other areas Prepare Audit Report Once the audit has been completed, the Contractor will be required to issue a final audit report (which will also entail draft versions for ODOT and agency review and comment), complete with any recommendations and findings for improving agency s safety and security programs. 7

8 ODOT Requirements 1. Monthly Reports: The successful proposer will be required to submit a monthly report within the first week of each month summarizing their work activities from the previous month. The monthly report must provide the status of GCRTA and SORTA s plan updates, audits, investigations, and CAPs as of the report date as well as a review of the hazard logs and significant events from GCRTA and SORTA. The successful proposer must have ongoing regular communications with GCRTA and SORTA safety, security, training, and operations staff in order to deliver an accurate monthly report to ODOT. 2. GCRTA and SORTA s Executive Safety Committee Meetings: The successful proposer will be required to regularly monitor or attend GCRTA and SORTA s Executive Safety Committee meetings and report the results of those meetings to ODOT. 3. GCRTA and SORTA s Quarterly SSO Meetings: The successful proposer will be required to coordinate and conduct quarterly meetings at GCRTA and SORTA headquarters to discuss the status of safety and security plans, investigations, and CAPs. The successful proposer must also submit an annual schedule of the quarterly meetings to ODOT for review at the beginning of the calendar year and notify ODOT promptly if the meeting dates need to be rescheduled. 4. Transition Program Due to MAP-21: A new Federal Transportation bill was signed into law, and began October 1, The successful proposer will be responsible for supporting the coordination of activities to transition the current program to meet the new requirements established under the MAP-21 law. The FTA Program guidance is not currently established, but will be developed during the term of this proposal. The successful proposer will be responsible to support the review and analysis of information for ODOT to make strategic decisions regarding the SSO Program. The successful proposer must demonstrate a working knowledge of the Federal Regulatory Rule development and public involvement process. The successful proposer will provide guidance to ODOT for providing comments to FTA during the rule making process. The successful proposer will also be responsible for supporting the activities required to update ODOT SSO Program documents to comply with changes resulting from the full implementation of the MAP-21 requirements. This could include training or attendance at the FTA-TSO regular SSO Program Managers meeting as deemed necessary by the ODOT SSO Program Manager. 5. Future Extensions: While there are no planned rail extensions for the SFY SSO contract, the successful proposer must be able to assist in any SSO related activities related to a rail extension or new startup in its early stages. FTA On-site Rail Safety and Security Program Review of ODOT The last review was conducted in March It has been expressed by FTA that an audit will be required in order to be compliant with the 674 Certification. Therefore, the successful proposer will be required to attend the review and provide assistance in responding to FTA s 8

9 report of findings and recommendations. This should be identified as a task in the task breakdown as it is assumed this review will fall within the terms of this contract. Other Activities The successful proposer will provide general support for implementation of the Program, including, but not limited to responding to inquiries about the Program, preparing briefing materials, and assisting ODOT and GCRTA/SORTA with issues related to implementation of the Program. Contract Type The contract will have two specified payment structures - a Cost Plus Fixed Fee (CPFF) structure and a Time and Materials (T&M) structure. Investigations of accidents and significant hazardous conditions must be provided on demand, so ODOT will use a T&M payment structure to pay for these activities, subject to a ceiling to be established for maximum payment. ODOT will use a CPFF payment structure for work performed to prepare and submit ODOT s annual report to FTA, review GCRTA/SORTA s Annual Report, review and update ODOT s SSOPS and GCRTA/SORTA s SSPP and SSP, and other services that can be scheduled in advance. Minimum Technical Scoring Each Proposal will be graded against I. Evaluation Criteria: A. Proposal Completeness and Responsiveness B. Experience of Proposer and Proposers Personnel C. Structure of Proposers Organization D. Extra Value Added And then providing a minimum technical score of 780 is achieved in A, B, C and D- E. Cost The highest score of A+B+C+D+E= will be considered the winning proposer. To be considered as a qualifying bidder, all 5 sections must be included in score. A proposer not qualifying for Section E by not meeting the Minimum Technical Score will be deemed a Non-responsive bidder and therefore not considered. NOTIFICATION TO PROCEED Within 48 hours of being notified by ODOT to proceed with an on-site investigation of an accident or significant hazardous condition, the successful proposer would be required to provide ODOT with a cost estimate for the investigation. The cost estimate would include the cost for personnel, travel, materials and miscellaneous expenditures. PROPOSAL FORMAT 9

