REQUEST FOR PROPOSALS RFP KT

Transcription

1 60 Washington Ave. Ste. 200 Bremerton, WA Phone: Fax: REQUEST FOR PROPOSALS Bow Loader Passenger-Only Ferry Vessel Design Build RFP KT July 14, 2017 Step 1 Proposals due August 7, 2017 Failure to include any of requested information and properly completed forms and documents may be cause for the rejection of the Proposal. Kitsap Transit, in accordance with Title VI of the Civil Rights Act of 1964, 78 Stat., U.S.C. 2000d to and Title 49, Code of Federal Regulations Department of Transportation, subtitle A, of the Secretary, Part 21, nondiscrimination in federally assisted programs of the DOT issued pursuant to such Act, hereby notifies all bidders that it will affirmatively insure that in any contract entered into pursuant to this advertisement, disadvantaged business enterprises will be afforded full opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color or national origin in consideration for an award. Kitsap Transit reserves the right to reject any and all Proposals without cause and to waive any informalities or irregularities. Federal Transit Administration Connecting Communities KITSAP TRANSIT RFP # Page 1 Bow Loader Vessel DB

2 IFB KT TABLE OF CONTENTS KITSAP TRANSIT REQUIREMENTS: Page Section 1 Notice Inviting Proposals 1 Section 2 Proposal Submission Requirements 5 APPENDIX: Appendix A: Contract Award Schedule Appendix B: Step 1 Technical Proposal Requirements Appendix C: Step 2 Complete Technical and Price Proposal Requirements Appendix D: Principle Vessel Characteristics EXHIBIT: Exhibit A: Federal Transit Administration Clauses and Certifications Exhibit B: Federal Highway Administration Clauses Exhibit C: Proposal Forms ATTACHEMNT: Attachment A Protest and Appeal Policy Attachment B RFP KT Abbreviations and Definitions END OF TABLE OF CONTENTS KITSAP TRANSIT RFP # Page 2 Bow Loader Vessel DB

3 Instructions to Offerors NOTICE INVITING PROPOSALS Section 1 NOTICE IS HERE BY GIVEN THAT PROPOSALS will be received by Kitsap Transit (KT) at KT s Main Administration Office, reception desk, NO LATER THAN 2:00 PM August 7, 2017 and must be addressed as: KITSAP TRANSIT Bow Loader Passenger-Only Ferry Vessel Design Build Attn: Patrick Rogers 60 Washington Ave Suite 200 Bremerton, WA This RFP is for design and construction of three (3) passenger only ferries. The Work consists of furnishing all design services, materials, labor, tools, plants, supplies, equipment, transportation and superintendence necessary for the construction of three (3) USCG 46 CFR Subchapter K Passenger Only Ferries (POFs) as defined by drawings, specifications and reference materials. The selection of the design/build Contractor will be made using a two-step sealed process in accordance with KT s Procurement Policies and Procedures and the FTA Best Practices and Procurement Manual. The first step in this process (STEP 1) will in part consist of KT making a determination as to which Offerors are technically acceptable based upon their Proposals. No pricing data is provided during the first step. Following the evaluation and determination of those Offerors within the competitive range, KT will advise all Offerors of their status. After all Offerors are advised of their status, the second step in the process will begin (STEP 2). Each Offeror determined in STEP 1 to be within the competitive range, will be asked to submit a Complete Technical and Price Proposal (STEP 2). Proposals shall be submitted in accordance with the requirements of the RFP documents. Proposals shall be securely sealed in a suitable envelope marked with the name and address of the Offeror, and marked on the front of the envelope, as follows: KITSAP TRANSIT Bow Loader Passenger-Only Ferry Vessel Design Build RFP #KT (Name and Address of Offeror) All Proposals shall be addressed to Kitsap Transit at 60 Washington Ave Suite 200 Bremerton WA Proposals must be received on or before the date and time specified. KT intends to award the Contract to the Offeror whose Proposal provides the best value to KT, based on the qualitative merits of the Technical Proposal, Complete Technical Proposal and the Price Proposal. KT reserves the right, in its sole discretion, to reject any and all Proposals, waive KITSAP TRANSIT RFP # Bow Loader Vessel DB Page 1

4 any irregularities or informalities in the procurement process, waive deficiencies, informalities and irregularities in any Proposal and/or permit corrections of data submitted with any response to the RFP, cancel, modify or withdraw the RFP, terminate this procurement and commence a new procurement for part or all of the Project, modify the procurement process, and exercise any other right reserved of afforded to KT under the RFP, KT s procurement policies and applicable law. KT specifically reserves the right to not Award the Contract after the submittal of Proposals, and terminate negotiations at any time. Except as permitted by applicable law, no Offeror may withdraw its Proposal for a period set forth in the Instructions to Offerors. Each Offeror will be notified of any Award of the Contract by KT as set forth in the Instructions to Offeror. A Pre-Proposal Conference will be held at 10:00 AM July 20, 2017 at the Harborside Conference Room located at Kitsap Transit 60 Washington Ave Suite 200 Bremerton WA Call in information will be provide to Offerors that are unable to attend in person. In connection with the performance of this Contract, full compliance with all applicable safety and health standards and with all applicable local, state, federal and industry rules. Attention is directed to the Contract Documents for the complete details and Proposal requirements. Said documents, including but not limited to Instructions of Offerors, Design-Build and Deliver Contract, General and Supplemental Conditions, Technical Specifications, drawings, Proposal forms, bonds, and this Notice, shall all be considered Contract Documents and are a part of any Contract Awarded pursuant to this solicitation. Addenda, if any, will also be made available on KT s website and become part of the Contract Documents upon release. It is recommended that all prospective Offerors register as Plan Holders to receive addenda or clarifications regarding the solicitation. Each Offeror has an ongoing responsibility to check KT s website for Addenda. All questions prior to Notice of Contract Award shall be directed to the attention of Patrick Rogers via to patrickr@kitsaptransit.com. The deadline for submissions of questions and clarifications concerning Step 1 is July 27, The project may be funded, in part, with Federal funds provided by the Federal Transit Administration (FTA) and Federal Highway Administration (FHWA) through a grant agreement with Kitsap Transit (Owner) and, as such, Davis Bacon and Washington State Prevailing Wage laws apply. A. Advertising Advertised in: Kitsap Sun, Kitsap Transit website: Seattle Times, Seattle Daily Journal of Commerce, Washington State Office of Minority and Women s Business Enterprises, Passenger Vessel Association, Foghorn Magazine, Marine Log Magazine, Workboat Magazine KITSAP TRANSIT RFP # Bow Loader Vessel DB Page 2

5 B. Plans and Specifications Plan sets for this project may be found on the Kitsap Transit Procurement Page; Plans and specifications can also be obtained by contacting Patrick Rogers at C. Disadvantaged Business Enterprise Goal The purpose of the Disadvantaged Business Enterprise (DBE) overall goal is to achieve a level playing field for ready, willing and able DBEs seeking to participate in federallyassisted contracts. Kitsap Transit s DBE goal for federal fiscal year 2017 is 2.05%, the full text of which may be found at D. Title VI It is the policy of Kitsap Transit to assure that no person shall, on the grounds of race, color, national origin and sex, as provided by Title VI of the Civil Rights Act of 1964, be excluded from participation in, be denied the benefits of, or otherwise be discriminated against under any of its federally funded programs and activities. See for the full text of the above Civil Rights statements. E. General Information to Offerors Offerors must be fully insured and registered to conduct business in the State of Washington and licensed for business in their state of residence. Policies of insurance, will be outlined in Step 2 and will be consistent with industry standards for similar projects. All Policies of Insurance shall be obtained and kept in force for the duration of the Contract. By submitting a Proposal in response to this solicitation, Offerors agree to be bound by all legal requirements and contract terms and conditions contained in this RFP. Failure to include any of requested information and properly completed forms and documents may be cause for immediate rejection of the proposal. Except as otherwise provided for herein, Proposals that are incomplete or that are conditioned in any way or contain erasures, alterations, or items not called for in the proposal or that are not in conformance with the law, may be rejected as nonresponsive. KT reserves the right to accept or reject any and all submitted proposals, portions or parts thereof; to waive informalities and minor irregularities in proposals; to decline award based on available funding for the Contract; and to award in whole or in part to the most responsive and responsible Offeror, whichever is in the best interest of KT. In consideration for KT s review and evaluation of its Proposal, the Offeror waives and releases any claims against KT arising from any rejection of any or all proposals, KITSAP TRANSIT RFP # Bow Loader Vessel DB Page 3

6 including any claim for costs incurred by Offerors in the preparation of proposals submitted in response to this solicitation. If KT determines that collusion has occurred among Offerors, none of the proposals of the participants in such collusion will be considered. KT s determination shall be final. KT may obtain clarification of any point in submitted proposals or request additional information, if necessary, to properly evaluate proposals. Offerors must be prepared to present necessary evidence of experience, ability, service facilities and financial standing to satisfactorily meet the requirements set forth or implied in the Proposal. Failure of a Offeror to respond to such a request for additional information or clarification may result in rejection of that Proposal. END SECTION 1 KITSAP TRANSIT RFP # Bow Loader Vessel DB Page 4

7 Instructions to Offerors PROPOSAL SUBMISSION REQUIREMENTS Section 2 1. Introduction With regard to these instructions, all definitions and abbreviations are provide in Attachment A. A. Purpose KITSAP TRANSIT RFP # Bow Loader Vessel DB The purpose of this procurement action is to select one boatbuilding company to design-build and deliver three (3) Passenger Only Ferries (POFs) to be owned by KT. The POFs shall be constructed in accordance with the following standards: 46 CFR Subchapter K. The purchase of the POFs may be funded by Federal Aid including Federal Transportation Administration (FTA) and Federal Highway Administration (FHWA) and all terms and conditions imposed by the Federal Government as a result of this funding are incorporated into this RFP. B. Step 1 Proposal Due Date Mail or hand-delivered sealed proposals will be accepted at Kitsap Transit s Main Administration Office, Reception desk NO LATER THAN 2:00 PM, August 7, 2017 on and must be addressed as: Kitsap Transit Bow Loading Passenger-Only Ferry Vessel Design Build RFP KT # Attn: Patrick Rogers 60 Washington Ave Suite 200 Bremerton, WA Late proposals will be rejected and returned to the Proposer unopened after that time. Fax or ed proposals will NOT be accepted. Each Proposal shall be completely sealed and addresses to the address shown above with the name and address of the Proposer and the name of the project plainly written on the outside of the envelope. A complete proposal shall include: 1. Step 1 Technical Proposal in accordance with Appendix A 2. Signed FTA Clauses and Certifications (Exhibit A) 3. Signed Bidders Affidavit (Exhibit C) 4. Addenda Acknowledgment Form (Exhibit C) Kitsap Transit may refuse to consider a Proposer who it determines to have an unsatisfactory record of performance and/or integrity in connection with the proposal/bidding or performance phase of any previous contract. Proposals will not be publicly opened and the information contained in all proposals will be kept strictly confidential until a Contract is fully executed. Page 5

8 C. Engineer s Estimate The Engineer s Estimate for this Project is in the range of $27,380,000. D. Procurement Type KT has chosen a two-step Proposal process for this procurement. The process will consist of an evaluation of the Step 1 Technical Proposals responding to this solicitation to determine a ranking for all Offerors Technical Proposals in accordance with the provisions of this RFP, followed by requests from Offerors in the competitive range for Step Two Complete Technical Proposals and Price Proposals. The Contract will be Awarded to the Offeror whose Proposal provides the best value to KT, price and other technical factors considered. KT reserves the right to request clarifications, seek revised Proposals, require interviews/demonstrations, and to negotiate with Offerors. KT further reserves the right to require Best and Final Offer(s) (BAFOs) from Offerors as further described herein. KT further reserves the right, in its sole discretion, to Award the Contract without negotiating of soliciting BAFO s, so Offerors are encouraged to submit their best Proposals at the outset. E. Proposal Evaluation Committee (PEC) The PEC is comprised of qualified KT staff, Owner s Representative/Manager and persons selected by KT will conduct evaluations of Proposals. The PEC will evaluate all responsive proposals based upon the information and references contained in the Proposals as submitted. F. Procurement Schedule Appendix A provides a schedule of major procurement events. Dates may be adjusted and/or announced by issuing Addenda. G. Technical Proposal Requirements Appendix B describes the Step 1 Technical Proposal requirements Appendix C describes the Step 2 Complete Technical and Price Proposal requirements Only Offerors determined to be in the competitive range will be requested to submit Step 2 Complete Technical and Price Proposals 2. RFP Provisions and Conditions A. Qualifications of Offerors The PEC will evaluate the Step 1 Technical Proposals submitted in response to the RFP. The evaluations will be conducted in accordance with Section 4. B. Examination of Documents KITSAP TRANSIT RFP # Bow Loader Vessel DB Page 6

9 Each Offeror shall be solely responsible for examining, with appropriate care and diligence, the RFP and Addenda, and any materials referenced therein, and for informing itself with respect to any and all conditions, which may in any way affect the amount or nature of its Proposal, or the performance of the Design-Builder s obligation under the Contract with KT. Each Offeror is responsible for conducting such investigations, as it deems appropriate in connection with its Proposal, keeping in mind the provisions in the Contract regarding assumption of liability by Design- Builder. Submission of a Proposal shall constitute prima facie evidence that, if awarded the Contract, the Offeror has relied and is relying on its own examination of: the character, quality and scope of the proposed Work; the quality and quantity of the materials to be furnished; and the requirements of the Contract Documents, including this RFP. No claim for additional compensation that is based upon a lack of knowledge of any Contract Document will be allowed. C. Pre-Proposal Conference A Pre-Proposal conference will be help on July 20, 2017 at 10:00 AM. The conference will be held at Kitsap Transit s Harborside Building located at: 60 Washington Ave Suite 200 Bremerton WA All prospective Offerors are encouraged to attend. For those Offerors wishing to attend via teleconference, please contact Patrick Rogers at patrickr@kitsaptransit.com to obtain dial in information. D. Requests for Information (RFI), Communications and Addenda Proposers who seek to obtain information, clarification, or interpretations from contacts other than the KT Procurement Coordinator are advised that such material is used at the Offeror s own risk. KT will not provide binding oral interpretations, explanations, or instructions as to the meaning or interpretation of the solicitation documents. This process will be the only opportunity for Offerors to ask questions. Kitsap Transit staff will not answer questions regarding this RFP verbally. All questions must be submitted in writing, via USPS, or fax. To be given consideration, any and all communications requesting information, material substitutions, clarifications, and inquiries concerning this solicitation must be submitted in writing received in accordance with the following schedule: Questions Regarding Step 1 July 25, 2017 Questions Regarding Step 2 September 25, 2017 to be considered in an Addendum. Written inquires shall be directed to KT via USPS, or fax at: Kitsap Transit Attn: Patrick Rogers 60 Washington Ave., Ste. 200 Bremerton, WA KITSAP TRANSIT RFP # Bow Loader Vessel DB Page 7

10 KITSAP TRANSIT RFP # Bow Loader Vessel DB FAX: E. Plan Holders List All prospective Offerors are required to register as Plan Holders to receive addenda or clarifications regarding the solicitation. It is recommended that Offerors notify Patrick Rogers of their intent to submit a proposal and register with Kitsap Transit s Plan Holders List in order to receive electronic notification of issued Addenda. Offerors that do not register will not be notified of Addenda and will need to periodically check for Addenda on KT s website at during the Proposal period and before submitting your Proposal. All submitted proposals and attachments become the property of KT and shall remain in effect for at least ninety (90) days after Proposal Due Date. The accepted Proposal shall remain in effect until the Contract is fully executed and will then become a part of the Contract, including any and all addenda and all attachments. F. Incurred Costs No costs incurred by Offerors or their agents in preparing Proposals, including travel and personal expenses, may be charged as an expense of performing the Contract. Likewise, KT assumes no obligation, responsibilities, or liabilities, fiscal or otherwise, to reimburse any of the costs incurred by Offerors or their agents in preparing a Proposal of otherwise responding to this RFP. G. Joint Ventures Joint ventures are acceptable for performing this Contract. Joint venture Offerors shall identify the members of the Joint Venture and shall provide a copy of the Joint Venture Agreement, with amendments, with the Proposal. Unless clear in such agreement, the Proposal must also include supporting documentation describing the key personnel and proposed management structure of the joint venture. This information must include an explanation of how the companies will relate to each other and ensure a clear chain of command for this Contract. All provisions of the Proposal are binding on each entity comprising the joint venture. The Joint Venture Agreement and supporting information will be subject to KT review and approval. KT reserves the right to reject any joint venture Proposal submitted without the Joint Venture Agreement and supporting information. H. Conflict of Interest (1) Current and Former Employees KT seeks to eliminate and avoid actual or perceived conflicts of interest and unethical conduct by current and former KT employees in transactions with KT. Consistent with this policy, no current or former KT employee may contract with, influence, advocate, advise or consult with a third party about a Page 8

