ADDENDUM NO. 01 INVITATION TO BID NO CON(A) BUS SHELTER PAD CONSTRUCTION AND INSTALLATION PHASE V(A)

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1 600 S. Grand Central Parkway, Suite 350 Las Vegas, Nevada Fax: Tina Quigley, General Manager October 29, 2015 ADDENDUM NO. 01 INVITATION TO BID NO CON(A) BUS SHELTER PAD CONSTRUCTION AND INSTALLATION PHASE V(A) The Regional Transportation Commission of Southern Nevada (RTC) herewith issues this Addendum No. 01to the above-referenced project. Except as modified herein, all other addenda, terms and conditions shall remain in effect. INVITATION TO BID SUBMISSION DEADLINE 1. The Invitation to Bid submission deadline remains Wednesday, November 4, 2015 at 2:00 p.m. ATTACHMENT 2-A BID SCHEDULE 2. Please delete Attachment 2-A Bid Schedule issued on October 6, 2015 in its entirety and replace with the attached Attachment 2-A Bid Schedule document dated October 29, EXHIBIT D FEDERAL CONDITIONS 3. Please delete issued on October 6, 2015 in its entirety and replace with the document dated October 29, Sincerely, *** CHARLES CHEATHAM Manager, Purchasing and Contracts Attachments: Attachment 2-A Bid Schedule_Addendum No. 01_Dated 2015_10_29 Exhibit D Fed Conditions_Addendum No. 01_Dated 2015_10_29 Addendum No. 01 Issued on October 29, 2015

2 ATTACHMENT 2-A - BID SCHEDULE Bid No CON (A) Attachment 2-A Bid Schedule BIDDER: THE BIDDER SHALL INDICATE AN AMOUNT WHICH IS INCLUDED IN THE BASE BID FOR EACH OF THE ITEMS BELOW. BIDDER(S) AGREE TO PROVIDE, UPON REQUEST, ADDITIONAL INFORMATION WHICH MAY INCLUDE BUT NOT BE LIMITED TO: DETAILED BREAKDOWN OF AMOUNTS, MANUFACTURER S PRODUCTS, LITERATURE, EQUIPMENT MODEL NUMBERS, OR OTHER INFORMATION. ALL COSTS ATTRIBUTABLE TO PROFIT, OVERHEAD, AND ALL OTHER INCIDENTAL ITEMS SHALL BE EVENLY DISTRIBUTED ACROSS ALL LINE ITEMS IN THE SCHEDULE OF VALUES. Line Item Line Item Description Unit Qty. Line Item Unit Price Item Total 1.0 Permits and Fees Allowance LS 1 $ 50, $ 50, Owner Special Allowance LS 1 $ 45, $ 45, Mobilization LS 1 $ $ 1.4 Traffic Control LS 1 $ $ 2.0 Site Excavation and Removals CY 700 $ $ Reinforced Concrete Bus Pad (Per 2015 Updates and Std. Dwgs.) SF 18,750 $ $ 4.0 Concrete Retaining Wall Integral to Pad (6 min up to 24 max) LF 4,550 $ $ 5.0 Concrete Retaining Wall (2 ft. min. up to 4 ft. max) LF 700 $ $ 6.0 Concrete Sidewalk (4-inch) (Per 234 Std. Dwgs.) SF 1,000 $ $ 7.0 Bollards EA 160 $ $ 8.0 Landscaping and Irrigation Restoration LS 1 $ $ 9.0 Shelter Structure Installation EA 150 $ $ TOTAL BID AMOUNT $ $ Total Bid Amount Price (Written) Name of Bidder Signature Date Name Typed or Printed