10 I. Description of Proposer Proposers must identify themselves and any partner firms or subcontractors in accordance with the following format: Name: Address: Telephone: Contact Person: Primary Line of Business: Areas of Expertise: Address: II. Understanding of the Scope of Work Proposers must describe the activities necessary for conducting a rail fixed guideway safety and security program in general. The proposers should add scope (activities, descriptions, and budget by task) that they deem necessary for the successful implementation of the SSO project. The description should also enable ODOT to determine the proposer s knowledge of the rail fixed guideway service to be reviewed under this program and service, from that which is exempt from this rule (i.e., service regulated by the FRA). Proposers should submit a brief narrative supporting recommendations for conducting the work specified in the RFP, and a detailed step-by-step methodology for accomplishing the activities to be performed. III. Management and Organization Support Submit the names and resumes of individuals who will be assigned to the proposed contract. List each individual s qualifications, availability for the term of the contract, familiarity with and understanding of FTA and ODOT programs, policies and procedures, and previous experience on similar projects. In addition, the proposal must clearly identify each individual assigned to this project, including those working for any subcontractors and the amount of time each individual listed is expected to contribute to the project. IV. Cost Information 10

11 A separate sealed Cost Proposal is to be submitted with the proposal. The Cost Proposal should be divided into two sections--one for the Time and Materials (T&M) portion of the contract for the investigations of accidents and significant hazardous conditions and one for the Cost Plus Fixed Fee portion for the balance of the work that is defined in advance as specified in the section on Contract Type above. Information should include estimated actual cost information for all partners or subcontractors included in this proposal. Because of the nature of the project, the proposer s actual costs and the total amount of the contract are dependent upon an unknown number of accidents or determinations of significant hazardous conditions for the On-Demand services. The Cost Proposal for the Time and Materials portion should provide a fully-loaded hourly rate, including fringes and overhead for each participant that will be assigned to the project. An overall contract ceiling will be established by ODOT that will provide a cost cap for this portion of the contract. For the Cost Plus Fixed Fee (CPFF) portion, both the components of cost and a proposed total cost should be provided for the project. To provide a basis for comparison, proposers must submit the following cost information: 1. Labor Costs - Provide a roster of positions that will be available and assigned to the contract. List the fully loaded hourly rate for each position. Provide an estimate on the amount of time that each roster position will spend on the project over its course. 2. Overhead - Express as a fixed percent of direct labor costs 3. General Administration - Express as a fixed percent of direct labor costs 4. Profit - Express as a percent or rate and the base to which the percent or rate applies; do not list a dollar amount 5. Travel All travel costs are limited by the rates allowed under the current applicable Ohio Department of Transportation (ODOT) travel directives and Office of Budget and Management (OBM) in place at the time travel is undertaken V. Forms, Certifications and Assurances All proposers must complete, sign and submit the following enclosed exhibits with their proposal: -Exhibit A - Affirmative Action Affidavit -Exhibit B - Non-Collusion Affidavit 11

12 -Exhibit C - Ineligible Contractor s Certificate -Exhibit D Required FTA Contract Clauses PROPOSER INSTRUCTIONS I. Proposal Due Date One (1) original and two (2) copies of the proposal must be received at ODOT by 3:00 p.m. on Friday, March 24, 2017 to: Charles Dyer Administrator Office of Transit Ohio Department of Transportation 1980 West Broad Street 2nd Floor Mail Stop 3110 Columbus, Ohio Any proposals received after the deadline will not be considered and will be returned unopened. To facilitate the clarification of requirements, respondents are requested to submit questions by no later than March 17, 2017, to brian.kummerer@dot.ohio.gov. Questions and answers received by March 17, 2017, will be posted on ODOT s Office of Transit website at: II. Commitment to Perform Proposal Services The proposal must be signed by a duly authorized official of the proposer s firm, or if a joint venture, by an official from each participating firm. III. Contract Award 12