11 KT transaction, or assist with preparation of Proposals submitted to KT while employed by KT or after leaving KT s employment, if he/she was substantially involved in determining the Work to be done or process to be followed while a KT employee. (2) Organizational Conflict of Interest An organizational conflict of interest is a situation in which, because of other activities, relationships, or contracts, a contractor or subcontractor is unable, or potentially unable, to render impartial assistance or advice to KT; a contractor s objectivity in performing the Work is or might be otherwise impaired; or a contractor has an unfair competitive advantage. KT will evaluate future procurements related to this Contract to determine if there is an organizational conflict of interest. If an, or appearance of an, organizational conflict of interest exists, KT may prohibit the contractor and any subcontractor from participating in such related. In addition, any consultant, including any design or engineering firm or individual retained by KT to assist in the development of evaluation criteria or preparation of the RFP or the Contract Documents shall not be eligible to propose for or to participate as a Subcontractor or as a member of any team or joint venture proposing on any part of the Work. I. Assignment Assignment of rights and duties under the Contract Documents is not permitted except by prior written consent of KT. J. Prevailing Wages (1) The awarded Contract is subject to prevailing wage requirements. Washington State Prevailing Wage Rates or the federal Davis-Bacon General Prevailing Wage Rate for the County the work is being performed, in effect on the date Step 2 Proposals are due, will remain in effect for the duration of the Contract. (2) Washington State Prevailing Wages may be found at the following website KT does not imply or warrant that the Offeror will find labor available at those rates. A copy of the applicable wage rates will be included with the Step 2 documents. (3) Davis-Bacon General Prevailing Wage Rates: Davis-Bacon Wage Determinations will be provided in Step 2 of the solicitation. In accordance with the Davis-Bacon Act, updated Wage Determination will be provided ten (10) day before the closing date of Step 2. KT does not imply or warrant that the Offeror will find labor available at those rates. A copy of the finial Wage Determination for the County where the Work will be performed will be included in the Contract Documents. KITSAP TRANSIT RFP # Bow Loader Vessel DB Page 9

12 (4) It is the Offeror s sole responsibility to determine the category of prevailing wages it will have to pay. If the Contractor is employing labor in a class that is not contained in the applicable Wage Determination, the conformance procedure in 29 CFR 5 will be followed. (5) The Offeror shall post the applicable prevailing wage rates in a location readily visible to workers at the job site. 3. General Provisions KT s goal is to create a fair and uniform basis for the evaluation of the Proposals in compliance with all applicable legal requirements governing this procurement. A. Requirements Prior To Submitting A Proposal Submission of a Proposal signifies examination of Contract Documents and complete understanding of the nature and extent of Work to be performed. Each submission of a Proposal shall constitute the Offeror s express representation to KT that Offeror has fully examined, with appropriate care and diligence, the Contract Documents and such other matters necessary or advisable to submit a Proposal. B. Postponement of Opening KT reserves the right to postpone the date and time for receiving and/or opening of Proposals at any time prior to the dates and times established in the RFP for such actions. Postponement notices, if any, will be issued as an Addendum. C. Qualifications of Offerors Each Proposal will be reviewed for (a) conformance to the RFP instructions regarding organization and format, and (b) the responsiveness of the Offeror to the requirements set forth in this RFP. Those Proposals not responsive to this RFP may be excluded from further consideration and the Offeror will be so advised. KT may also exclude from consideration any Offeror whose Proposal contains material misrepresentation. KT reserves the right to waive minor informalities, irregularities and apparent clerical mistakes, which do not materially impact the substantive content of the Proposal. D. Right of Rejection / Non-Responsive Proposals Offerors that do not comply with all of the requirements of this RFP may be declared non-responsive and their Proposals mat be rejected. KT may reject Proposals if they are incomplete, fail to acknowledge Addenda, are improperly signed, are conditioned in any way, or do not comply with and address all terms and requirements of the Contract Documents, including this RFP. However, KT reserves the right to waive any such irregularities when it is in KT s interest to do so. KT reserves the right to modify or cancel in part or in its entirety this RFP. KT may refuse to consider a Proposer who it determines to have an unsatisfactory record of performance and/or integrity in connection with the proposal/bidding or performance phase of any previous contract. KITSAP TRANSIT RFP # Bow Loader Vessel DB Page 10

13 KITSAP TRANSIT RFP # Bow Loader Vessel DB E. Disclosure of Response Contents All responses and other material submitted become the property of KT. No information will be discussed with the competitors or anyone outside the PEC. No Offeror or other member of the public will be told of the rankings among Offerors, nor the number of firms within the competitive range. Offerors will only be told that their Proposal was ranked within the competitive range. Except to the extent permitted by Washington State public disclosure laws RCW Chapter 42.56, KT will regard proposals as public records which will be available for public inspection and/or copying following contract award, regardless of any markings or notices contained in the proposal documents. Information will not be released by KT prior to contract award in order to protect the integrity of the procurement process, unless otherwise required by law. All proposals will remain confidential until a contract is awarded and fully executed by all parties involved. If an Offeror considers portions of its proposal to be protected under Washington State law, the Offeror shall clearly identify and mark such portions as CONFIDENTIAL or PROPRIETARY and submit such portions in a sealed envelope separate from the rest of the proposal. It is not usually reasonable or legally defensible to mark an entire proposal as confidential or proprietary. Marking the entire proposal as such will not be honored and the proposal may be rejected as nonresponsive. KT shall not release or divulge such information to third parties without the consent of the Offeror, unless required to do so by applicable law or order of a court of competent jurisdiction. If a member of the public demands to review portions of a Proposal marked Confidential, KT will notify the affected Offeror of the request and the date that such records will be released unless the Offeror obtains a court order enjoining that disclosure. It will be the responsibility of the Offeror to protect the confidentiality of any information submitted in the Proposal and the Offeror shall take such legal actions as it may determine to be necessary to protect its interest. If the Offeror has not commenced such action within five (5) calendar days after receipt of the notice, KT will make the requested portions available to the Requestor. The Offeror, asserting that portions of its proposal are legally protected, will assume all liability and responsibility for any information declared confidential and shall defend and hold KT harmless for any cost, penalties, and/or fees (including reasonable attorney fees) incurred in any action regarding the disclosure of said information. KT assumes no responsibility or liability for any losses or damages which may result from the information contained in the proposal. By submitting a Proposal, the Offeror has thereby agreed to this provision. F. Jurisdiction and Venue The Contract Documents shall be construed as having been made and delivered within the State of Washington and it is agreed by each party hereto that the Contract Page 11

14 KITSAP TRANSIT RFP # Bow Loader Vessel DB Documents shall be governed by laws of the State of Washington, both as to interpretation and performance. Any action of law, suit in equity, or judicial proceeding for the enforcement of the Contract Documents or any provision thereof shall be instituted and maintained only in any of the courts of competent jurisdiction in Kitsap County, Washington. G. Modification Offerors will not be allowed to alter proposals after the Proposal Due Date and time. Submitted proposals may only be changed if a written request is received by KT before the set Proposal Due Date and time. Such requests must be signed by an individual authorized to submit proposals on behalf of the firm. All Proposal modifications shall be made in writing, executed and submitted in the same form and manner as the original proposal. Nothing in this section shall be construed to permit the Offeror to alter its Proposal after it has been submitted pursuant to the terms of this solicitation. H. Withdrawal Offerors will not be allowed to withdraw proposals after the Proposal Due Date and time unless the Award is delayed for a period exceeding ninety (90) days. Any proposal not so timely withdrawn shall constitute an irrevocable offer, for a period of ninety (90) days, to provide KT the services described herein, or until one or more of the proposals have been approved by KT, whichever occurs first. I. Protest and Appeals Procedure Offerors are advised that to be considered a valid protest, subject matter can only address issues associated with this RFP process. Accordingly, the protest cannot be associated with, or challenge the recommendations of, KT staff or its PEC. A protest can only be put forth that KT staff did not follow their own policies or procedures that govern procurement and, accordingly, a Offeror was unfairly treated. The protest cannot challenge KT staff or the PEC s recommendation of a potentially successful Offeror. A copy of KT s Appeals and Protest procedures is provided as Attachment A. J. Bonds (1) Payment Bond: The penal amount of the Payment Bond shall be for one hundred percent (100%) of the total Contract Amount, including all Change Orders and sales tax, conditioned upon the Contractor s payment of all Subcontractors and suppliers, taxes imposed under Title 82 RCW. (2) Performance Bond: The penal amount of the Performance Bond shall be for one hundred percent (100%) of the total Contract Amount, including all Change Orders and sales tax, conditioned upon the Contractor faithfully performing all of its obligations under this Contract within the time prescribed therein. (3) Kitsap Transit may require additional bond protection if the Contract Amount is increased. The increase in protection shall equal one-hundred percent (100%) Page 12

15 of the increase in Contract price. Kitsap Transit may secure additional protection by directing the Contractor to increase the penal amount of the existing bonds or to obtain additional bonds. 4. Evaluation and Award Process The Contract will be awarded to the Offeror that submits the Proposal that provides the best value considering the Technical Proposal, Complete Technical Proposal and the Price Proposal. A. Evaluation of Step 1Technical Proposals a. Submission Offerors submit their Step 1 Technical Proposal in accordance with the terms of the RFP, including any Addenda thereto. b. Administrative Review Each opened Technical Proposal will be reviewed for (a) conformance to the RFP instructions regarding organization and format and (b) responsiveness of the Offeror to the requirements set forth in this RFP. Only Proposals meeting this qualification will be evaluated further. c. Interviews The PEC may require that some or all Offerors attend an interview (maybe in person or conducted via telephone per KT request) in order to answer questions and provide clarification regarding their Proposals. KT also reserves the right to require that clarifications be made by Offeror in writing. d. Evaluation of Technical Proposals The PEC will evaluate the Technical Proposals. The evaluations will be based on information submitted in writing as part of the Proposal package, as well as any information obtained during the interview process or from references. The relative importance of the categories and the key factors within each category are set forth below. Technical Approach & Management Plan Team Identification, Qualifications and Experience Shipyard Production Capabilities Conformance with the Owner s Requirements References Financial Capacity 10 Points 30 Points 10 Points 40 Points 5 Points 5 Points KITSAP TRANSIT RFP # Bow Loader Vessel DB Page 13

16 Total 100 Points KT Procurement Staff will tabulate the PEC scores and determination those Offerors that are in the competitive range. All Offerors will be advised of their status. Only Offerors in the competitive range will be request to submit Step 2 Complete Technical Proposals and Price Proposals as outlined below. e. On-Site Quality Assessment Offerors determined to be in the competitive range as a result of the Technical Proposal Evaluation shall make their facilities available for an On-Site Quality Assessment if the PEC so requires. f. Debriefing Offerors not in the competitive range may request an individual debriefing concerning their Proposals. It is KT s policy to conduct debriefings in writing. An Offerors request for a debriefing must be received at patrickr@kitsaptransit.com within three (3) business days from the date of notice to Offerors that their proposals was not within the competitive range. B. Evaluation of Step 2 Complete Technical Proposals Step 2 will be evaluated based on the evaluation criteria identified in the Complete Technical Proposal (Appendix C); issued to all Offerors in the competitive range. C. Evaluation of Price Proposal The Price Proposals for Offerors within the competitive range will be evaluated on a 400 point scale, and ranked using the following mathematical formula: Awarded Points = 400 X (Lowest Price / Offered Price) KT Procurement Staff will determine the score for each Price Proposal based on total price amounts. D. Final Ranking Determination After evaluating the Step 1 Technical Proposal, Step 2 Complete Technical Proposal and the Price Proposal point totals will be factored in the determine a final score for each Offeror out of a total possible 1000 points. The highest point total will be deemed the best value Proposal for KT. CATEGORY POSSIBLE POINTS Step 1 Technical Proposal 100 Step 2 Complete Technical Proposal 500 KITSAP TRANSIT RFP # Bow Loader Vessel DB Page 14

17 Price Proposal Price Proposal 400 Total Possible Points 1000 E. Best Value Proposal After having evaluated the Proposals, KT may issue a Notice of Intent to Award to the Offeror determined to have submitted the best value Proposal for KT as set forth above. KT may proceed to issue the Notice of Intent to Award without further negotiations. However, KT may also choose to negotiate with the Offeror whose Proposal was deemed to be the best value. F. Negotiations KT expressly reserves the right to negotiate with any or all Offerors that have submitted opened Price Proposals. G. Request for Best and Final Offers KT may, at any time after receipt of Price Proposals and prior to Award of the Contract, determine that it is appropriate to request changes to the Price Proposals (Best and Final Offers). The request for Best and Final Offers (BAFO) may identify revisions (if any) to the RFP and will specify terms and conditions applicable to the BAFOs, including identifying a time and date for delivery. Upon receipt of BAFOs, KT will re-evaluate the Price Proposals as revised, and will determine Proposal ratings as appropriate following the process described above. If an Offeror does not respond to a request for BAFO, the most recent Price Proposal submitted will be considered to be the Offeror s BAFO. BAFO s will be ranked in order of best value. This cycle of BAFO s may be repeated until KT determines that the Proposal most advantageous to KT has been achieved. H. Notice of Intent to Award If the Contract is recommended to be awarded, a Notice of Intent to Award will be posted on KT s website and a copy of the Notice will be sent to all Offerors that were in the competitive range. 5. Proposal Preparation Instructions-General A. General Submission Requirements a. Proposal Deadlines Technical, Complete Technical and Price Proposals must be received no later than the time and date indicated in the solicitation documents. b. Late Responses KT will not consider any late Proposals. Proposals and/or revised or withdrawal requests received after the date and time set for their receipt will be returned to Offeror without consideration or evaluation. KITSAP TRANSIT RFP # Bow Loader Vessel DB Page 15

18 c. Proposal Delivery Offerors must mail or hand deliver one (1) identified original hard copy and two (2) duplicate hard copies plus one (1) disc or flash drive electronic copy of their Proposals to the address stated. Whether the responses are mailed of hand-delivered, they must be in a sealed package clearly labeled and must be received by KT by the Proposal submittal deadline. KT assumes no responsibility or liability for incorrect addresses, and/or delivery of written correspondence of RFP packages by public or private carriers. d. Authorized Signature Proposals must be manually signed in ink by an individual authorized to bind the Offeror to its Proposal. e. Proposal Term No Proposal may be withdrawn or, except as otherwise provided herein, modified, supplemented or amended, after the deadline for receipt of the Proposals. For the purpose of Contract Award, Proposals submitted in accordance with this RFP shall remain firm and valid for a period of 180 calendar days from the submission deadline of the Price Proposal. f. Proposal Withdrawal An Offeror may withdraw its Proposal after it has been delivered to KT, provided that the notice to withdrawal is received by KT in writing, before the time and date set for opening/receipt of the Proposals. B. Proposal Format Requirements a. General All Proposals submitted in response to this RFP shall be in the required general format given herein. For the submittals, one (1) disc or flash drive electronic copy, one (1) identified original hard copy and two (2) duplicate hard copies of the Proposal are to be submitted in separate binders, and appropriately tabbed for ease of reference. Except as noted in the following sections, Proposal text and information (other than drawings, schedules and similar deliverables typically required larger format) shall be on 8-1/2 X 11 paper, bound and pages numbered. Identified original hard copy shall be printed single sided and duplicate copies double sided. The Proposals must contain required information in sufficient detail to permit evaluation. KT considers the quality of information to be more important than quantity. Proposals that do not properly follow format requirements may, at KT s sole discretion, be declared non responsive and rejected. KITSAP TRANSIT RFP # Bow Loader Vessel DB Page 16