3 EXHIBIT D - FEDERAL CONDITIONS REGIONAL TRANSPORTATION COMMISSION OF SOUTHERN NEVADA 1. FEDERAL CONDITIONS FEDERAL CONDITIONS - GENERAL It is a requirement of the Federal Government that activities financed, in part, with Federal funds and performed by a third party contractor and its subcontractors on behalf of a Federal grantee must be carried out in accordance with Federal requirements. Activities performed resulting from the original contract to this and any other prior or subsequent contract amendments thereto are financed, in part, by a grant from the United States Department of Transportation (DOT), either the Federal Transit Administration (FTA) or the Federal Highway Administration (FHWA), and are therefore subject to the applicable grant terms, conditions, and regulations. Accordingly, any contractor and its subcontractors performing activities under this contract must adhere to the Federal regulations stated herein as a condition of satisfactory performance. All subcontracts and subcontractors employed as a result of this contract are subject to the same conditions and regulations as set forth herein unless specifically exempted. The prime contractor shall ensure that its subcontractors at all tiers are made aware of and comply with these Federal regulations. The prime contractor will be held liable for compliance failures by its subcontractors. Failure to comply will render the prime contractor responsible for damages and/or contract termination. NOTE to distributors, dealers, and manufacturer representatives responding to this solicitationin lieu of the manufacturer they represent: Certifications contained herein shall be separately prepared and signed by the BIDDER and the MANUFACTURER. One set of certifications must be prepared and signed by the bidder, and one set of certifications must be prepared and signed by the manufacturer the bidder represents. It is the bidders responsibility to obtain the prepared and signed certifications from the manufacturer and include them in the bid/proposal. Bids/proposals failing to include both sets of prepared and signed certifications will be rejected as being non-responsive. 2. FALSE OR FRAUDULENT STATEMENTS & CLAIMS By executing any contract resulting from this solicitation, the contractor acknowledges that if it makes a false, fictitious, or fraudulent claim, statement, submission, or certification, the Page 1

4 Federal Government reserves the right to impose penalties under the Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C ET SEQ., U.S. DOT regulations, and 49 C.F.R. Part RIGHTS IN DATA & COPYRIGHTS The contractor selected as a result of this solicitation agrees that, as applicable, the use of any data produced or delivered under the terms of said contract, including, but not limited to, engineering drawings and associated lists, specifications, process sheets, and technical reports, shall be governed by provisions of 49 C.F.R In addition, the contractor agrees that it will not publish such data without the written consent of the RTC, and, if appropriate, the Federal Government. 4. NO FEDERAL GOVERNMENT OBLIGATIONS Although any contract resulting from this solicitation shall be funded with Federal grant funds, absent the Federal Government's express written consent, the Federal Government shall not be subject to any obligations or liabilities to the contractor, or any other person other than the RTC in connection with the performance of the contract. Notwithstanding any concurrence that may be provided by the Federal Government in or approval of any solicitation or contract, the Federal Government has no obligations or liabilities to any party, including the contractor. 5. AUDIT & INSPECTION OF RECORDS The contractor selected as a result of this solicitation agrees that the RTC, the Comptroller General of the United States, and the Secretary of Transportation, or any of their duly authorized representatives, shall, for the purpose of audit and examination, be permitted to inspect all work, materials, payrolls, and other data and records, and to audit the books, records, and accounts relating to the performance of the contract. Further, said contractor agrees to maintain all required records for at least three (3) years after the RTC has made final payment and all other pending matters are closed. 6. FEDERAL CHANGES This project is funded in part by a grant from the Federal Transit Administration (FTA) or the Federal Highway Administration (FHWA). Federal laws, regulations, policies, and related administrative practices are applicable to the project on the date the grant was authorized by the FTA or the FHWA and may be modified from time to time. The Contractor is hereby instructed that the most recent of such Federal requirements will govern the administration of the project at any particular time, except if the FTA or the FHWA issues a written determination otherwise. Federal requirements applicable to this project may change and the changed requirements will apply to the project as required, unless the Federal Government determines otherwise. 7. PATENT RIGHTS Page 2