13 Any proposed contract negotiated between ODOT and the successful proposer as a result of this RFP is subject to approval of the State Controlling Board. Without Controlling Board approval, the contract will be invalid and unenforceable. TERMS AND CONDITIONS I. Project Completion The duration of this contract will be two years starting July 1, 2017 and ending June 30, II. Project Funding The contract will be funded through various grants from FTA and the State of Ohio. III. Reserved Rights During the solicitation process, ODOT reserves the following rights: -To reject any or all proposals, to postpone contractor selection and to resolicit or cancel this procurement if deemed to be in the best interest of the State of Ohio. -To request additional information from any and all proposers. -To subject the execution of any contract or task order to the availability of funds and negotiation of agreeable terms with the successful proposer. -To enter into a contract with any proposer based upon the proposer s initial offer. -To waive liability for reimbursement of any costs incurred by proposers responding to this RFP. IV. Rejection of Proposals ODOT will reject any proposal for the following reasons: 13

14 -Proposer fails to sign the required forms, certifications and assurances, and enclose the originally-signed forms, certifications and assurances in the original proposal filed with ODOT. Signatures should be in BLUE ink. -Proposer includes exceptions to the services described under Scope of Services. -Proposal is received after 3:00 p.m. on Friday, March 24, Proposer provides less than sixty (60) days for acceptance. REQUIRED CONTRACT CLAUSES Any contract awarded as a result of this solicitation will incorporate the clauses of the standard ODOT contract as well as specific clauses required by FTA. Required FTA clauses and certifications (Exhibit A through Exhibit D) are included. If selected, the proposer must execute the contract prior to submission of the proposed contract to the State Controlling Board. EVALUATION AND SELECTION PROCESS I. Evaluation Criteria All proposals submitted in response to this RFP will be evaluated according to the following criteria: A. Proposal Completeness and Responsiveness (225 points) 1. Accuracy of Proposal to Ohio SSO Program-(100 pts) 2. Complete understanding of the work to be performed-(50 pts) 3. Responsiveness to the RFP scope of work-(75 pts) B. Experience of proposer and proposer s personnel (400 points) 1. Prior experience with safety and security programs, (emphasis on SSO related projects)-(200 pts) 14

15 2. Qualifications of assigned project personnel (education, experience and training/certification)-(200 pts) C. Structure of proposer s organization (350 points) 1. Availability and responsiveness of proposer s resources and assigned project personnel -(250 pts) 2. DBE participation and proposer s efforts to maximize opportunities for meaningful DBE participation-(100 pts) D. Extra Value Added (50 points) E. Cost (230 points) 1. Reasonableness of unit cost elements provided for direct labor, overhead, general administration and profit-(75 points) 2. Evidence of efficient use of proposer s resources-(75 pts) 3. Total proposed cost compared to other proposals meeting minimum technical score-(sliding scale based on 80 points as outlined below) Each proposal meeting the minimum technical qualifications will be awarded points ranked by total cost as follows: 1. Lowest Proposal- 80 Points 2. 2 nd lowest- 60 points 3. 3 rd lowest- 40 points 4. 4 th lowest- 20 points 5. 5 th through 10 th lowest- 10 points th on- 5 points II. Selection Process 15