19 b. Proposals Proposals shall be submitted per the format outlined in Appendix B. The Table of Contents shall provide inclusive page numbers to permit a completeness check prior to evaluation. Offerors shall determine the numbering, tabbing and detailed formatting scheme that facilitates orderly presentation of its material, consistent with the requirements of the RFP. 6. Federal Contract Clauses The Contractor shall certify to the best of its knowledge and belief, that it has or has not read and understood the attached FTA Contract Clauses and Certifications as they pertain to project using Exhibit A, Contractors Certification of Acknowledgment Federal Transit Administration Contract Clauses and Certifications FTA Master Agreement 23, October 1, Exhibits and Attachments Appendix Exhibits and Attachments KITSAP TRANSIT RFP # Bow Loader Vessel DB Page 17

20 APPENDIX A CONTRACT AWARD SCHEDULE KT shall make best efforts to maintain the Contract Award Schedule contained herein, as may be adjusted and/or modified by issuance of Addenda. However, failure to do so will not affect KT s rights under these documents. Event Estimated Completion KT Release Step 1 Technical Proposal July 14, 2017 Pre-Proposal Conference July 20, 2017 Last Day to Submit Question for Step 1 July 25, 2017 KT Answers to Questions for Step 1 July 27, 2017 Step 1 Proposals Due NO LATER THAN 2:00 PM August 4, 2017 KT Evaluations of Step 1 Complete August 14, 2017 KT Release Step 2 Complete Technical and Price Proposal August 14, 2017 Last Day to Submit Question for Step 2 September 25, 2017 KT Answers to Questions for Step 2 September 29, 2017 Step 2 Proposals Due NO LATER THAN 2:00 PM October 6, 2017 KT Evaluation of Step 2 Complete October 17, 2017 Interviews (if necessary) October 23 & 24, 2017 KT Determines Best Value Proposal October 26, 2017 Notice of Intent to Award Issued October 27, 2017 KT Board Award of Contract January 2, 2018 KITSAP TRANSIT RFP # Bow Loader Vessel DB Page 18

21 APPENDIX B STEP 1 TECHNICAL PROPOSAL REQUIREMENTS 1. STEP-1 - Proposal Elements The Proposal should consist of the following elements: TECHNICAL PROPOSAL 1. Cover Letter (maximum 2 pages) 2. Table of Contents (maximum 2 pages) 3. Executive Summary (maximum 3 pages) 4. Technical Proposal a. Technical Approach & Management Plan (maximum 10 pages) b. Team Identification, Qualifications and Experience (maximum 10 pages) c. Shipyard Production Capabilities (maximum 3 pages) d. Conformance with the Owner s Requirements (maximum 5 pages) e. References (Reference Form KT-4 Exhibit C) f. Financial Capacity 5. Letter from surety verifying bonding capacity in amounts equal to 100 percent of the Engineer s Estimate 2. Explanation of Step 1 Technical Proposal Elements 1. PROPOSAL COVER LETTER Provide a short cover letter on the Offerer s letterhead, summarizing the Offerer s interest in the Project, identifying the enclosed documents, and any other information of interest. Identify the legal name and entity type of the Offerer and the state of its organization. If the name is a DBA, identify underlying names. Indicate the ownership and legal status of Offerer (corporation, partnership, sole proprietorship, joint venture, etc.). Indicate company headquarters and any local office responsible for the work. Identify a sole point of contact and include the following information: name, title, address, telephone and fax numbers and electronic mail address. For equity member of the Offerer, identify the entity s role and the entity s legal nature and state of organization. KITSAP TRANSIT RFP # Bow Loader Vessel DB Page 19

22 2. TABLE OF CONTENTS Provide a table of contents for all documents enclosed. Offerers are encouraged to organize the Technical Proposal clearly and logically in conjunction with the information requested in these Contract Documents. Offerers are also encouraged to bind the Proposals, and to use tabbed dividers. 3. EXECUTIVE SUMMARY Provide a brief summary of the important elements of the Offerer s qualifications and proposed Technical approach. The summary should include any feature(s) that may differentiate this team from others. Describe the Offerer s understanding of the project and the objectives for the vessel(s). Identify each equity member of Offerer s team and each other member of Offerer s team, (a) with primary responsibility for design; (b) with primary responsibility for construction; or (c) a Subcontractor with a proposed subcontract value greater than 15% of the anticipated Contract value (collectively Major Participants ). The Executive Summary shall be written in a non-technical style and shall contain sufficient information for reviewers with both Technical and non-technical backgrounds to become familiar with Offerer s Proposal and Offerer s ability to satisfy the Technical and financial requirements of the Project. The Executive Summary shall, at a minimum, include the following: A summary of Offerer s organization and team structure, including an identification of Major Participants. A summary of the proposed management, decision making and day-to-day operation structure of Offerer. A summary of the Technical Proposal. 4. TECHNICAL PROPOSAL The Technical Proposal shall describe the Offerer's understanding of the project and the objectives for the vessels. Include a discussion of the technical issues involved and the methods, procedures, and equipment to be used in both the design and construction phases of the Project. a. Technical Approach & Management Plan (10 points, up to 10 pages): The Technical Approach should include a description of the Offerer s: Design and engineering approach including the selection of Major Participants and the division of engineering tasks between internal and external resources. Approach to adapting or modifying a parent craft design or the procedures that will be used to mitigate the risks associated with the development of a new design. Describe any specialized software or analysis tools that will be used to 20

23 vessels. mitigate performance risk. Proposed construction approach and build strategy including, if applicable, the modular construction plan, utilization of CNC capabilities, and any outsourcing of subassemblies or components. Three vessel construction plan including workflow and concurrent construction capabilities. Vessel outfitting plan. Vessel launch plan identifying any special equipment requirements, environmental or seasonal constraints Test and Trials execution plan. Proposed method for delivery of the The Management plan shall include a description of: The roles and responsibilities of the Offerer and Major Participants and how the Offerer, Major Participants, Subcontractors, Vendors and Suppliers will be coordinated and managed during the Project. How the Project will be staffed, dealing with unanticipated staffing shortfalls. How that staff will be managed. How Subcontractors will be managed. The plan should include contingencies for difficulties with Subcontractors. Systems used to organize, allocate resources and schedule design, construction and testing activities. How work is monitored and how adjustments in production are made. Quality control, quality assurance, and internal testing programs. How the USCG inspection and testing program will be structured and managed. How the Offerer intends to interface with KT during design, construction, and post- construction; and how the review process will be structured and managed with KT. How complying with Buy America requirements will be accomplished. Provide a Preliminary Schedule for a concurrent three (3) vessel build, identifying each major element of work involved in the design and construction, and proposed timeline for the completion of key events. The period between issuance of preliminary Notice to Proceed (NTP) and the date of completion will be treated as the Contract Time. The Offerer will have the opportunity to update and revise the Preliminary Schedule upon issuance of the Step-2 documents, including Technical Specifications, where the Final Schedule's Contract Time, and date of completion by which you will commit to completing all work, will be factors in the evaluation of the STEP- 2 Proposal 21

24 The Preliminary Schedule shall at a minimum identify the following key events for each vessel commencing with the NTP: Design submittals to USCG Design approvals from USCG Aluminum ordered Main engines ordered Generators ordered Keel laid Hulls complete, each vessel Main engines landed Superstructure landed on hulls Launch Builder s Trials USCG weight survey USCG Certificate of Inspection Delivery Acceptance Survey & Trials Acceptance b. Team Identification, Qualifications, and Experience (30 points, up to 10 pages): Team Identification and Roles; Major Participants: Provide an organization chart showing the reporting structure of the Project team noting the location of key personnel within the organization that would have a lead role in the Project (Major Participant). At a minimum, key personnel should include the Project Manager and/or senior Project Representatives for the Offerer and Major Participants but may include any other team members that the Offerer wishes to identify. Provide a responsibility matrix covering the responsibilities and scope of work for key positions. Identify the following Major Participants by name and organization: Designated Naval Architect (DNA) Designated Propulsion Systems Integrator (DPSI) Personnel Qualifications: Provide resumes showing the professional qualifications, capabilities, experience, education, and current responsibilities of the Project Manager, Major Participants and key staff (including, at a minimum, the Project Superintendent, scheduler, and Project safety officer). Include any experience on similar projects. Resumes should indicate current assignment, work location, and availability. 22

25 Where relevant, note when individuals mentioned above have worked with each other and briefly describe the circumstances (Project, relationship, et cetera). When individuals have worked together on multiple projects, only one example is required. Describe the qualifications and experience of the scheduling personnel. Experience: Identify and describe the aluminum vessel construction experience of the Offerer and each Major Participant. List experience of Offerer and Major Participants on not less than four (4) and up to seven (7) total relevant projects over the last 15 years. The projects should demonstrate the Offerer s capability and expertise with similar vessel construction. For each project, provide: Designer Specifications General characteristics Route Capacity Configuration Interior amenities Propulsion (make, model and configuration) Auxiliary units General Arrangement (drawings) Construction Schedule As-built performance Service speed (and engine load at that speed) Maximum speed (and engine load at that speed) Fuel consumption at service speed Price as delivered c. Shipyard Production Capabilities (10 points, up to 3 pages): Describe Offerer s facilities that will be utilized to design and construct the vessels. Include detail of production capacity for concurrent vessel construction. Descriptions of the infrastructure should include, yard capacity, infrastructure, current and future workload. Describe the building that will be utilized to construct the vessels including fabrication and assembly locations. Describe areas used for materials handling and storage. 23

26 Describe crane capacity and capability. Describe how the vessels will be launched. Describe where the vessels will be moored and worked on once launched. List the current number of shipyard personnel employed grouped by trade or craft (i.e., machinists, pipefitters, welders, painters, shipfitters, carpenters, electricians, riggers, laborers, inspectors, et cetera). d. Conformance with the Owner s Requirements (40 points, up to 5 pages) Describe Offerer s approach to designing and constructing a vessel that best meets all of the principal characteristics, preferences, performance goals, and fleet commonality requirements as detailed in the Owner s Requirements, Vessel Technical Specifications. The description should include a brief description of the Offerer s intent in the following areas: Hull Design Specifications General Arrangements (drawings) General characteristics Configurations Interior and passenger amenities Propulsion (type, make, model, and configuration) Auxiliary units Guaranteed Service Speed (and engine load at that speed) Maximum speed (and engine load at that speed) Compatibility with existing Owner facilities e. References (5 points): List, and provide a copy of the cover sheet of Reference Form KT-4, the persons or organizations to which Offerer or Major Participants sent reference forms. List shall provide contact information and where appropriate, cross-references to the key Projects listed under Offeror s Experience section of the Proposal.. Reference requirements: For Offerer and Major Participants, send Reference Forms to at least five (5) organizations that can report on each of Offerer or Major Participant s performance during the Projects listed above. Complete top portion of the form prior to sending. For any key personnel who are not listed on at least one of the listed Projects, send an additional reference form to a person or organization that can report on that 24

27 individual s performance during a similar Project or in a capacity similar to the position for which they have been proposed. The two page Reference Form KT-4 is included with the Proposal Forms (Exhibit C) f. Financial Capacity (5 points): As a written response, identify Offerer s primary bank and banking reference (e.g., Account Manager). If Offerer is a newly formed joint venture, limited liability company or other association (for purposes of this provision only, the joint venture ), provide information for each of the joint venture members. As a written response, provide five (5) major trade references (contractors/vendors) with a contact name, address and phone number for each. If Offerer is a newly formed joint venture provide this information for each joint venture member As an attachment (not included in total page count), provide your most recent independently audited annual financial statements (Profit and Loss and Balance Sheet). If Offerer is a newly formed joint venture provide same information for each member as well as a current balance sheet for the joint venture. As an attachment (not included in total page count) provide Dun & Bradstreet Business Information Report. If Offerer is a newly formed joint venture, provide the same information for each joint venture member Provide in a table format a list of all court or administrative proceedings including mediation or arbitration where the amount in dispute exceeded $100,000 to which the Offerer (or if Offerer is a newly formed joint venture, for each joint venture member) or a Major Participant has been a party in the last five years. For each proceeding, provide the following information: Parties Nature of proceeding Issues involved (brief description of the contentions of the parties) Initial amount of controversy, was it resolved, what was the resolution At Offerer s option, provide a brief paragraph of additional explanation 5. LETTER FROM SURETY Provide a letter from a Washington admitted surety, verifying that the Offerer will be able to obtain a performance bond and a payment bond each in an amount of at least the Engineer s Estimate. Letters indicating unlimited bonding capability are not acceptable. The surety providing such letter must be rated in one of the top two categories by two nationally recognized rating agencies or rated at least A minus (A-) or better or Class VIII or better by AM Best & Company, and must indicate the relevant rating in the letter. The letter must specifically state that the surety has read 25

28 the RFP and evaluated the Offerer s backlog and work-in-progress in determining its bonding capacity. If an Offerer is a joint venture, partnership, Limited Liability Company or other association, separate letters for one or more of the individual equity participants of the Offerer are acceptable, as is a single letter covering all equity participants. Failure to provide this written assurance will indicate that the Offerer is not qualified to perform this Project and the Offerer will be rejected. 26

29 APPENDIX C STEP 2 COMPLETE TECHNICAL AND PRICE PROPOSAL REQUIREMENTS Only Offerors determined to be in the competitive range will be requested to submit Step 2 Complete Technical and Price Proposals. This portion of the RFP is currently under development and will be released to all Offerors in the competitive range. 27

30 APPENDIX D PRINCIPAL VESSEL CHARACTERISTICS Table 1 summarizes the minimum vessel requirements and principal vessel characteristics, dimensions, and capacities. Table 1 Vessel Characteristics, Dimensions, and Capacities Parameter Range of Values Remarks Hullform Multihull No dynamic lifting appendages such as foils shall be allowed. Length Overall Maximum Beam Draft Freeboard Passenger Capacity Design Speeds Bicycle Capacity No minimum 140 feet maximum 35 feet minimum 40 feet maximum Must safely operate at Pier 50 (Seattle) and other WSF Slips Compliant with provided terminal arrangements 200 minimum 250 maximum 7 35 knots full load 7 37 knots light load 10% of passenger capacity minimum Critical to pier design for bow and side loading. Critical to bow loading with WSF slips. With 5 spaces for wheelchair tie downs. Minimum of 200 interior seats. Full load includes operation at full tankage and maximum passenger and crew capacity. Light load is operation at full tankage and crew, no passengers. Design speeds shall be attained at no more than 95% maximum continuous rating (MCR) of the engines. Stored in weather, minimize exposure to spray, maximize number without impacting vessel size or passenger seating. Fuel One day capacity + 50% reserve Based on the proposed Kingston to Seattle passenger only ferry route, 12 round trips per day. Potable Water & One day capacity + 50% Based on the proposed Kingston to Seattle passenger only ferry route, 12 round trips 28

31 Sewage reserve per day. Rules USCG 46 CFR Subchapter K Additionally, one of the following classification societies of Contractor's choice: American Bureau of Shipping (ABS) or Lloyds's Register (LR) or Det Norske Veritas/Germanischer Lloyd (DNV GL). Wake Wash Height Provide CFD estimation of wake with approval recommendation from a Coastal Environmental Engineering Consultant for the vessel routes. Main Engines Diesels Capable of burning a 20% mixture of biodiesel. Propulsor Ship Service Power Supply Noise Signature Water jets, propellers, or proven tunnel jet design 70 dba throughout interior maximum (63 dba Pilothouse) 85 dba exterior maximum Water jet to have an integral steering system. If diesel generator sets are used each shall be rated to provide full vessel load at 85% of MCR. At Service Speed with all equipment operational, exterior measurement made 100 feet from vessel centerline at sea level. Vibration within Zone 1 As defined in Human Exposure Guidelines for Vibration of Ships, meet SNAME standard. Air & Water Pollution USCG, PSAPCA, EPA, et cetera Meet the known provisions of all applicable regulations. Number of Passenger Decks ADA Access Requirements Food Service & Vending Passenger Space Lighting 1 or 2 If two decks, ensure that all mobility impaired concerns are addressed on the main deck. LED lighting Contractor shall follow all applicable portions of the United States Access Board Proposed Accessibility Guidelines for Passenger Vessels. No provision for either. 29