5 Page 3 If any invention, improvement, or discovery of the RTC or any contractor or subcontractor is conceived or first actually reduced to practice in the course of or under this Contract or Agreement, and that invention, improvement, or discovery is patentable under the laws of the United States of America or any foreign country, the RTC and the contractor or any subcontractor shall notify the FTA or the FHWA immediately and provide a detailed report. The rights and responsibilities of the RTC, the contractor or subcontractor of any tier, and the Government with respect to such invention, improvement, or discovery will be determined in accordance with applicable Federal laws, regulations, policies, and any waiver thereof. 8. NOTIFICATION OF FEDERAL PARTICIPATION In any announcement of any third party contract involving Federal grant funds for goods or services (including construction services) having an aggregate value of $500,000 or more, the RTC will specify the amount of Federal assistance to be used in financing that acquisition of goods and services and to express the amount of that Federal assistance as a percentage of the total cost of that third party contract. 9. TERMINATION FOR CONVENIENCE The RTC may terminate this contract, in whole or in part, at any time by written notice to the Contractor when it is in the Governments best interest. The Contractor shall be paid its costs, including contract close-out costs, and profit on work performed up to the time of termination. The Contractor shall promptly submit its termination claim to the RTC to be paid the Contractor. If the Contractor has any property in its possession belonging to the RTC, the Contractor will account for the same, and dispose of it in the manner the RTC directs. 10. TERMINATION FOR DEFAULT If the Contractor does not deliver supplies in accordance with the contract delivery schedule, or, if the contract is for services, the Contractor fails to perform in the manner called for in the contract, of if the Contractor fails to comply with any other provisions of the contract, the RTC may terminate this contract for default. Termination shall be effected by serving a notice of termination on the contractor setting forth the manner in which the Contractor is in default. The contractor will only be paid the contract price for supplies delivered and accepted, or services performed in accordance with this contract. If, after termination for failure to fulfill contract obligations, it is determined that the Contractor was not in default, the rights and obligations of the parties shall be the same as if the termination had been issued for the convenience of the RTC. 11. PROTEST PROCEDURES a. REGIONAL TRANSPORTATION COMMISSION PROTEST PROCEDURES Procurement protest procedures of the Regional Transportation Commission are published elsewhere in this solicitation. These are the procedures to follow regarding a

6 protest to this procurement solicitation. b. FEDERAL TRANSIT ADMINISTRATION PROTEST PROCEDURES The Federal Transit Administration (FTA) may entertain a protest only if the protest alleges that the RTC failed to have or follow written protest procedures. Such a protest must be filed, in accordance with FTA Circular F, as updated, with the FTA not later than five (5) working days after the RTC renders a final protest decision, or five (5) working days after the protestor knows or has reason to know that the RTC has failed to render a final decision. Under the following conditions, RTC may proceed with the procurement in spite of a pending protest: (1) The items described to be procured are urgently required; (2) Delivery or performance will be unduly delayed by failure to make the award promptly; or, (3) Failure to make prompt award will otherwise cause undue harm to the RTC or the Federal Government. In addition to, or as an alternative to, a protest to the FTA, a protestor adversely affected by a protest decision by the RTC Commissioners may also appeal such decision to the Eight Judicial District Court of Nevada. 12. THIRD PARTY CONTRACT DISPUTES OR BREACHES The federal government has a vested interest in the settlement of any dispute, default, or breach involving any federally-assisted third party contract. Therefore the RTC shall pursue all legal rights available under any third party contract involving FTA or FHWA funds. The federal government reserves the right to concur in any compromise or settlement of any claim by the RTC involving any third party contract. Accordingly, the RTC shall notify the federal government of any current or prospective major disputes, breach, or litigation pertaining to any contract resulting from this solicitation. Prior to seeking to name the federal government as a party to any type of litigation for any reason involving said contract, RTC will first inform the federal government before doing so. 13. EMPLOYEE PROTECTIONS The requirements of the clauses in 29 C.F.R. Section 5.5(b) or the immediately following subsections (a-e) of this Invitation for Bid are applicable to any contract resulting from this solicitation subject to the overtime provisions of the Contract Work Hours and Safety Standards Act and not to any of the other statutes cited in 29 C.F.R. Section 5.1. The records to be maintained shall be made available by the Contractor and subcontractors for inspection, copying, or transcription by authorized representatives of the FTA, the U.S. DOT, or the Department Labor, and the Contractor and subcontractors will permit such representatives to interview employees during working hours on the job. a. Overtime Requirements Page 4