16 The successful proposer will be selected by ODOT staff. ODOT staff will review and score all proposals. Proposers may be contacted to make a presentation. The presentations will allow ODOT staff to ask questions with regard to the respective proposals and provide an opportunity for proposers to discuss issues relative to their proposals. Proposals will be evaluated in sections A, B, C and D to meet a minimum technical score. If they do not receive a minimum technical score of 780, they will not be considered for Section E scoring and therefore deemed non- responsive to the proposal specifications. Following the presentations, ODOT staff will recommend a proposer for the transit rail Safety and Security Oversight (SSO) contract and will subsequently contact the recommended proposer to initiate negotiations for a contract. III. Solicitation Schedule The schedule below lists dates for completion of various phases of this solicitation: Date Activity February 17, 2017 RFP advertised March 24, 2017 Responses due to Ohio Department of Transportation March 30, 2017 Respondent interview (as necessary) April 7, 2017 Contractor recommendations submitted to ODOT Management April 21, 2017 Solicitation documentation and proposed contract submitted to State Controlling Board for approval July 1, 2017 Contract Begins 16

17 EXHIBIT A AFFIRMATIVE ACTION AFFIDAVIT (To be completed by firms with less than 50 employees) (STATE OF ) (COUNTY OF ) I, of the of in the County of, State of, of full age, being duly sworn according to law on my oath depose and state that: 1. I am of the firm of project., a bidder making a proposal inclusive upon the above named 2. does not have 50 employees or more inclusive of all officers and employees of every type. 3. I am familiar with the affirmative action requirements of O.R.C and rules and regulations issued by the Ohio Department of Administrative Services pursuant thereto. 17

18 4. has complied with all affirmative action requirements of the State of Ohio, including those required by the O.R.C and the rules and regulations issued by the Ohio Department of Administrative Services thereto. 5. I am aware that if does not comply with O.R.C and rules and regulations issued pursuant thereto, that no monies will be paid by ODOT until an affirmative action plan is approved. I understand that the contract may be terminated and may be debarred from all public contracts for a period up to five (5) years for violation of said provisions. 6. In the event my workforce increases to 50 employees, I must contact the Ohio Affirmative Action office and complete an Employee Information Report. Signature of Authorized Official Title 18

19 EXHIBIT B NON-COLLUSION AFFIDAVIT (STATE OF ) (COUNTY OF ) I, of the of in the County of, State of, of full age, being duly sworn according to law on my oath depose and state that: I am of the firm of, a bidder making a proposal inclusive upon the above named project, and that I executed the said proposal with full authority to do so: that said bidder has not, directly or indirectly, entered into any agreement, participated in any collusion, or otherwise taken any action in restraint of free, competitive bidding in connection with the above named project; and that all statements contained in said proposal and in this affidavit are true and correct, and made with full knowledge that ODOT relies upon the truth of the statements contained in said proposal and in the statements contained in this affidavit in awarding the contract for the said project. 19

20 I further warrant that no person or selling agency has been employed or retained to solicit or secure such contract upon an agreement or understanding for a commission, percentage, brokerage or contingent fee, except bona fide employees or bona fide established commercial or selling agencies maintained by. (Name of Contractor) Signature of Authorized Official Title 20

21 EXHIBIT C CERTIFICATION REGARDING DEBARMENT, SUSPENSION, PROPOSED DEBARMENT, AND OTHER RESPONSIBILITY MATTERS (a)(1) The Proposer certifies, to the best of its knowledge and belief that-- (I) The Proposer and/or any of its Principals-- (A) Are not presently debarred, suspended, proposed for debarment, or declared ineligible for the award of contracts by any federal or state agency; (B) Have not, within a three-year period preceding this offer, been convicted of or had a judgment rendered against them for: commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state, or local) contract or subcontract; violation of federal or state anti-trust statutes relating to the submission of offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, or receiving stolen property; and (C) Are not presently indicted for, or otherwise criminally or civilly charged by a governmental entity with commission of any of the offenses enumerated in subdivision (a)(1)(i)(b) of this provision. 21