32 Passenger Seating HVAC Navigation Equipment Maintenance Considerations Propulsor Onboard Maintenance Shop, Spares, Supplies 20% passenger capacity at tables minimum 2 wheelchair location at table minimum Air conditioned pilot house. Heated and ventilated passenger and crew areas 2 radars with electronic charting DGPS Autopilot Night vision system 360 visibility from pilothouse Main Engines and Generator Sets Mix of tables, booth seating, single seats, and small group seating. Fully integrated radar/navigation package. Removable through bolted soft patch without hot work. Propulsors to be serviceable for minor, routine maintenance while waterborne. No maintenance or shop work, only emergency spares onboard, minimal cleaning and restroom supplies. Crew Size Expected crew size of 3 Crew size will be determined by USCG. Contractor shall design for 3 crew. 30

33 EXHIBIT A FEDERAL TRANSIT ADMINISTRATION CONTRACT CLAUSES AND CERTIFICATIONS FEDERAL TRANSIT ADMINISTRATION CONTRACT CLAUSES NO FEDERAL GOVERNMENT OBLIGATIONS TO THIRD-PARTIES BY USE OF A DISCLAIMER Except as the Federal Government expressly consents in writing, the Recipient agrees that: (1) The Federal Government shall not have any obligation or liability related to: (a) The Project, (b) Any Third Party Participant at any tier, or (c) Any other person or entity that is not a party (Recipient or FTA) to the Underlying Agreement for the Project, and (2) Notwithstanding that the Federal Government may have concurred in or approved any solicitation or third party agreement at any tier that has affected the Project, the Federal Government shall not have any obligation or liability to any: (a) Third Party Participant, or (b) Other entity or person that is not a party (Recipient or FTA) to the Underlying Agreement. PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMENTS AND RELATED ACTS (1) Civil Fraud. The Recipient acknowledges and agrees that: (a) Federal laws and regulations apply to itself and its Project, including: 1. The Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C et seq., and 2. U.S. DOT regulations, Program Fraud Civil Remedies, 49 C.F.R. part 31, (b) By executing its Underlying Agreement, the Recipient certifies and affirms to the truthfulness and accuracy of any of the following that the Recipient provides to the Federal Government: 1. Claim, 2. Statement, 3. Submission, 4. Certification, 5. Assurance, or 6. Representation, and (c) The Recipient acknowledges that the Federal Government may impose the penalties of the Program Fraud Civil Remedies Act of 1986, as amended and other applicable penalties if the Recipient: 31

34 1. Presents, submits, or makes available any information in connection with any: a. Claim, b. Statement, c. Submission, d. Certification, e. Assurance, or f. Representation, and 2. That information is false, fictitious, or fraudulent. (2) Criminal Fraud. The Recipient acknowledges that 49 U.S.C. 5323(l)(1), authorizes the Federal Government to impose the penalties authorized by 18 U.S.C if the Recipient: (a) Presents, submits, or makes available any information in connection with any: 1. Claim, 2. Statement, 3. Submission, 4. Certification, 5. Assurance, or 6. Representation, and (b) That information is false, fictitious, or fraudulent. ACCESS TO RECORDS The Recipient agrees that: (1) As required by 49 U.S.C. 5325(g), 49 C.F.R (i)(10), and 49 C.F.R (e), it will provide, and require its Third Party Participants at each tier to provide, sufficient access to inspect and audit records and information pertaining to the Project to the: (a) U.S. Secretary of Transportation or the Secretary s duly authorized representatives, (b) Comptroller General of the United States, and the Comptroller General s duly authorized representatives, and (c) Recipient and Subrecipient, (2) The Recipient will permit and assures that its Third Party Participants will permit the individuals listed above in (1) to do the following: (a) Inspect all: 1. Project work, 2. Project materials, 3. Project payrolls, and 4. Other Project data, and (b) Audit any information related to the Project under the control of the Recipient or Third Party Participant within: 1. Books, 32

35 2. Records, 3. Accounts, or 4. Other locations. FEDERAL CHANGES Changes to Federal Requirements and Guidance: (1) Requirements and Guidance. New Federal Requirements and Guidance may: (a) Become effective after the FTA Authorized Official signs the Recipient s Underlying Agreement awarding funds for the Project, and (b) Apply to the Recipient or its Project. (2) Modifications. Federal requirements and guidance that apply to the Recipient or its Project when the FTA Authorized Official awards Federal funds for the Recipient s Underlying Agreement may: (a) Be modified from time to time, and (b) Apply to the Recipient or its Project. (3) Most Recent Provisions. The latest Federal requirements will apply to the Recipient or its Project, except as FTA determines otherwise in writing using a: (a) Special Condition in the Recipient s Underlying Agreement, (b) Special Requirement in the Recipient s Underlying Agreement, (c) Special Provision in the Recipient s Underlying Agreement, (d) Condition of Award in the Recipient s Underlying Agreement, (e) Letter to the Recipient signed by an authorized FTA official, or (f) Change to FTA or Federal guidance. CIVIL RIGHTS REQUIREMENTS The Recipient understands and agrees that it must comply with applicable Federal civil rights laws and regulations, and follow applicable Federal guidance, except as the Federal Government determines otherwise in writing. Specifically: (1) Nondiscrimination in Federal Public Transportation Programs. The Recipient agrees to, and assures that each Third Party Participant will, comply with Federal transit law, 49 U.S.C (FTA s Nondiscrimination statute): (a) FTA s Nondiscrimination statute prohibits discrimination on the basis of: 1. Race, 2. Color, 3. Religion, 4. National origin, 5. Sex (including gender identity), 6. Disability, or 7. Age, and (b) The FTA Nondiscrimination statute s prohibition against discrimination includes: 33

36 1. Exclusion from participation, 2. Denial of program benefits, or 3. Discrimination, including discrimination in employment or business opportunity. (2) Nondiscrimination Title VI of the Civil Rights Act. The Recipient agrees to, and assures that each Third Party Participant will: (a) Prohibit discrimination based on: 1. Race, 2. Color, or 3. National origin, (b) Comply with: 1. Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d et seq., 2. U.S. DOT regulations, Nondiscrimination in Federally-Assisted Programs of the Department of Transportation Effectuation of Title VI of the Civil Rights Act of 1964, 49 C.F.R. part 23, and 3. Federal transit law, specifically 49 U.S.C. 5332, as stated in section V.(1) of this document, and (a) Except as FTA determines otherwise in writing, follow: 1. The most recent edition of FTA Circular , Title VI and Title VI- Dependent Guidelines for Federal Transit Administration Recipients, to the extent consistent with applicable Federal laws, regulations, and guidance. 2. U.S. DOJ, Guidelines for the enforcement of Title VI, Civil Rights Act of 1964, 28 C.F.R. 50.3, and 3. Other applicable Federal guidance that may be issued. (3) Equal Employment Opportunity. (a) Federal Requirements and Guidance. The Recipient agrees to, and assures that each Third Party Participant will, prohibit discrimination on the basis of race, color, religion, sex, or national origin, and: 1. Comply with Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000e et seq., 2. Facilitate compliance with Executive Order No , Equal Employment Opportunity, as amended by Executive Order No , Amending Executive Order No , Relating to Equal Employment Opportunity, 42 U.S.C. 2000e note, and as further amended by Executive Order 13672, Further Amendments to Executive Order 11478, Equal Employment Opportunity in the Federal Government, and Executive Order 11246, Equal Employment Opportunity, July 21, 2014, 3. Comply with Federal transit law, specifically 49 U.S.C. 5332, as stated in section V.(1) of this document, and 4. FTA Circular Equal Employment Opportunity (EEO) Requirements and Guidelines for Federal Transit Administration Recipients, and 34

37 5. Comply with other applicable EEO laws and regulations, as provided in Federal guidance, including laws and regulations prohibiting discrimination on the basis of disability, except as the Federal Government determines otherwise in writing. (b) Specifics. The Recipient agrees to: 1. Ensure that applicants for employment are employed and employees are treated during employment without discrimination on the basis of their: a. Race, b. Color, c. Religion, d. National Origin, e. Disability, f. Age, g. Sexual Origin, h. Gender identity, or i. Status as a parent, and 2. Take affirmative action that includes, but is not limited to: a. Recruitment advertising, b. Recruitment, c. Employment, d. Rates of pay, e. Other forms of compensation, f. Selection for training, including apprenticeship, g. Upgrading, h. Transfers, i. Demotions, j. Layoffs, and k. Terminations. (c) Equal Employment Opportunity Requirements for Construction Activities. In addition to the foregoing, when undertaking construction as recognized by the U.S. Department of Labor (U.S. DOL), the Recipient agrees to comply, and assures the compliance of each Third Party Participant, with: 1. U.S. DOL regulations, Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor, 41 C.F.R. chapter 60, and 2. Executive Order No , Equal Employment Opportunity, as amended by Executive Order No , Amending Executive Order No , Relating to Equal Employment Opportunity, 42 U.S.C. 2000e note (4) Disadvantaged Business Enterprise. To the extent authorized by applicable Federal law, the Recipient agrees to facilitate, and assures that each Third Party Participant will facilitate, participation by small business concerns owned and controlled by socially and 35

38 economically disadvantaged individuals, also referred to as Disadvantaged Business Enterprises (DBEs), in the Project as follows: (a) Requirements. The Recipient agrees to comply with: 1. Section 1101(b) of MAP-21, 23 U.S.C. 101 note, 2. U.S. DOT regulations, Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs, 49 C.F.R. part 26, and 3. Federal transit law, specifically 49 U.S.C. 5332, as stated in section V.(1) of this document. (b) Assurance. As required by 49 C.F.R (a), the Recipient provides assurance that: 1. It shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any DOT-assisted contract. 2. It shall take all necessary and reasonable steps under 49 C.F.R. part 26 to ensure nondiscrimination in the award and administration of DOT-assisted contracts. (5) Nondiscrimination on the Basis of Sex. The Recipient agrees to comply with Federal prohibitions against discrimination on the basis of sex, including: (a) Title IX of the Education Amendments of 1972, as amended, 20 U.S.C et seq., (b) U.S. DOT regulations, Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance, 49 C.F.R. part 25, and (c) Federal transit law, specifically 49 U.S.C. 5332, as stated in section V.(1) of this document. (6) Nondiscrimination on the Basis of Age. The Recipient agrees to comply with Federal prohibitions against discrimination on the basis of age, including: (a) The Age Discrimination in Employment Act (ADEA), 29 U.S.C , which prohibits discrimination on the basis of age, (b) U.S. Equal Employment Opportunity Commission (U.S. EEOC) regulations, Age Discrimination in Employment Act, 29 C.F.R. part 1625, which implements the ADEA, (c) The Age Discrimination Act of 1975, as amended, 42 U.S.C. et seq., which prohibits discrimination against individuals on the basis of age in the administration of programs or activities receiving Federal funds, (d) U.S. Health and Human Services regulations, Nondiscrimination on the Basis of Age in Programs or Activities Receiving Federal Financial Assistance, 45 C.F.R. part 90, which implements the Age discrimination Act of 1975, and (e) Federal transit law, specifically 49 U.S.C. 5332, as stated in section V.(1) of this document. 36

39 (7) Nondiscrimination on the Basis of Disability. The Recipient agrees to comply with the following Federal prohibitions pertaining to discrimination against seniors or individuals with disabilities: (a) Federal laws, including: 1. Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, which prohibits discrimination on the basis of disability in the administration of federally funded programs or activities, 2. The Americans with Disabilities Act of 1990 (ADA), as amended, 42 U.S.C et seq., which requires that accessible facilities and services be made available to individuals with disabilities, 3. The Architectural Barriers Act of 1968, as amended, 42 U.S.C et seq., which requires that buildings and public accommodations be accessible to individuals with disabilities, 4. Federal transit law, specifically 49 U.S.C. 5332, which now includes disability as a prohibited basis for discrimination, and 5. Other applicable laws and amendments pertaining to access for elderly individuals or individuals with disabilities. (b) Federal regulations, including: 1. U.S. DOT regulations, Transportation Services for Individuals with Disabilities (ADA), 49 C.F.F. part 37, 2. U.S. DOT regulations, Nondiscrimination on the Basis of Disability in Programs and Activities Receiving or Benefiting from Federal Financial Assistance, 49 C.F.R. part 27, 3. U.S. DOT regulations, Transportation for Individuals with Disabilities: Passenger Vessels, 49 C.F.R. part 39, 4. Joint U.S. Architectural and Transportation Barriers Compliance Board (U.S. ATBCB) and U.S. DOT regulations, Americans With Disabilities (ADA) Accessibility Specifications for Transportation Vehicles, 36 C.F.R. part 1192 and 49 C.F.R. part 38, 5. U.S. DOJ regulations, Nondiscrimination on the Basis of Disability in State and Local Government Services, 28 C.F.R. part 35, 6. U.S. DOJ regulations, Nondiscrimination on the Basis of Disability by Public Accommodations and in Commercial Facilities, 28 C.F.R. part 36, 7. U.S. EEOC, Regulations to Implement the Equal Employment Provisions of the Americans with Disabilities Act, 29 C.F.R. part 1630, 8. U.S. Federal Communications Commission regulations, Telecommunications Relay Services and Related Customer Premises Equipment for Persons with Disabilities, 47 C.F.R. part 64, Subpart F, 9. U.S. ATBCB regulations, Electronic and Information Technology Accessibility Standards, 36 C.F.R. part 1194, and 11. FTA Circular , Americans with Disabilities Act: Guidance, and 12. Other applicable Federal civil rights and nondiscrimination guidance. 37

40 (8) Drug or Alcohol Abuse - Confidentiality and Other Civil Rights Protections. The Recipient agrees to comply with the confidentiality and civil rights protections of: (a) The Drug Abuse Office and Treatment Act of 1972, as amended, 21 U.S.C et seq., (b) The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970, as amended, 42 U.S.C et seq., and (c) The Public Health Service Act, as amended, 42 U.S.C. 290dd 290dd-2. (9) Access to Services for People with Limited English Proficiency. Except as the Federal Government determines otherwise in writing, the Recipient agrees to promote accessibility of public transportation services to people whose understanding of English is limited by following: (a) Executive Order No , Improving Access to Services for Persons with Limited English Proficiency, August 11, 2000, 42 U.S.C. 2000d-1 note, and (b) U.S. DOT Notice, DOT Policy Guidance Concerning Recipients Responsibilities to Limited English Proficiency (LEP) Persons, 70 Fed. Reg , December 14, (10) Environmental Justice. Except as the Federal Government determines otherwise in writing, the Recipient agrees to promote environmental justice by following: (a) Executive Order No , Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations, February 11, 1994, 42 U.S.C note, as well as facilitating compliance with that Executive Order, and (b) DOT Order , Department of Transportation Actions To Address Environmental Justice in Minority Populations and Low-Income Populations, 62 Fed. Reg , April 15, 1997, and (c) The most recent and applicable edition of FTA Circular , Environmental Justice Policy Guidance for Federal Transit Administration Recipients, August 15, 2012, to the extent consistent with applicable Federal laws, regulations, and guidance. (11) Other Nondiscrimination Laws. Except as the Federal Government determines otherwise in writing, the Recipient agrees to: (a) Comply with other applicable Federal nondiscrimination laws and regulations, and (b) Follow Federal guidance prohibiting discrimination. INCORPORATION OF FEDERAL TRANSIT ADMINISTRATION (FTA) TERMS FTA Circular F The Recipient agrees not to use FTA funds for third party procurements unless there is satisfactory compliance with Federal requirements. Therefore: (1) Federal Laws, Regulations, and Guidance. The Recipient agrees: 38