7 Page 5 No Contractor or subcontractors 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 work week in which he or she is employed on such work to work in excess of forty hours in such work week unless such laborer or mechanic receives compensation at a rate not less than one and onehalf times the basic rate of pay for all hours worked in excess of forty hours in such work week. b. Violation; Liability for Unpaid Wages; Liquidated Damages In the event of any violation of the requirements of 29 C.F.R. Section 5.5(b) (1), the Contractor and any subcontractors responsible therefore shall be liable for the unpaid wages. In addition, such contractor and subcontractors 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 29 C.F.R. Section 5.5(b) (1) in the sum of $10.00 for each calendar day on which such individual was required or permitted to work in excess of the standard work week of forty hours without payment of the overtime wages required by 29 C.F.R. Section 5.5(b) (1). c. Withholding of Unpaid Wages and Liquidated Damages The RTC 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 any subcontractors 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 subcontractors for unpaid wages and liquidated damages as provided in the clause set forth at 29 C.F.R. Section 5.5(b)(2). d. Subcontracts The Contractor and subcontractors shall insert in any subcontracts the clauses set forth in the "Employee Protections" section of this Contract or Agreement 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 subcontractors or lower tier subcontractor with the clauses set forth in the "Employee Protections" section of this Contract or Agreement. e. Payroll and basic records Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work and preserve for a period of three years thereafter for all labors and mechanics working at the site of the work (or under the United States Housing Act of 1937, or under the Housing Act of 1949, in the construction or development of the

8 Page 6 project.) 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 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 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. 14. EQUAL EMPLOYMENT OPPORTUNITY The contractor selected as a result of this solicitation agrees and assures the compliance of each third party contractor and subcontractor at any tier of the project, with all Equal Employment Opportunity (EEO) requirements of Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000e, and 49 U.S.C and any implementing requirements FTA may issue. The contractor selected agrees that it will not discriminate against any employee or applicant for employment because of race, color, creed, sex, disability, age, or national origin. The contractor agrees to take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, color, creed, sex, disability, age, or national origin. Such action shall include, but not be limited to, the following: 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. The contractor shall insert the foregoing provision in all subcontracts, except subcontracts for standard commercial supplies, raw materials, or construction. 15. ACCESS REQUIREMENTS FOR INDIVIDUALS WITH DISABILITIES The contractor selected as a result of this solicitation shall comply with all applicable requirements of the Americans with Disabilities Act of 1990 (ADA), as amended, 42 U.S.C et seq; Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. Section 794; 49 U.S.C. Section 5301(d); and the following regulations and any amendments thereto: a. U.S. DOT regulations, "Transportation Services for Individuals with Disabilities

9 (ADA)," 49 C.F.R. Part 37; b. U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or Benefiting from Federal Financial Assistance," 49 C.F.R. Part 27; c. U.S. DOT regulations, "Americans with Disabilities (ADA) Accessibility Specifications for Transportation Vehicles," 49 C.F.R. Part 38 and 36 C.F.R. Part 1192; d. Department of Justice (DOJ) regulations, "Nondiscrimination on the Basis of Disability in State and Local Government Services," 28 C.F.R. Part 35; e. DOJ regulations, "Nondiscrimination on the Basis of Disability by Public Accommodations and in Commercial Facilities," 28 C.F.R. Part 36; f. U.S. General; Services Administration (GSA) regulations, "Accommodations for the Physically Handicapped," 41 C.F.R. Subpart ; g. U.S. Equal Employment Opportunity Commission, "Regulations to Implement the Equal Employment Provisions of the Americans with Disabilities Act," 29 C.F.R. Part 1630; h. U.S. Federal Communications Commission regulations, "Telecommunications Relay Services and Related Customer Premises Equipment for the Hearing and Speech Disabled," 47 C.F.R. Part 64, Subpart F; and i. FTA regulations, "Transportation for Elderly and Handicapped Persons," 49 C.F.R. Part 609 j. U.S. ATBCB regulations, Electronic and Information Technology Accessibility Standards, 36 C.F.R. Part 1194; and k. Any implementing requirements FTA may issue 16. TITLE VI OF THE CIVIL RIGHTS ACT OF 1964 The Contractor selected as a result of this solicitation shall comply, and assure the compliance by its subcontractors under this project, with all requirements of Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. Section 2000d et seq., and U.S. DOT regulations, "Nondiscrimination in Federally-Assisted Programs of the Department of Transportation -- Effectuation of Title VI of the Civil Rights Act," 49 C.F.R. Part 21, and any implementing requirements FTA may issue. 17. SMALL BUSINESS ENTERPRISE PROGRAM A. INSTRUCTIONS TO BIDDERS Page 7