22 (ii) The Proposer has not, within a three-year period preceding this proposal, had one or more contracts terminated for default by any federal or state agency. (2) Principals, for the purpose of this certification, means officers; directors; owners; partners; and persons having primary management or supervisory responsibilities within a business entity (e.g., general manager; plant manager; head of a subsidiary, division, or business segment; and similar positions). THIS CERTIFICATION CONCERNS A MATTER WITHIN THE JURISDICTION OF AN AGENCY OF THE UNITED STATES AND THE MAKING OF A FALSE, FICTITIOUS, OR FRAUDULENT CERTIFICATION MAY RENDER THE MAKER SUBJECT TO PROSECUTION UNDER SECTION 1001, TITLE 18 UNITED STATES CODE. (b) The Proposer shall provide immediate written notice to the Contracting Officer if, at any time prior to contract award, the Proposer learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. (c) A certification that any of the items in paragraph (a) of this provision exists will not necessarily result in withholding of an award under this solicitation. However, the certification will be considered in connection with a determination of the Proposer s responsibility. Failure of the Proposer to furnish a certification or provide such additional information as requested by the Contracting Officer may render the Proposer nonresponsive. (d) Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render, in good faith, the certification required by paragraph (a) of this provision. The knowledge and information of a Proposer is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. (e) The certification in paragraph (a) of this provision is a material representation of fact upon which reliance is placed when making an award. If it is later determined that the Proposer knowingly rendered erroneous certification, in addition to other remedies available to the State, the Contracting Officer may terminate the contract resulting from this solicitation for default. 22

23 Signature of Authorized Official Title Name of Company 23

24 Exhibit D Federal Clauses Fly America Requirements Applicability all contracts involving transportation of persons or property, by air between the U.S. and/or places outside the U.S. These requirements do not apply to micro-purchases ($3,500 or less, except for construction contracts over $2,000). Contractor shall comply with 49 USC (the Fly America Act) in accordance with General Services Administration regulations 41 CFR , stating that recipients and subrecipients of Federal funds and their contractors are required to use US Flag air carriers for US Government-financed international air travel and transportation of their personal effects or property, to the extent such service is available, unless travel by foreign air carrier is a matter of necessity, as defined by the Fly America Act. Contractor shall submit, if a foreign air carrier was used, an appropriate certification or memorandum adequately explaining why service by a US flag air carrier was not available or why it was necessary to use a foreign air carrier and shall, in any event, provide a certificate of compliance with the Fly America requirements. Contractor shall include the requirements of this section in all subcontracts that may involve international air transportation. Energy Conservation All Contracts except micro-purchases ($3,500 or less, except for construction contracts over $2,000) Contractor shall comply with mandatory standards and policies relating to energy efficiency, stated in the state energy conservation plan issued in compliance with the Energy Policy & Conservation Act. Clean Water Applicability All Contracts and Subcontracts over $150,000. Contractor shall comply with all applicable standards, orders or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 USC 1251 et seq. Contractor shall report each violation to the recipient and understands and agrees that the recipient shall, in turn, report each violation as required to FTA and the appropriate EPA Regional Office. Contractor shall include these requirements in each subcontract exceeding $150,000 financed in whole or in part with FTA assistance. Lobbying Construction/Architectural and Engineering/Acquisition of Rolling Stock/Professional Service Contract/Operational Service Contract/Turnkey contracts over $150,000 Byrd Anti-Lobbying Amendment, 31 U.S.C. 1352, as amended by the Lobbying Disclosure Act of 1995, P.L [to be codified at 2 U.S.C. 1601, et seq.] - Contractors who apply or bid for an award of $150,000 or more shall file the certification 24