41 (a) To comply with the requirements of 49 U.S.C. chapter 53 and other applicable Federal laws and regulations now in effect or later that affect its third party procurements, (b) To comply with U.S. DOT third party procurement regulations, specifically 49 C.F.R or 49 C.F.R , and other applicable Federal regulations that affect its third party procurements in effect now and as may be later amended, (c) To follow the most recent edition and any revisions of FTA Circular F, Third Party Contracting Guidance, to the extent consistent with applicable Federal laws, regulations, and guidance, except as FTA determines otherwise in writing, and (d) That although the FTA Best Practices Procurement Manual provides additional third party contracting guidance, the Manual may lack the necessary information for compliance with certain Federal requirements that apply to specific third party contracts at this time. ENERGY CONSERVATION The Recipient agrees to, and assures its Subrecipients will: (1) State Energy Conservation Plans. Comply with the mandatory energy standards and policies of its State energy conservation plans under the Energy Policy and Conservation Act, as amended, 42 U.S.C et seq., except as the Federal Government determines otherwise in writing, and (2) Energy Assessment. Perform an energy assessment for any building constructed, reconstructed, or modified with FTA funds required under FTA regulations, Requirements for Energy Assessments, 49 C.F.R. part 622, subpart C. TERMINATION PROVISIONS The Recipient agrees to all of the following: (1) Justification. After providing notice, the Federal Government may suspend, suspend then terminate, or terminate all or any part of the Federal funding awarded for the Project if: (a) The Recipient has violated the Underlying Agreement or FTA Master Agreement (23), especially if that violation would endanger substantial performance of the Project, (b) The Recipient has failed to make reasonable progress on the Project, or (c) The Federal Government determines that continuing to provide Federal funding for the Project does not adequately serve the purposes of the law authorizing the Project, (2) Financial Implications. (a) In general, termination of Federal funding for the Project will not invalidate obligations properly incurred before the termination date to the extent the obligations cannot be canceled, and (b) The Federal Government may: 39

42 1. Recover Federal funds it has provided for the Project if it determines that the Recipient has willfully misused Federal funds by: a. Failing to make adequate progress, b. Failing to make appropriate use of the Project property, or c. Failing to comply with the Underlying Grant Agreement or FTA Master Agreement (23), and 2. Require the Recipient to refund: a. The entire amount of Federal funds provided for the Project, or b. Any lesser amount as the Federal Government may determine, and (3) Expiration of Project Time Period. Except for a Full Funding Grant Agreements, expiration of any Project time period established for the Project does not, by itself, constitute an expiration or termination of the Underlying Agreement. DEBARMENT AND SUSPENSION The Recipient agrees that: (1) It will not engage Third Party Participants that are debarred or suspended except as authorized by: (a) U.S. DOT regulations, Nonprocurement Suspension and Debarment, 2 C.F.R. Part 1200, (b) U.S. OMB, Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement), 2 C.F.R. part 180, including any amendments thereto, and (c) Executive Orders Nos and 12689, Debarment and Suspension, 31 U.S.C note, (2) It will review the Excluded Parties Listing System at (to be transferred to if required by U.S. DOT regulations, 2 C.F.R. part 1200, and (3) It will include, and require its Third Party Participants to include a similar condition in each lower tier covered transaction, assuring that all lower tier Third Part Participants: (a) Will comply with Federal debarment and suspension requirements, and (b) Review the Excluded Parties Listing System at (to be transferred to if necessary to comply with U.S. DOT regulations, 2 C.F.R. part BUY AMERICA Domestic preference procurement requirements of: (1) 49 U.S.C. 5323(j), as amended by MAP-21 and FAST Act, and (2) FTA regulations, Buy America Requirements, 49 C.F.R. part 661, to the extent consistent with MAP-21 and FAST Act. PROVISIONS FOR RESOLUTION OF DISPUTES, BREACHES, OR OTHER LITIGATION 40

43 The Recipient understands and agrees that: (1) FTA Interest. FTA has a vested interest in the settlement of any disagreement involving the Project including, but not limited to: (a) A major dispute, (b) A breach, (c) A default, or (d) Litigation, (2) Notification to FTA. If a current or prospective legal matter that may affect the Federal Government emerges: (a) The Recipient agrees to notify immediately: 1. The FTA Chief Counsel, or 2. The FTA Regional Counsel for the Region in which the Recipient is located, (b) The types of legal matters that require notification include, but are not limited to: 1. A major dispute, 2. A breach, 3. A default, 4. Litigation, or 5. Naming the Federal Government as a party to litigation or a legal disagreement in any forum for any reason, and (c) The types of matters that may affect the Federal Government include, but are not limited to: 1. The Federal Government s interests in the Project, or 2. The Federal Government s administration or enforcement of Federal laws or regulations, (3) Federal Interest in Recovery (a) General. The Federal Government retains the right to a proportionate share of any proceeds recovered from any third party, based on the percentage of the Federal share for the Project, but (b) Liquidated Damages. Notwithstanding the preceding section XI.(1) of this document, the Recipient may return all liquidated damages it receives to its Project Account rather than return the Federal share of those liquidated damages to the Federal Government, (4) Enforcement. The Recipient agrees to pursue its legal rights and remedies available under: (a) Any third party agreement, (b) Any Federal law or regulation, (c) Any State law or regulation, or (d) Any local law or regulation, 41

44 (5) FTA Concurrence. If a legal matter described in section XI.(2) and XI.(3) of this document involves the Project or the Recipient, FTA reserves the right to concur in any: (a) Compromise, or (b) Settlement, and (6) Alternative Dispute Resolution. FTA encourages the Recipient to use alternative dispute resolution procedures, as may be appropriate. LOBBYING The Recipient agrees that, as provided by 31 U.S.C. 1352(a): (1) Prohibition on Use of Federal Funds. It will not use Federal funds: (a) To influence any: 1. Officer or employee of a Federal agency, 2. Member of Congress, 3. Officer or employee of Congress, or 4. Employee of a Member of Congress, (b) To take any action involving the Project or the Underlying Agreement for the Project, including any: 1. Award, 2. Extension, or 3. Modification, (2) Laws and Regulations. It will comply, and will assure that each Third Party Participant complies with: (a) 31 U.S.C. 1352, as amended, (b) U.S. DOT regulations, New Restrictions on Lobbying, 49 C.F.R. part 20, to the extent consistent with as necessary by 31 U.S.C. 1352, as amended, and (c) Other applicable Federal laws and regulations prohibiting the use of Federal funds for any activity concerning legislation or appropriations designed to influence: 1. The U.S. Congress, or 2. A State legislature, but (3) Exception. The prohibitions of (1)-(2) above do not apply to an activity that is undertaken through proper official channels, if permitted by the underlying law or regulations. CLEAN AIR & CLEAN WATER The Recipient agrees to include adequate provisions in each third party agreement exceeding $150,000 to ensure that each Third Party Participant will agree to: (1) Report the use of facilities placed on or likely to be placed on the U.S. EPA List of Violating Facilities, (2) Refrain from using any violating facilities, 42

45 (3) Report violations to FTA and the Regional U.S. EPA Office, and (4) Comply with the inspection and other requirements of: (a) Section 306 of the Clean Air Act, as amended, 42 U.S.C. 7606, and other requirements of the Clean Air Act, as amended, 42 U.S.C q, and (b) Section 508 of the Clean Water Act, as amended, 33 U.S.C. 1368, and other requirements of the Clean Water Act, as amended, 33 U.S.C CARGO PREFERENCE (1) Use of United States-Flag Vessels. Shipping requirements of: (a) 46 U.S.C , and (b) U.S. Maritime Administration regulations, Cargo Preference - U.S.-Flag Vessels, 46 C.F.R. part 381. DAVIS-BACON, COPELAND ANTI-KICKBACK AND CONTRACT WORK HOURS & SAFETY STANDARDS ACTS The Recipient agrees to comply, and assures that each Third Party Participant will comply, with all of the following: (1) Construction Activities. Federal laws and regulations providing protections for construction employees involved in Project activities, including: (a) Prevailing Wage Requirements. 1. Federal transit laws, specifically 49 U.S.C. 5333(a), (FTA s Davis-Bacon Related Act ), 2. The Davis-Bacon Act, 40 U.S.C , and , and 3. U.S. DOL regulations, Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction (also Labor Standards Provisions Applicable to Nonconstruction Contracts Subject to the Contract Work Hours and Safety Standards Act), 29 C.F.R. part 5, (b) Wage and Hour Requirements. 1. Section 102 of the Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. 3702, and other relevant parts of that Act, 40 U.S.C et seq., and 2. U.S. DOL regulations, Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction (also Labor Standards Provisions Applicable to Nonconstruction Contracts Subject to the Contract Work Hours and Safety Standards Act), 29 C.F.R. part 5, (c) Anti -Kickback Prohibitions. 1. Section 1 of the Copeland Anti-Kickback Act, as amended, 18 U.S.C. 874, 2. Section 2 of the Copeland Anti-Kickback Act, as amended, 40 U.S.C. 3145, and 3. U.S. DOL regulations, Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in part by Loans or Grants from the United States, 29 C.F.R. part 3, and (d) Safety at the Construction Site. 43

46 1. Section 107 of that Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. 3704, and other relevant parts of that Act, 40 U.S.C et seq., and 2. U.S. DOL regulations, Safety and Health Regulations for Construction, 29 C.F.R. part 1926, (2) Activities Not Involving Construction. Federal laws and regulations providing wage and hour protections for non-construction employees, including: (a) Section 102 of the Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. 3702, and other relevant parts of that Act, 40 U.S.C et seq., and (b) U.S. DOL regulations, Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction (also Labor Standards Provisions Applicable to Nonconstruction Contracts Subject to the Contract Work Hours and Safety Standards Act), 29 C.F.R. part 5. BONDING FOR CONSTRUCTION ACTIVITIES EXCEEDING $100,000 The Recipient agrees to comply with the following bonding requirements and restrictions as provided in Federal regulations and guidance, except as FTA determines otherwise in writing: (1) Construction. As provided by Federal regulations and modified by FTA guidance, for Project activities involving construction, it will provide: (a) Bid Guarantee bonds (5%), (b) Contract performance bonds (100%), and (c) Payment bonds (50% for contracts < $1M, 40% for contracts > $1M, but < $5M). FLY AMERICA The Contractor agrees to comply with 49 U>S>C (the Fly America Act ) in accordance with the General Services Administration s regulations at 41 CFR Part

47 Contractors Certification of Acknowledgment Federal Transit Administration Contract Clauses and Certifications Source: FTA Master Agreement (23), October 1, FY2017%20-% pdf The Contractor,, certifies, to the best of its knowledge and belief, that it: A. Has Has not read and understood the attached Federal Transit Administration Contract Clauses as they pertain to project, and; B. Has Has not read and understood the attached Federal Transit Administration Contract Certifications as they pertain to project. Signature of Contractor s Authorized Official Date Name & Title of Contractor s Authorized Official 45

48 RFP KT BUY AMERICA CERTICATION Certification Requirement for Procurement of Steel or Manufactured Products This procurement is subject to Federal Transit Administration requirements in 49 CFR Part 661. A The Buy America Certificate, as shown below, must be completed and submitted with your Proposal. ONLY SIGN ONE BELOW ONLY ONE: Certificate of Compliance with 49 U.S.C. 5323(j) (1) The Proposer hereby certifies that it will meet the requirements of 49 U.S.C. 5323(j) (1) and the applicable regulations in 49 CFR Part The product will be manufactured in the United States with all components being of US Origin. Proposer agrees to submit a complete bill of materials with the origin of each component. The bill of materials must be submitted as a condition of retainage release where retainage is part of the contract. Date: Signature: Title: Company Name: ****************************************************************************** Certificate of Non-Compliance with 49 U.S.C. 5323(j) (1) The Proposer hereby certifies that it cannot comply with the requirements of 49 U.S.C. 5323(j)(2) (B) or (j) (2) (D) and the regulations in 49 CFR Date: Signature: Title: Company Name: THIS FORM MUST ACCOMPANY PROPOSAL 46

49 RFP KT LOBBYING CERTIFICATION The Proposer certifies, to the best its knowledge and belief, that: 1. No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of a federal department or agency, a member of the U.S. Congress, an officer or employee of the U.S. Congress, or an employee of a member of the U.S. Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment or modification thereof. 2. If any funds other than federal appropriated funds have been paid or will be paid to any person for making lobbying contacts to an officer or employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this federal Contract, grant, loan or cooperative agreement, the undersigned shall complete and submit Standard Form LLL, Disclosure Form to Report Lobbying, in accordance with its instruction, as amended by Government-wide Guidance for New Restrictions on Lobbying, 61 Fed. Reg (1/19/96). 3. The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants and contracts under grants, loans and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31, USC 1352 (as amended by the Lobbying Disclosure Act of 1995). Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. THE PROPOSER,, CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF EACH STATEMENT OF ITS CERTIFICATION AND DISCLOSURE, IF ANY. IN ADDITION, THE PROPOSER UNDERSTANDS AND AGREES THAT THE PROVISIONS OF 31 USC 3801 ET SEQ. APPLY TO THIS CERTIFICATION AND DISCLOSURE, IF ANY. Name of the Proposer s authorized official: Title: Signature Date THIS FORM MUST ACCOMPANY PROPOSAL 47

50 RFP KT DEBARMENT AND SUSPENSION The Bidder certifies to the best of its knowledge and belief that it and its principals: 1. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; 2. Have not within a three (3) year period preceding this Bid been convicted of, or had a civil 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) transaction or Contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements or receiving stolen property; 3. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in Paragraph 2 above; and 4. Have not within a three (3) year period preceding this Bid had one or more public transactions (Federal, State or local) terminated for cause or default. If Bidder is unable to certify to any of the statements in this certification, the Bidder shall attach an explanation to this Section. Note: The penalty for making false statements in offers is described in 18 U.S.C THE BIDDER CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS SUBMITTED ON OR WITH THIS CERTIFICATION AND UNDERSTANDS THAT THE PROVISIONS OF 31 USC SECTIONS 3802, ET SEQ., ARE APPLICABLE THERETO. Authorized Signature Date Printed Name & Title Company Name Subscribed and sworn to before me this day of, Notary Public in and for the State of, residing in Signature: **THIS FORM MUST BE NOTARIZED AND SUBMITTED WITH YOUR BID** 48

51 EXHIBIT B FEDERAL HIGHWAY ADMINISTRATION CONTRACT CLAUSES Please Note: All Contractors must abide by the more stringent of the clauses of both FTA and FHWA (WSDOT Division 1 of the Standard Specifications Guide) M41-10 Disadvantage Business Enterprise: The Bidder shall submit with the Bid a completed Disadvantaged Business Enterprise (DBE) Utilization Certification, when required by the Special Provisions. For each and every DBE firm listed on the Bidder s completed Disadvantaged Business Enterprise Utilization 2016 Standard Specifications M Page 1-11 Bid Procedures and Conditions 1-02 Certification, the Bidder shall submit written confirmation from that DBE firm that the DBE is in agreement with the DBE participation commitment that the Bidder has made in the Bidder s completed Disadvantaged Business Enterprise Utilization Certification. WSDOT Form (Disadvantaged Business Enterprise Written Confirmation Document) is available for this purpose. Bidder must submit good faith effort documentation with the Disadvantaged Business Enterprise Utilization Certification ONLY In The Event the bidder s efforts to solicit sufficient DBE participation have been unsuccessful. Directions for delivery of the Disadvantaged Business Enterprise Written Confirmation Documents and Disadvantaged Business Enterprise Good Faith Effort documentation are included in Sections and Procurement of Recovered Materials: FHWA Procurement of Recovered Materials FTA clauses & procedures to be used CFR Procurement of recovered materials: A non-federal entity that is a state agency or agency of a political subdivision of a state and its contractors must comply with section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired by the preceding fiscal year exceeded $10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an affirmative procurement program for procurement of recovered materials identified in the EPA guidelines. M Termination for Cause and Convenience & Sanctions and Penalties for Breach of Contract: Termination of Contract 49

52 (1) Termination for Default The Contracting Agency may terminate the Contract upon the occurrence of any one or more or the following events: 1. If the Contractor fails to supply sufficient skilled workers or suitable materials or equipment; 2. If the Contractor refuses or fails to prosecute the Work with such diligence as will ensure its Physical Completion within the original Physical Completion time and any Page Standard Specifications M Prosecution and Progress extensions of time which may have been granted to the Contractor by change order or otherwise; 3. If the Contractor is adjudged bankrupt or insolvent, or makes a general assignment for the benefit of creditors, or if the Contractor or a third party files a petition to take advantage of any debtor s act or to reorganize under the bankruptcy or similar laws concerning the Contractor, or if a trustee or receiver is appointed for the Contractor or for any of the Contractor s property on account of the Contractor s insolvency, and the Contractor or its successor in interest does not provide adequate assurance of future performance in accordance with the Contract within 15 calendar days of receipt of a request for assurance from the Contracting Agency; 4. If the Contractor disregards laws, ordinances, rules, codes, regulations, orders or similar requirements of any public entity having jurisdiction; 5. If the Contractor disregards the authority of the Contracting Agency; 6. If the Contractor performs Work which deviates from the Contract, and neglects or refuses to correct rejected Work; or 7. If the Contractor otherwise violates in any material way any provisions or requirements of the Contract. Once the Contracting Agency determines that sufficient cause exists to terminate the Contract, written notice shall be given to the Contractor and its Surety indicating that the Contractor is in breach of the Contract and that the Contractor is to remedy the breach within 15 calendar days after the notice is sent. In case of an emergency such as potential damage to life or property, the response time to remedy the breach after the notice may be shortened. If the remedy does not take place to the satisfaction of the Contracting Agency, the Engineer may, by serving written notice to the Contractor and Surety either: 1. Transfer the performance of the Work from the Contractor to the Surety; or 2. Terminate the Contract and at the Contracting Agency s option prosecute it to completion by contract or otherwise. Any extra costs or damages to the Contracting Agency shall be deducted from any money due or coming due to the Contractor under the Contract. If the Engineer elects to pursue one remedy, it will not bar the Engineer from pursuing other remedies on the same or subsequent breaches. Upon receipt of a notice that the Work is being transferred to the Surety, the Surety shall enter upon the premises and take possession of all materials, tools, and appliances for the purpose of completing the Work included under the Contract and employ by contract or otherwise any person or persons satisfactory to the Engineer to finish the Work and provide the materials without termination of the Contract. Such employment shall not relieve the Surety of its obligations under the Contract and the bond. If there is a transfer to the Surety, payments on estimates covering Work subsequent to the transfer shall be made to the extent permitted under law to the Surety or its agent without any right of the Contractor to make any claim. If the Engineer terminates the Contract or provides such sufficiency of labor or materials as required to complete the Work, the Contractor shall not be entitled to receive any further payments on the Contract until all the Work contemplated by the Contract has been fully performed. The Contractor shall bear any 50

53 extra expenses incurred by the Contracting Agency in completing the Work, including all increased costs for completing the Work, and all damages sustained, or which may be sustained, by the Contracting Agency by reason of such refusal, neglect, failure, or discontinuance of Work by the Contractor. If liquidated damages are provided in the Contract, the Contractor shall be liable for such liquidated damages until such reasonable time as may be required for Physical Completion of the Work. After all the Work contemplated by the Contract has been completed, the Engineer will calculate the total expenses and damages for the completed Work. If the total expenses and damages are less than any unpaid balance due the Contractor, the excess will be paid by the Contracting Agency to the Contractor. If the total expenses and damages exceed the unpaid balance, the Contractor 2016 Standard Specifications M Page 1-85 Prosecution and Progress 1-08 and the Surety shall be jointly and severally liable to the Contracting Agency and shall pay the difference to the State of Washington, Department of Transportation on demand. In exercising the Contracting Agency s right to prosecute the Physical Completion of the Work, the Contracting Agency shall have the right to exercise its sole discretion as to the manner, method, and reasonableness of the costs of completing the Work. In the event that the Contracting Agency takes Bids for remedial Work or Physical Completion of the project, the Contractor shall not be eligible for the Award of such Contracts. In the event the Contract is terminated, the termination shall not affect any rights of the Contracting Agency against the Contractor. The rights and remedies of the Contracting Agency under the Termination Clause are in addition to any other rights and remedies provided by law or under this Contract. Any retention or payment of monies to the Contractor by the Contracting Agency will not release the Contractor from liability. If a notice of termination for default has been issued and it is later determined for any reason that the Contractor was not in default, the rights and obligations of the parties shall be the same as if the notice of termination had been issued pursuant to Termination for Public Convenience in Section (2). This shall include termination for default because of failure to prosecute the Work, and the delay was found to be excusable under the provisions of Section (2) Termination for Public Convenience The Engineer may terminate the Contract in whole, or from time to time in part, whenever: 1. The Contractor is prevented from proceeding with the Work as a direct result of an Executive Order of the President with respect to the prosecution of war or in the interest of national defense; or an Executive Order of the President or Governor of the State with respect to the preservation of energy resources; 2. The Contractor is prevented from proceeding with the Work by reason of a preliminary, special, or permanent restraining order of a court of competent jurisdiction where the issuance of such restraining order is primarily caused by acts or omissions of persons or agencies other than the Contractor; or 3. The Engineer determines that such termination is in the best interests of the Contracting Agency (3) Termination for Public Convenience Payment Request After receipt of Termination for Public Convenience as provided in Section (2), the Contractor shall submit to the Contracting Agency a request for costs associated with the termination. The request shall be prepared in accordance with the claim procedures outlined in Sections and The request shall be submitted promptly but in no event later than 90 calendar days from the effective date of termination. The Contractor agrees to make all records available to the extent deemed necessary by the Engineer to verify the costs in the Contractor s payment request (4) Payment for Termination for Public Convenience 51

54 Whenever the Contract is terminated in accordance with Section (2), payment will be made in accordance with Section for the actual Work performed. If the Contracting Agency and the Contractor cannot agree as to the proper amount of payment, then the matter will be resolved as outlined in Section except that, if the termination occurs because of the issuance of a restraining order as provided in Section (2), the matter will be resolved through mandatory and binding arbitration as described in Sections (3)A and B, regardless of the amount of the claim (5) Responsibility of the Contractor and Surety Termination of a Contract shall not relieve the Contractor of any responsibilities under the Contract for Work performed. Nor shall termination of the Contract relieve the Surety or Sureties of obligations under the Contract Bond or retainage bond for Work performed. Buy American Requirements: FHWA Buy America FTA clauses & procedures to be used: CFR Buy America requirements (a) The provisions of this section shall prevail and be given precedence over any requirements of this subpart which are contrary to this section. However, nothing in this section shall be construed to be contrary to the requirements of (a) of this subpart (b) No Federal-aid highway construction project is to be authorized for advertisement or otherwise. authorized to proceed unless at least one of the following requirements is met: (1) The project either: (i) Includes no permanently incorporated steel or iron materials, or (ii) if steel or iron materials are to be used, all manufacturing processes, including application of a coating, for these materials must occur in the United States. Coating includes all processes which protect or enhance the value of the material to which the coating is applied. (2) The State has standard contract provisions that require the use of domestic materials and products, including steel and iron materials, to the same or greater extent as the provisions set forth in this section. (3) The State elects to include alternate bid provisions for foreign and domestic steel and iron materials which comply with the following requirements. Any procedure for obtaining alternate bids based on furnishing foreign steel and iron materials which is acceptable to the Division Administrator may be used. The contract provisions must (i) require all bidders to submit a bid based on furnishing domestic steel and iron materials, and (ii) clearly state that the contract will be awarded to the bidder who submits the lowest total bid based on furnishing domestic steel and iron materials unless such total bid exceeds the lowest total bid based on furnishing foreign steel and iron materials by more than 25 percent. (4) When steel and iron materials are used in a project, the requirements of this section do not prevent a minimal use of foreign steel and iron materials, if the cost of such materials used does not exceed onetenth of one percent (0.1 percent) of the total contract cost or $2,500, whichever is greater. For purposes of this paragraph, the cost is that shown to be the value of the steel and iron products as they are delivered to the project. 52

55 (c)(1) A State may request a waiver of the provisions of this section if;(i) The application of those provisions would be inconsistent with the public interest; or ii) Steel and iron materials/products are not produced in the United States in sufficient and reasonably available quantities which are of a satisfactory quality. (2) A request for waiver, accompanied by supporting information, must be submitted in writing to the Regional Federal Highway Administrator (RFHWA) through the FHWA Division Administrator. A request must be submitted sufficiently in advance of the need for the waiver in order to allow time for proper review and action on the request. The RFHWA will have approval authority on the request. (3) Requests for waivers may be made for specific projects, or for certain materials or products in specific geographic areas, or for combinations of both, depending on the circumstances. (4) The denial of the request by the RFHWA may be appealed by the State to the Federal Highway Administrator (Administrator), whose action on the request shall be considered administratively final. (5) A request for a waiver which involves nationwide public interest or availability issues or more than one FHWA region may be submitted by the RFHWA to the Administrator for action. (6) A request for waiver and an appeal from a denial of a request must include facts and justification to support the granting of the waiver. The FHWA response to a request or appeal will be in writing and made available to the public upon request. Any request for a nationwide waiver and FHWA's action on such a request may be published in the Federal Register for public comment. (7) In determining whether the waivers described in paragraph (c)(1) of this section will be granted, the FHWA will consider all appropriate factors including, but not limited to, cost, administrative burden, and delay that would be imposed if the provision were not waived.(d) Standard State and Federal-aid contract procedures may be used to assure compliance with the requirements of this section. [48 FR 53104, Nov. 25, 1983, as amended at 49 FR 18821, May 3, 1984; 58 FR 38975, July 21, 1993] REQUIRED CONTRACT PROVISIONS FEDEAL-AID CONSTRUCTION CONTRACT 53

56 I. General II. III. IV. Nondiscrimination Nonsegregated Facilities Davis-Bacon and Related Act Provisions V. Contract Work Hours and Safety Standards Act Provisions VI. VII. VIII. IX. Subletting or Assigning the Contract Safety: Accident Prevention False Statements Concerning Highway Projects Implementation of Clean Air Act and Federal Water Pollution Control Act X. Compliance with Governmentwide Suspension and Debarment Requirements XI. Certification Regarding Use of Contract Funds for Lobbying ATTACHMENTS A. Employment and Materials Preference for Appalachian Development Highway System or Appalachian Local Access Road Contracts (included in Appalachian contracts only) I. GENERAL 1. Form FHWA-1273 must be physically incorporated in each construction contract funded under Title 23 (excluding emergency contracts solely intended for debris removal). The contractor (or subcontractor) must insert this form in each subcontract and further require its inclusion in all lower tier subcontracts (excluding purchase orders, rental agreements and other agreements for supplies or services). The applicable requirements of Form FHWA-1273 are incorporated by reference for work done under any purchase order, rental agreement or agreement for other services. The prime contractor shall be responsible for compliance by any subcontractor, lower-tier subcontractor or service provider. Form FHWA-1273 must be included in all Federal-aid design-build contracts, in all subcontracts and in lower tier subcontracts (excluding subcontracts for design services, purchase orders, rental agreements and other agreements for supplies or services). The design-builder shall be responsible for compliance by any subcontractor, lower-tier subcontractor or service provider. 2

57 Contracting agencies may reference Form FHWA-1273 in bid proposal or request for proposal documents, however, the Form FHWA-1273 must be physically incorporated (not referenced) in all contracts, subcontracts and lower-tier subcontracts (excluding purchase orders, rental agreements and other agreements for supplies or services related to a construction contract). 2. Subject to the applicability criteria noted in the following sections, these contract provisions shall apply to all work performed on the contract by the contractor's own organization and with the assistance of workers under the contractor's immediate superintendence and to all work performed on the contract by piecework, station work, or by subcontract. 3. A breach of any of the stipulations contained in these Required Contract Provisions may be sufficient grounds for withholding of progress payments, withholding of final payment, termination of the contract, suspension / debarment or any other action determined to be appropriate by the contracting agency and FHWA. 4. Selection of Labor: During the performance of this contract, the contractor shall not use convict labor for any purpose within the limits of a construction project on a Federal-aid highway unless it is labor performed by convicts who are on parole, supervised release, or probation. The term Federal-aid highway does not include roadways functionally classified as local roads or rural minor collectors. II. NONDISCRIMINATION The provisions of this section related to 23 CFR Part 230 are applicable to all Federal-aid construction contracts and to all related construction subcontracts of $10,000 or more. The provisions of 23 CFR Part 230 are not applicable to material supply, engineering, or architectural service contracts. In addition, the contractor and all subcontractors must comply with the following policies: Executive Order 11246, 41 CFR 60, 29 CFR , Title 23 USC Section 140, the Rehabilitation Act of 1973, as amended (29 USC 794), Title VI of the Civil Rights Act of 1964, as amended, and related regulations including 49 CFR Parts 21, 26 and 27; and 23 CFR Parts 200, 230, and 633. The contractor and all subcontractors must comply with: the requirements of the Equal Opportunity Clause in 41 CFR (b) and, for all construction contracts exceeding $10,000, the Standard Federal Equal Employment Opportunity Construction Contract Specifications in 41 CFR Note: The U.S. Department of Labor has exclusive authority to determine compliance with Executive Order and the policies of the Secretary of Labor including 41 CFR 60, and 29 CFR The contracting agency and the FHWA have the authority and the responsibility to ensure compliance with Title 23 USC Section 140, the Rehabilitation Act of 1973, as amended (29 USC 794), and Title VI of the Civil Rights Act of 1964, as amended, and related regulations including 49 CFR Parts 21, 26 and 27; and 23 CFR Parts 200, 230, and

58 The following provision is adopted from 23 CFR 230, Appendix A, with appropriate revisions to conform to the U.S. Department of Labor (US DOL) and FHWA requirements. 1. Equal Employment Opportunity: Equal employment opportunity (EEO) requirements not to discriminate and to take affirmative action to assure equal opportunity as set forth under laws, executive orders, rules, regulations (28 CFR 35, 29 CFR 1630, 29 CFR , 41 CFR 60 and 49 CFR 27) and orders of the Secretary of Labor as modified by the provisions prescribed herein, and imposed pursuant to 23 U.S.C. 140 shall constitute the EEO and specific affirmative action standards for the contractor's project activities under this contract. The provisions of the Americans with Disabilities Act of 1990 (42 U.S.C et seq.) set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by reference in this contract. In the execution of this contract, the contractor agrees to comply with the following minimum specific requirement activities of EEO: a. The contractor will work with the contracting agency and the Federal Government to ensure that it has made every good faith effort to provide equal opportunity with respect to all of its terms and conditions of employment and in their review of activities under the contract. b. The contractor will accept as its operating policy the following statement: "It is the policy of this Company to assure that applicants are employed, and that employees are treated during employment, without regard to their race, religion, sex, color, national origin, age or disability. Such action shall include: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship, pre-apprenticeship, and/or on-the-job training." 2. EEO Officer: The contractor will designate and make known to the contracting officers an EEO Officer who will have the responsibility for and must be capable of effectively administering and promoting an active EEO program and who must be assigned adequate authority and responsibility to do so. 3. Dissemination of Policy: All members of the contractor's staff who are authorized to hire, supervise, promote, and discharge employees, or who recommend such action, or who are substantially involved in such action, will be made fully cognizant of, and will implement, the contractor's EEO policy and contractual responsibilities to provide EEO in each grade and classification of employment. To ensure that the above agreement will be met, the following actions will be taken as a minimum: a. Periodic meetings of supervisory and personnel office employees will be conducted before the start of work and then not less often than once every six months, at which time the contractor's EEO policy and its implementation will be reviewed and explained. The meetings will be conducted by the EEO Officer. b. All new supervisory or personnel office employees will be given a thorough indoctrination by the EEO Officer, covering all major aspects of the contractor's EEO obligations within thirty days following their reporting for duty with the contractor. 2