25 required by 49 CFR part 20, "New Restrictions on Lobbying." Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C Each tier shall also disclose the name of any registrant under the Lobbying Disclosure Act of 1995 who has made lobbying contacts on its behalf with non-federal funds with respect to that Federal contract, grant or award covered by 31 U.S.C Such disclosures are forwarded from tier to tier up to the recipient. Access to Records and Reports Applicability As shown below. These requirements do not apply to micro-purchases ($3,500 or less, except for construction contracts over $2,000) The following access to records requirements apply to this Contract: 1. Where the purchaser is not a State but a local government and is an FTA recipient or a subgrantee of FTA recipient in accordance with 49 CFR 18.36(i), contractor shall provide the purchaser, the FTA, the US Comptroller General or their authorized representatives access to any books, documents, papers and contractor records which are pertinent to this contract for the purposes of making audits, examinations, excerpts and transcriptions. Contractor shall also, pursuant to 49 CFR , provide authorized FTA representatives, including any PMO contractor, access to contractor's records and construction sites pertaining to a capital project, defined at 49 USC 5302(a)1, which is receiving FTA assistance through the programs described at 49 USC 5307, 5309 or Where the purchaser is a State and is an FTA recipient or a subgrantee of FTA recipient in accordance with 49 CFR , contractor shall provide the purchaser, authorized FTA representatives, including any PMO Contractor, access to contractor's records and construction sites pertaining to a capital project, defined at 49 USC 5302(a)1, which receives FTA assistance through the programs described at 49 USC 5307, 5309 or By definition, a capital project excludes contracts of less than the simplified acquisition threshold currently set at $150, Where the purchaser enters into a negotiated contract for other than a small purchase or under the simplified acquisition threshold and is an institution of higher education, a hospital or other non-profit organization and is an FTA recipient or a subgrantee of FTA recipient in accordance with 49 CFR 19.48, contractor shall provide the purchaser, the FTA, the US Comptroller General or their authorized representatives, access to any books, documents, papers and record of the contractor which are directly pertinent to this contract for the purposes of making audits, examinations, excerpts and transcriptions. 4. Where a purchaser which is an FTA recipient or a subgrantee of FTA recipient in accordance with 49 USC 5325(a) enters into a contract for a capital project or 25

26 improvement (defined at 49 USC 5302(a)1) through other than competitive bidding, contractor shall make available records related to the contract to the purchaser, the Secretary of USDOT and the US Comptroller General or any authorized officer or employee of any of them for the purposes of conducting an audit and inspection. 5. Contractor shall permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed. 6. Contractor shall maintain all books, records, accounts and reports required under this contract for a period of not less than three (3) years after the date of termination or expiration of this contract, except in the event of litigation or settlement of claims arising from the performance of this contract, in which case contractor agrees to maintain same until the recipient, FTA Administrator, US Comptroller General, or any of their authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto. Re: 49 CFR 18.39(i)(11). FTA does not require the inclusion of these requirements in subcontracts. Federal Changes All Contracts except micro-purchases ($3,500 or less, except for construction contracts over $2,000) Contractor shall comply with all applicable FTA regulations, policies, procedures and directives, including without limitation those listed directly or by reference in the Master Agreement between the purchaser and FTA, as they may be amended or promulgated from time to time during the term of the contract. Contractor's failure to comply shall constitute a material breach of the contract. Clean Air Applicability All contracts over $150,000. 1) Contractor shall comply with all applicable standards, orders or regulations pursuant to the Clean Air Act, 42 USC 7401 et seq. Contractor shall report each violation to the recipient and understands and agrees that the recipient will, in turn, report each violation as required to FTA and the appropriate EPA Regional Office. 2) Contractor shall include these requirements in each subcontract exceeding $150,000 financed in whole or in part with FTA assistance. No Government Obligation to Third Parties Applicability All contracts except micro-purchases ($3,500 or less, except for construction contracts over $2,000) (1) The recipient and contractor acknowledge and agree that, notwithstanding any concurrence by the US Government in or approval of the solicitation or award of the underlying contract, absent the express written consent by the US Government, the US Government is not a party to this contract and shall not be subject to any obligations or liabilities to the recipient, the contractor, or any other party (whether or not a party to that contract) pertaining to any matter resulting from the underlying contract. 26