59 c. All personnel who are engaged in direct recruitment for the project will be instructed by the EEO Officer in the contractor's procedures for locating and hiring minorities and women. d. Notices and posters setting forth the contractor's EEO policy will be placed in areas readily accessible to employees, applicants for employment and potential employees. e. The contractor's EEO policy and the procedures to implement such policy will be brought to the attention of employees by means of meetings, employee handbooks, or other appropriate means. 4. Recruitment: When advertising for employees, the contractor will include in all advertisements for employees the notation: "An Equal Opportunity Employer." All such advertisements will be placed in publications having a large circulation among minorities and women in the area from which the project work force would normally be derived. a. The contractor will, unless precluded by a valid bargaining agreement, conduct systematic and direct recruitment through public and private employee referral sources likely to yield qualified minorities and women. To meet this requirement, the contractor will identify sources of potential minority group employees, and establish with such identified sources procedures whereby minority and women applicants may be referred to the contractor for employment consideration. b. In the event the contractor has a valid bargaining agreement providing for exclusive hiring hall referrals, the contractor is expected to observe the provisions of that agreement to the extent that the system meets the contractor's compliance with EEO contract provisions. Where implementation of such an agreement has the effect of discriminating against minorities or women, or obligates the contractor to do the same, such implementation violates Federal nondiscrimination provisions. c. The contractor will encourage its present employees to refer minorities and women as applicants for employment. Information and procedures with regard to referring such applicants will be discussed with employees. 5. Personnel Actions: Wages, working conditions, and employee benefits shall be established and administered, and personnel actions of every type, including hiring, upgrading, promotion, transfer, demotion, layoff, and termination, shall be taken without regard to race, color, religion, sex, national origin, age or disability. The following procedures shall be followed: a. The contractor will conduct periodic inspections of project sites to insure that working conditions and employee facilities do not indicate discriminatory treatment of project site personnel. b. The contractor will periodically evaluate the spread of wages paid within each classification to determine any evidence of discriminatory wage practices. c. The contractor will periodically review selected personnel actions in depth to determine whether there is evidence of discrimination. Where evidence is found, the contractor will 2

60 promptly take corrective action. If the review indicates that the discrimination may extend beyond the actions reviewed, such corrective action shall include all affected persons. d. The contractor will promptly investigate all complaints of alleged discrimination made to the contractor in connection with its obligations under this contract, will attempt to resolve such complaints, and will take appropriate corrective action within a reasonable time. If the investigation indicates that the discrimination may affect persons other than the complainant, such corrective action shall include such other persons. Upon completion of each investigation, the contractor will inform every complainant of all of their avenues of appeal. 6. Training and Promotion: a. The contractor will assist in locating, qualifying, and increasing the skills of minorities and women who are applicants for employment or current employees. Such efforts should be aimed at developing full journey level status employees in the type of trade or job classification involved. b. Consistent with the contractor's work force requirements and as permissible under Federal and State regulations, the contractor shall make full use of training programs, i.e., apprenticeship, and on-the-job training programs for the geographical area of contract performance. In the event a special provision for training is provided under this contract, this subparagraph will be superseded as indicated in the special provision. The contracting agency may reserve training positions for persons who receive welfare assistance in accordance with 23 U.S.C. 140(a). c. The contractor will advise employees and applicants for employment of available training programs and entrance requirements for each. d. The contractor will periodically review the training and promotion potential of employees who are minorities and women and will encourage eligible employees to apply for such training and promotion. 7. Unions: If the contractor relies in whole or in part upon unions as a source of employees, the contractor will use good faith efforts to obtain the cooperation of such unions to increase opportunities for minorities and women. Actions by the contractor, either directly or through a contractor's association acting as agent, will include the procedures set forth below: a. The contractor will use good faith efforts to develop, in cooperation with the unions, joint training programs aimed toward qualifying more minorities and women for membership in the unions and increasing the skills of minorities and women so that they may qualify for higher paying employment. b. The contractor will use good faith efforts to incorporate an EEO clause into each union agreement to the end that such union will be contractually bound to refer applicants without regard to their race, color, religion, sex, national origin, age or disability. 2

61 c. The contractor is to obtain information as to the referral practices and policies of the labor union except that to the extent such information is within the exclusive possession of the labor union and such labor union refuses to furnish such information to the contractor, the contractor shall so certify to the contracting agency and shall set forth what efforts have been made to obtain such information. d. In the event the union is unable to provide the contractor with a reasonable flow of referrals within the time limit set forth in the collective bargaining agreement, the contractor will, through independent recruitment efforts, fill the employment vacancies without regard to race, color, religion, sex, national origin, age or disability; making full efforts to obtain qualified and/or qualifiable minorities and women. The failure of a union to provide sufficient referrals (even though it is obligated to provide exclusive referrals under the terms of a collective bargaining agreement) does not relieve the contractor from the requirements of this paragraph. In the event the union referral practice prevents the contractor from meeting the obligations pursuant to Executive Order 11246, as amended, and these special provisions, such contractor shall immediately notify the contracting agency. 8. Reasonable Accommodation for Applicants / Employees with Disabilities: The contractor must be familiar with the requirements for and comply with the Americans with Disabilities Act and all rules and regulations established there under. Employers must provide reasonable accommodation in all employment activities unless to do so would cause an undue hardship. 9. Selection of Subcontractors, Procurement of Materials and Leasing of Equipment: The contractor shall not discriminate on the grounds of race, color, religion, sex, national origin, age or disability in the selection and retention of subcontractors, including procurement of materials and leases of equipment. The contractor shall take all necessary and reasonable steps to ensure nondiscrimination in the administration of this contract. a. The contractor shall notify all potential subcontractors and suppliers and lessors of their EEO obligations under this contract. b. The contractor will use good faith efforts to ensure subcontractor compliance with their EEO obligations. 10. Assurance Required by 49 CFR 26.13(b): a. The requirements of 49 CFR Part 26 and the State DOT s U.S. DOT-approved DBE program are incorporated by reference. b. The contractor or subcontractor 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 DOT-assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this 2

62 contract, which may result in the termination of this contract or such other remedy as the contracting agency deems appropriate. 11. Records and Reports: The contractor shall keep such records as necessary to document compliance with the EEO requirements. Such records shall be retained for a period of three years following the date of the final payment to the contractor for all contract work and shall be available at reasonable times and places for inspection by authorized representatives of the contracting agency and the FHWA. a. The records kept by the contractor shall document the following: (1) The number and work hours of minority and non-minority group members and women employed in each work classification on the project; (2) The progress and efforts being made in cooperation with unions, when applicable, to increase employment opportunities for minorities and women; and (3) The progress and efforts being made in locating, hiring, training, qualifying, and upgrading minorities and women; b. The contractors and subcontractors will submit an annual report to the contracting agency each July for the duration of the project, indicating the number of minority, women, and nonminority group employees currently engaged in each work classification required by the contract work. This information is to be reported on Form FHWA The staffing data should represent the project work force on board in all or any part of the last payroll period preceding the end of July. If on-the-job training is being required by special provision, the contractor will be required to collect and report training data. The employment data should reflect the work force on board during all or any part of the last payroll period preceding the end of July. III. NONSEGREGATED FACILITIES This provision is applicable to all Federal-aid construction contracts and to all related construction subcontracts of $10,000 or more. The contractor must ensure that facilities provided for employees are provided in such a manner that segregation on the basis of race, color, religion, sex, or national origin cannot result. The contractor may neither require such segregated use by written or oral policies nor tolerate such use by employee custom. The contractor's obligation extends further to ensure that its employees are not assigned to perform their services at any location, under the contractor's control, where the facilities are segregated. The term "facilities" includes waiting rooms, work areas, restaurants and other eating areas, time clocks, restrooms, washrooms, locker rooms, and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing provided for employees. The contractor shall provide separate or single-user restrooms and necessary dressing or sleeping areas to assure privacy between sexes. 2

63 IV. Davis-Bacon and Related Act Provisions This section is applicable to all Federal-aid construction projects exceeding $2,000 and to all related subcontracts and lower-tier subcontracts (regardless of subcontract size). The requirements apply to all projects located within the right-of-way of a roadway that is functionally classified as Federal-aid highway. This excludes roadways functionally classified as local roads or rural minor collectors, which are exempt. Contracting agencies may elect to apply these requirements to other projects. The following provisions are from the U.S. Department of Labor regulations in 29 CFR 5.5 Contract provisions and related matters with minor revisions to conform to the FHWA-1273 format and FHWA program requirements. 1. Minimum wages a. All laborers and mechanics employed or working upon the site of the work, will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph 1.d. of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, That the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under paragraph 1.b. of this section) and the Davis- Bacon poster (WH 1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. b. (1) The contracting officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officer 2

64 shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met: (i) The work to be performed by the classification requested is not performed by a classification in the wage determination; and (ii) The classification is utilized in the area by the construction industry; and (iii) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination. (2) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Washington, DC The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (3) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Wage and Hour Administrator for determination. The Wage and Hour Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (4) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs 1.b.(2) or 1.b.(3) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. c. Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof. d. If the contractor does not make payments to a trustee or other third person, the contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the 2

65 contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. 2. Withholding The contracting agency shall upon its own action or upon written request of an authorized representative of the Department of Labor, withhold or cause to be withheld from the contractor under this contract, or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same prime contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work, all or part of the wages required by the contract, the contracting agency may, after written notice to the contractor, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. 3. Payrolls and basic records a. Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work. Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs. b. (1) The contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to the contracting agency. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i), except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead the payrolls shall only need to include an individually identifying number for each employee ( e.g., the last four digits of the employee's social security number). 2

66 The required weekly payroll information may be submitted in any form desired. Optional Form WH 347 is available for this purpose from the Wage and Hour Division Web site at or its successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to the contracting agency for transmission to the State DOT, the FHWA or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a violation of this section for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for its own records, without weekly submission to the contracting agency.. (2) Each payroll submitted shall be accompanied by a Statement of Compliance, signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: (i) That the payroll for the payroll period contains the information required to be provided under 5.5 (a)(3)(ii) of Regulations, 29 CFR part 5, the appropriate information is being maintained under 5.5 (a)(3)(i) of Regulations, 29 CFR part 5, and that such information is correct and complete; (ii) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR part 3; (iii) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. (3) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH 347 shall satisfy the requirement for submission of the Statement of Compliance required by paragraph 3.b.(2) of this section. (4) The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of title 31 of the United States Code. c. The contractor or subcontractor shall make the records required under paragraph 3.a. of this section available for inspection, copying, or transcription by authorized representatives of the contracting agency, the State DOT, the FHWA, or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the FHWA may, after written notice to the contractor, the contracting agency or the State DOT, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of 2

67 funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR Apprentices and trainees a. Apprentices (programs of the USDOL). Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified in the contractor's or subcontractor's registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved. b. Trainees (programs of the USDOL). 2

68 Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. c. Equal employment opportunity. The utilization of apprentices, trainees and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR part 30. d. Apprentices and Trainees (programs of the U.S. DOT). Apprentices and trainees working under apprenticeship and skill training programs which have been certified by the Secretary of Transportation as promoting EEO in connection with Federalaid highway construction programs are not subject to the requirements of paragraph 4 of this Section IV. The straight time hourly wage rates for apprentices and trainees under such programs will be established by the particular programs. The ratio of apprentices and trainees to journeymen shall not be greater than permitted by the terms of the particular program. 5. Compliance with Copeland Act requirements. The contractor shall comply with the requirements of 29 CFR part 3, which are incorporated by reference in this contract. 6. Subcontracts. The contractor or subcontractor shall insert Form FHWA-1273 in any subcontracts and also require the subcontractors to include Form FHWA-1273 in any lower tier 2

69 subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in 29 CFR Contract termination: debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR Compliance with Davis-Bacon and Related Act requirements. All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this contract. 9. Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives. 10. Certification of eligibility. a. By entering into this contract, the contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the contractor's firm is a person or firm ineligible to be awarded Government contracts by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). b. No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). c. The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C V. CONTRACT WORK HOURS AND SAFETY STANDARDS ACT The following clauses apply to any Federal-aid construction contract in an amount in excess of $100,000 and subject to the overtime provisions of the Contract Work Hours and Safety Standards Act. These clauses shall be inserted in addition to the clauses required by 29 CFR 5.5(a) or 29 CFR 4.6. As used in this paragraph, the terms laborers and mechanics include watchmen and guards. 1. Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. 2

70 2. Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (1.) of this section, the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (1.) of this section, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (1.) of this section. 3. Withholding for unpaid wages and liquidated damages. The FHWA or the contacting agency shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (2.) of this section. 4. Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (1.) through (4.) of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (1.) through (4.) of this section. VI. SUBLETTING OR ASSIGNING THE CONTRACT This provision is applicable to all Federal-aid construction contracts on the National Highway System. 1. The contractor shall perform with its own organization contract work amounting to not less than 30 percent (or a greater percentage if specified elsewhere in the contract) of the total original contract price, excluding any specialty items designated by the contracting agency. Specialty items may be performed by subcontract and the amount of any such specialty items performed may be deducted from the total original contract price before computing the amount of work required to be performed by the contractor's own organization (23 CFR ). a. The term perform work with its own organization refers to workers employed or leased by the prime contractor, and equipment owned or rented by the prime contractor, with or without operators. Such term does not include employees or equipment of a subcontractor or lower tier subcontractor, agents of the prime contractor, or any other assignees. The term may include payments for the costs of hiring leased employees from an employee leasing firm meeting all relevant Federal and State regulatory requirements. Leased 2

71 employees may only be included in this term if the prime contractor meets all of the following conditions: (1) the prime contractor maintains control over the supervision of the day-to-day activities of the leased employees; (2) the prime contractor remains responsible for the quality of the work of the leased employees; (3) the prime contractor retains all power to accept or exclude individual employees from work on the project; and (4) the prime contractor remains ultimately responsible for the payment of predetermined minimum wages, the submission of payrolls, statements of compliance and all other Federal regulatory requirements. b. "Specialty Items" shall be construed to be limited to work that requires highly specialized knowledge, abilities, or equipment not ordinarily available in the type of contracting organizations qualified and expected to bid or propose on the contract as a whole and in general are to be limited to minor components of the overall contract. 2. The contract amount upon which the requirements set forth in paragraph (1) of Section VI is computed includes the cost of material and manufactured products which are to be purchased or produced by the contractor under the contract provisions. 3. The contractor shall furnish (a) a competent superintendent or supervisor who is employed by the firm, has full authority to direct performance of the work in accordance with the contract requirements, and is in charge of all construction operations (regardless of who performs the work) and (b) such other of its own organizational resources (supervision, management, and engineering services) as the contracting officer determines is necessary to assure the performance of the contract. 4. No portion of the contract shall be sublet, assigned or otherwise disposed of except with the written consent of the contracting officer, or authorized representative, and such consent when given shall not be construed to relieve the contractor of any responsibility for the fulfillment of the contract. Written consent will be given only after the contracting agency has assured that each subcontract is evidenced in writing and that it contains all pertinent provisions and requirements of the prime contract. 5. The 30% self-performance requirement of paragraph (1) is not applicable to design-build contracts; however, contracting agencies may establish their own self-performance requirements. VII. SAFETY: ACCIDENT PREVENTION 2

72 This provision is applicable to all Federal-aid construction contracts and to all related subcontracts. 1. In the performance of this contract the contractor shall comply with all applicable Federal, State, and local laws governing safety, health, and sanitation (23 CFR 635). The contractor shall provide all safeguards, safety devices and protective equipment and take any other needed actions as it determines, or as the contracting officer may determine, to be reasonably necessary to protect the life and health of employees on the job and the safety of the public and to protect property in connection with the performance of the work covered by the contract. 2. It is a condition of this contract, and shall be made a condition of each subcontract, which the contractor enters into pursuant to this contract, that the contractor and any subcontractor shall not permit any employee, in performance of the contract, to work in surroundings or under conditions which are unsanitary, hazardous or dangerous to his/her health or safety, as determined under construction safety and health standards (29 CFR 1926) promulgated by the Secretary of Labor, in accordance with Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 3704). 3. Pursuant to 29 CFR , it is a condition of this contract that the Secretary of Labor or authorized representative thereof, shall have right of entry to any site of contract performance to inspect or investigate the matter of compliance with the construction safety and health standards and to carry out the duties of the Secretary under Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C.3704). VIII. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS This provision is applicable to all Federal-aid construction contracts and to all related subcontracts. In order to assure high quality and durable construction in conformity with approved plans and specifications and a high degree of reliability on statements and representations made by engineers, contractors, suppliers, and workers on Federal-aid highway projects, it is essential that all persons concerned with the project perform their functions as carefully, thoroughly, and honestly as possible. Willful falsification, distortion, or misrepresentation with respect to any facts related to the project is a violation of Federal law. To prevent any misunderstanding regarding the seriousness of these and similar acts, Form FHWA-1022 shall be posted on each Federal-aid highway project (23 CFR 635) in one or more places where it is readily available to all persons concerned with the project: 18 U.S.C reads as follows: "Whoever, being an officer, agent, or employee of the United States, or of any State or Territory, or whoever, whether a person, association, firm, or corporation, knowingly makes any false statement, false representation, or false report as to the character, quality, quantity, or cost of the material used or to be used, or the quantity or quality of the work performed or to be performed, or the cost thereof in connection with the submission of plans, maps, specifications, contracts, or 2

73 costs of construction on any highway or related project submitted for approval to the Secretary of Transportation; or Whoever knowingly makes any false statement, false representation, false report or false claim with respect to the character, quality, quantity, or cost of any work performed or to be performed, or materials furnished or to be furnished, in connection with the construction of any highway or related project approved by the Secretary of Transportation; or Whoever knowingly makes any false statement or false representation as to material fact in any statement, certificate, or report submitted pursuant to provisions of the Federal-aid Roads Act approved July 1, 1916, (39 Stat. 355), as amended and supplemented; Shall be fined under this title or imprisoned not more than 5 years or both." IX. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT This provision is applicable to all Federal-aid construction contracts and to all related subcontracts. By submission of this bid/proposal or the execution of this contract, or subcontract, as appropriate, the bidder, proposer, Federal-aid construction contractor, or subcontractor, as appropriate, will be deemed to have stipulated as follows: 1. That any person who is or will be utilized in the performance of this contract is not prohibited from receiving an award due to a violation of Section 508 of the Clean Water Act or Section 306 of the Clean Air Act. 2. That the contractor agrees to include or cause to be included the requirements of paragraph (1) of this Section X in every subcontract, and further agrees to take such action as the contracting agency may direct as a means of enforcing such requirements. X. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION This provision is applicable to all Federal-aid construction contracts, design-build contracts, subcontracts, lower-tier subcontracts, purchase orders, lease agreements, consultant contracts or any other covered transaction requiring FHWA approval or that is estimated to cost $25,000 or more as defined in 2 CFR Parts 180 and Instructions for Certification First Tier Participants: a. By signing and submitting this proposal, the prospective first tier participant is providing the certification set out below. 2

74 b. The inability of a person to provide the certification set out below will not necessarily result in denial of participation in this covered transaction. The prospective first tier participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the prospective first tier participant to furnish a certification or an explanation shall disqualify such a person from participation in this transaction. c. The certification in this clause is a material representation of fact upon which reliance was placed when the contracting agency determined to enter into this transaction. If it is later determined that the prospective participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the contracting agency may terminate this transaction for cause of default. d. The prospective first tier participant shall provide immediate written notice to the contracting agency to whom this proposal is submitted if any time the prospective first tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. e. The terms "covered transaction," "debarred," "suspended," "ineligible," "participant," "person," "principal," and "voluntarily excluded," as used in this clause, are defined in 2 CFR Parts 180 and First Tier Covered Transactions refers to any covered transaction between a grantee or subgrantee of Federal funds and a participant (such as the prime or general contract). Lower Tier Covered Transactions refers to any covered transaction under a First Tier Covered Transaction (such as subcontracts). First Tier Participant refers to the participant who has entered into a covered transaction with a grantee or subgrantee of Federal funds (such as the prime or general contractor). Lower Tier Participant refers any participant who has entered into a covered transaction with a First Tier Participant or other Lower Tier Participants (such as subcontractors and suppliers). f. The prospective first tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction. g. The prospective first tier participant further agrees by submitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transactions," provided by the department or contracting agency, entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions exceeding the $25,000 threshold. h. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or 2

75 voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant is responsible for ensuring that its principals are not suspended, debarred, or otherwise ineligible to participate in covered transactions. To verify the eligibility of its principals, as well as the eligibility of any lower tier prospective participants, each participant may, but is not required to, check the Excluded Parties List System website ( which is compiled by the General Services Administration. i. Nothing contained in the foregoing shall be construed to require the establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of the prospective participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. j. Except for transactions authorized under paragraph (f) of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. * * * * * 2. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion First Tier Participants: a. The prospective first tier participant certifies to the best of its knowledge and belief, that it and its principals: (1) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participating in covered transactions by any Federal department or agency; (2) Have not within a three-year period preceding this proposal been convicted of or had a civil 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) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (3) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph (a)(2) of this certification; and (4) Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State or local) terminated for cause or default. 2

76 b. Where the prospective participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. 2. Instructions for Certification - Lower Tier Participants: (Applicable to all subcontracts, purchase orders and other lower tier transactions requiring prior FHWA approval or estimated to cost $25,000 or more - 2 CFR Parts 180 and 1200) a. By signing and submitting this proposal, the prospective lower tier is providing the certification set out below. b. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department, or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. c. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous by reason of changed circumstances. d. The terms "covered transaction," "debarred," "suspended," "ineligible," "participant," "person," "principal," and "voluntarily excluded," as used in this clause, are defined in 2 CFR Parts 180 and You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. First Tier Covered Transactions refers to any covered transaction between a grantee or subgrantee of Federal funds and a participant (such as the prime or general contract). Lower Tier Covered Transactions refers to any covered transaction under a First Tier Covered Transaction (such as subcontracts). First Tier Participant refers to the participant who has entered into a covered transaction with a grantee or subgrantee of Federal funds (such as the prime or general contractor). Lower Tier Participant refers any participant who has entered into a covered transaction with a First Tier Participant or other Lower Tier Participants (such as subcontractors and suppliers). e. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. f. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions exceeding the $25,000 threshold. 2

77 g. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant is responsible for ensuring that its principals are not suspended, debarred, or otherwise ineligible to participate in covered transactions. To verify the eligibility of its principals, as well as the eligibility of any lower tier prospective participants, each participant may, but is not required to, check the Excluded Parties List System website ( which is compiled by the General Services Administration. h. 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 this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. i. Except for transactions authorized under paragraph e of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. * * * * * Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-- Lower Tier Participants: 1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participating in covered transactions by any Federal department or agency. 2. Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. * * * * * XI. CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING This provision is applicable to all Federal-aid construction contracts and to all related subcontracts which exceed $100,000 (49 CFR 20). 1. The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: 2

78 a. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. b. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. 2. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. 3. The prospective participant also agrees by submitting its bid or proposal that the participant shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such recipients shall certify and disclose accordingly. EMPLOYMENT AND MATERIALS PREFERENCE FOR APPALACHIAN DEVELOPMENT HIGHWAY SYSTEM OR APPALACHIAN LOCAL ACCESS ROAD CONTRACTS This provision is applicable to all Federal-aid projects funded under the Appalachian Regional Development Act of During the performance of this contract, the contractor undertaking to do work which is, or reasonably may be, done as on-site work, shall give preference to qualified persons who regularly reside in the labor area as designated by the DOL wherein the contract work is situated, or the subregion, or the Appalachian counties of the State wherein the contract work is situated, except: a. To the extent that qualified persons regularly residing in the area are not available. b. For the reasonable needs of the contractor to employ supervisory or specially experienced personnel necessary to assure an efficient execution of the contract work. c. For the obligation of the contractor to offer employment to present or former employees as the result of a lawful collective bargaining contract, provided that the number of nonresident persons employed under this subparagraph (1c) shall not exceed 20 percent of the total number 2

79 of employees employed by the contractor on the contract work, except as provided in subparagraph (4) below. 2. The contractor shall place a job order with the State Employment Service indicating (a) the classifications of the laborers, mechanics and other employees required to perform the contract work, (b) the number of employees required in each classification, (c) the date on which the participant estimates such employees will be required, and (d) any other pertinent information required by the State Employment Service to complete the job order form. The job order may be placed with the State Employment Service in writing or by telephone. If during the course of the contract work, the information submitted by the contractor in the original job order is substantially modified, the participant shall promptly notify the State Employment Service. 3. The contractor shall give full consideration to all qualified job applicants referred to him by the State Employment Service. The contractor is not required to grant employment to any job applicants who, in his opinion, are not qualified to perform the classification of work required. 4. If, within one week following the placing of a job order by the contractor with the State Employment Service, the State Employment Service is unable to refer any qualified job applicants to the contractor, or less than the number requested, the State Employment Service will forward a certificate to the contractor indicating the unavailability of applicants. Such certificate shall be made a part of the contractor's permanent project records. Upon receipt of this certificate, the contractor may employ persons who do not normally reside in the labor area to fill positions covered by the certificate, notwithstanding the provisions of subparagraph (1c) above. 5. The provisions of 23 CFR (e) allow the contracting agency to provide a contractual preference for the use of mineral resource materials native to the Appalachian region. 6. The contractor shall include the provisions of Sections 1 through 4 of this Attachment A in every subcontract for work which is, or reasonably may be, done as on-site work. 2

80 EXHIBIT C PROPOSAL FORMS 1. Bidder s Affidavit 2. Form KT-4 Reference Form 3. Addenda Acknowledgment Form 2

81 NON-COLLUSION KITSAP TRANSIT REQUEST FOR PROPOSAL KT # BIDDER S AFFIDAVIT The Bidder affirms that, in connection with this Bid, the prices or cost data have been arrived at independently, without consultation, communication, or agreement for the purpose of restricting competition and that the proposal herewith submitted is a genuine and not a sham or collusive Bid, or made in the interest or on behalf of any person not therein named; and further says that the said Bidder has not directly, or indirectly, induced or solicited any Bidder on the above Work or supplies to put a sham Proposal, or any other person or corporation to refrain from Bidding; and that said Bidder has not in any manner sought by collusion to secure to himself/herself an advantage over any other Bidders. CONFLICTS OF INTEREST & ANTI-KICKBACKS In regards to any performance of the Work or the provision of services or materials under the Contract resulting from this solicitation the Bidder affirms that: 1. It has no direct or indirect pecuniary or proprietary interest, and that it shall not acquire any such interest, which conflicts in any manner or degree with the services required to be performed under this Contract and that it shall not employ any person or agent having such interest. In the event that the Bidder, as Contractor, or its agents, employees or representatives hereafter acquires such a conflict of interest, it shall immediately disclose such interest to Kitsap Transit and take immediate action to eliminate the conflict or to withdraw from said Contract as Kitsap Transit may require. 2. No officer, employee, Board member, agent of Kitsap Transit, or family member of same shall have or acquire any personal interest in this submittal, or have solicited, accepted or granted a present or future gift, favor, service, or other thing of value from or to any person involved in this submittal and that no such gratuities were offered or given by the Bidder or any of its agents, employees or representatives, to any official, member or employee of Kitsap Transit or other governmental agency with a view toward securing a Contract or securing favorable treatment with respect to the awarding or amending, or the making of any determination with respect to the Award or performance of this Contract. CONTINGENT FEES AND GRATUITIES The Bidder affirms that in connection with this Bid: 1. No person or selling agency, except bona fide employees or designated agents or representatives of the Bidder, has been employed or retained to solicit or secure this Contract with an agreement or understanding that a commission, percentage, brokerage, or contingent fee would be paid. 2. No gratuities, in the form of entertainment, gifts or otherwise, were offered or given by the Contractor or any of its agents, employees or representatives, to any official, member or employee of Kitsap Transit or other governmental agency with a view toward securing this Contract or securing favorable treatment with respect to the awarding or amending, or the making of any determination with respect to the performance of this Contract. SEGREGATED FACILITIES The Bidder certifies that their company does not and will not maintain or provide for their employees any segregated facilities at any of their establishments, and that they do not and will not permit their employees to perform their services at any location under its control where segregated facilities are maintained. The Bidder agrees that a breach of this certification will be a violation of the Equal Opportunity or Civil Rights clause in any Contract resulting from acceptance of this Bid. As used in this 2

82 Certification, the term segregated facilities means any waiting rooms, Work areas, restrooms and washrooms, restaurants and other eating areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated by explicit directive or are in fact segregated on the basis of race, color, religion or national origin because of habit, local custom, or otherwise. DEBARMENT AND SUSPENSION The Bidder certifies to the best of its knowledge and belief that it and its principals: 5. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; 6. Have not within a three (3) year period preceding this Bid been convicted of, or had a civil 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) transaction or Contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements or receiving stolen property; 7. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in Paragraph 2 above; and 8. Have not within a three (3) year period preceding this Bid had one or more public transactions (Federal, State or local) terminated for cause or default. If Bidder is unable to certify to any of the statements in this certification, the Bidder shall attach an explanation to this Section. Note: The penalty for making false statements in offers is described in 18 U.S.C THE BIDDER CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS SUBMITTED ON OR WITH THIS CERTIFICATION AND UNDERSTANDS THAT THE PROVISIONS OF 31 USC SECTIONS 3802, ET SEQ., ARE APPLICABLE THERETO. Authorized Signature Date Printed Name & Title Company Name Subscribed and sworn to before me this day of, Notary Public in and for the State of, residing in Signature: **THIS FORM MUST BE NOTARIZED AND SUBMITTED WITH YOUR BID** 2

83 Kitsap Transit Bow Loading Passenger Only Ferry Vessel Design Build RFP KT REFERENCE FORM After completing this cover sheet, send this sheet with the attached form to your references. Your reference should then complete the attached form and mail the completed form and this cover sheet to Kitsap Transit using the address provided below. Pursuant to the Instructions to Offerers, reference sheets should be sent to five organizations for the Offerer as well as each Major Participant, Offerers shall submit, with their Technical Proposals, a copy of the first page of all reference forms sent on behalf of Offerer and all of its Major Participants. Prospective Design Build Contractor or Major Participant completes this section: Prospective Design Build Contractor or Major Participant: Owner/Major Participant Reference Information Organization: Point of Contact Name: Street Address: City, State, Zip: Position: Phone: (_ ) _ - _ Fax: ( _) - Project Information Project Name: Project Location: Dates: to Project Scope & Value: I hereby authorize the above named reference to answer the following questions and to release any pertinent information relative to our performance on the referenced project. Furthermore, I hereby release such reference from any and all liability of any type for providing this information. Prospective Design Build Contractor or Major Participant Authorized Representative s Signature PRINT Name (First & Last) Date Reference The above named contractor has listed your company as one its past clients. We would appreciate it if you would answer the questions on the attached sheet with reference to its work for you. Please note that this applicant has authorized you and your company to provide this information to us, and releasing you and your company from any and all liability of any type as a result of providing this information. 2

84 Please mail the completed form and cover sheet to: Patrick Rogers Purchasing Coordinator Kitsap Transit 60 Washington Ave Suite 200 Bremerton WA Reference for Prospective Passenger Vessel Ship Builder or Major Participant: (Printed name of Prospective Design-Build Contractor or Major Participant for which reference is provided) Are the Project Name, Scope and Dates provided on the cover sheet accurate? D Yes D No If not, please provide the correct information: Project Name: Project Scope & Value: Approximate dates of the contractor s performance: Would you want to use this contractor again if given the opportunity? D Yes D No Please circle the appropriate completion to the following: to On the provided 1 to 10 scale, this contractor s Was Completely Unsatisfactory Met Expectations Far Exceeded Expectations Overall performance Ability to meet schedule requirements Ability to meet cost requirements Attitude toward safety Communication of progress Communication of problems and issues Collaboration to resolve change orders, claims issues and other problems Attitude toward public and regulatory agency concerns and questions Performance during Project close out Management of Subcontractors Ability to prevent impacts on adjacent areas Technical competence Additional comments: Reference Form Completed By: (Print Name) Contact Phone Number Date 2