27 (2) Contractor agrees to include the above clause in each subcontract financed in whole or in part with FTA assistance. It is further agreed that the clause shall not be modified, except to identify the subcontractor who will be subject to its provisions. Program Fraud and False or Fraudulent Statements or Related Acts Applicability All contracts except micro-purchases ($3,500 or less, except for construction contracts over $2,000) (1) Contractor acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, as amended, 31 USC 3801 et seq. and USDOT regulations, "Program Fraud Civil Remedies," 49 CFR 31, apply to its actions pertaining to this project. Upon execution of the underlying contract, contractor certifies or affirms the truthfulness and accuracy of any statement it has made, it makes, it may make, or causes to be made, pertaining to the underlying contract or FTA assisted project for which this contract work is being performed. In addition to other penalties that may be applicable, contractor further acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submittal, or certification, the US Government reserves the right to impose the penalties of the Program Fraud Civil Remedies Act (1986) on contractor to the extent the US Government deems appropriate. (2) If contractor makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submittal, or certification to the US Government under a contract connected with a project that is financed in whole or in part with FTA assistance under the authority of 49 USC 5307, the Government reserves the right to impose the penalties of 18 USC 1001 and 49 USC 5307(n)(1) on contractor, to the extent the US Government deems appropriate. (3) Contractor shall include the above two clauses in each subcontract financed in whole or in part with FTA assistance. The clauses shall not be modified, except to identify the subcontractor who will be subject to the provisions. Termination Applicability All Contracts over $10,000, except contracts with nonprofit organizations and institutions of higher learning, where the threshold is $150,000 a. Termination for Convenience (General Provision) the recipient may terminate this contract, in whole or in part, at any time by written notice to contractor when it is in the recipient's best interest. Contractor shall be paid its costs, including contract close-out costs, and profit on work performed up to the time of termination. Contractor shall promptly submit its termination claim to the recipient. If contractor is in possession of any of the recipient s property, contractor shall account for same, and dispose of it as the recipient directs. b. Termination for Default [Breach or Cause] (General Provision) If contractor does not deliver items in accordance with the contract delivery schedule, or, if the contract is for 27

28 services, and contractor fails to perform in the manner called for in the contract, or if contractor fails to comply with any other provisions of the contract, the recipient may terminate this contract for default. Termination shall be effected by serving a notice of termination to contractor setting forth the manner in which contractor is in default. Contractor shall only be paid the contract price for supplies delivered and accepted, or for services performed in accordance with the manner of performance set forth in the contract. If it is later determined by the recipient that contractor had an excusable reason for not performing, such as a strike, fire, or flood, events which are not the fault of or are beyond the control of contractor, the recipient, after setting up a new delivery or performance schedule, may allow contractor to continue work, or treat the termination as a termination for convenience. c. Opportunity to Cure (General Provision) the recipient in its sole discretion may, in the case of a termination for breach or default, allow contractor an appropriately short period of time in which to cure the defect. In such case, the notice of termination shall state the time period in which cure is permitted and other appropriate conditions. If contractor fails to remedy to the recipient's satisfaction the breach or default or any of the terms, covenants, or conditions of this Contract within ten (10) days after receipt by contractor or written notice from the recipient setting forth the nature of said breach or default, the recipient shall have the right to terminate the Contract without any further obligation to contractor. Any such termination for default shall not in any way operate to preclude the recipient from also pursuing all available remedies against contractor and its sureties for said breach or default. d. Waiver of Remedies for any Breach In the event that the recipient elects to waive its remedies for any breach by contractor of any covenant, term or condition of this Contract, such waiver by the recipient shall not limit its remedies for any succeeding breach of that or of any other term, covenant, or condition of this Contract. e. Termination for Convenience (Professional or Transit Service Contracts) the recipient, by written notice, may terminate this contract, in whole or in part, when it is in the recipient's interest. If the contract is terminated, the recipient shall be liable only for payment under the payment provisions of this contract for services rendered before the effective date of termination. f. Termination for Default (Supplies and Service) If contractor fails to deliver supplies or to perform the services within the time specified in this contract or any extension or if the contractor fails to comply with any other provisions of this contract, the recipient may terminate this contract for default. The recipient shall terminate by delivering to contractor a notice of termination specifying the nature of default. Contractor shall only be paid the contract price for supplies delivered and accepted, or services performed in accordance with the manner or performance set forth in this contract. If, after termination for failure to fulfill contract obligations, it is determined that contractor was not in default, the rights and obligations of the parties shall be the same as if termination had been issued for the recipient s convenience. 28