10 Page 8 1. General - The Regional Transportation Commission of Southern Nevada (RTC), recipient of federal financial assistance from the Federal Transit Administration (FTA) and the Federal Highway Administration (FHWA), is committed to and has adopted a Disadvantaged Business Enterprise (SBE) Program in accordance with 49 C.F.R. Part 26, issued by the U.S. Department of Transportation (DOT). It is the policy of the RTC to ensure nondiscrimination in the award and administration of U.S. DOT-assisted contracts and to create a level playing field on which Disadvantaged Business Enterprises (SBEs) can compete fairly for contracts and subcontracts relating to the RTC s construction, services, supplies, equipment and professional service/consultant activities. To this end, the RTC has developed procedures to remove barriers to SBE participation in the bidding and award process and to assist SBEs to develop and compete successfully outside of the SBE program. In connection with the performance of this contract, the Contractor will cooperate with the RTC in meeting these commitments and objectives. 2. SBE Goal - For a bid/proposal to be determined responsive, a bidder/proposer must demonstrate that it can meet the percentage indicated in the Special Provisions: SBE Participation Goal in the performance of this contract, or if it cannot, that it performed sufficient good faith efforts to meet this goal. A bidder/proposer who is not responsive shall be ineligible for award of contract. The SBE goal remains in effect throughout the term of the contract. 3. Eligibility of SBEs - In order to insure that firms participating as SBEs on Federally funded contracts are owned and controlled by socially and economically disadvantaged individuals, RTC requires firms to be certified by the l) Nevada Unified Certification Program (NUCP), and 2) any out-of-state U.S. DOT recipients or UCPs where interstate agreements are entered into by the Nevada UCP. The NUCP must utilize certification procedures in compliance with Department of Transportation guidelines. Only those SBE firms certified by this agency are eligible to be counted towards SBE goals in this contract. The RTC requires that any SBEs listed by bidders or proposers for participation in the contract be certified as eligible SBEs as of the time of bid opening/proposal closing date. The RTC is available to assist potential contractors in ascertaining their SBE status. 4. Verification Regarding SBEs Form a. Assurance- All bidders/proposers shall certify in their bid/proposal on the Verification Regarding SBEs form their intent to meet or exceed the established goal or demonstrate good faith efforts to meet the goal.

11 b. Certificate Copies - Bidders/proposers are also required to submit detailed information regarding intended participation by SBEs firms on the Verification Regarding SBEs form. If the bidder/proposer is a certified SBE, a copy of their SBE certification or if the bidder/proposer is subcontracting with certified SBEs, a copy of their SBE certification(s) must be included. 5. Good Faith Efforts- When the SBE goal cannot be met, the bidder/proposer must document and submit justification stating why the goal could not be met and demonstrating good faith efforts taken to meet the SBE goal in their bid/proposal. Such good faith efforts shall be in compliance with 49 C.F.R. Part 26, Appendix A. (available upon request). Failure to document on the Verification Form 1) certified SBEs which meet or exceed the targeted goal, if any, or 2) failure to document good faith efforts, will render a bid/proposal non-responsive. 6. Counting SBE Participation Towards SBE Goals - SBE participation shall be counted toward meeting the SBE goal in accordance with 49 C.F.R. Part 26, Section (available upon request). 7. Definitions - Disadvantaged Business Enterprise or SBE means a forprofit small business concerns: a. That is at least 51 percent owned by one or more individuals who are both socially and economically disadvantaged or, in the case of a corporation, in which 51 percent of the stock is owned by one or more such individuals; and b. Whose management and daily business operations are controlled by one or more of the socially and economically disadvantaged individuals who own it. Small business concern means, with respect to firms seeking to participate as DBEs in DOT-assisted contracts, a small business concern as defined pursuant to Section 3 of the Small Business Act and Small Business Administration regulations implementing it (13 C.F.R. part 121) that also does not exceed the cap on average annual gross receipts specified in 49 C.F.R., Section 26.65(b). Socially and economically disadvantaged individual means any individual who is a citizen (or lawfully admitted permanent resident) of the United States and who is 1) Any individual who a recipient finds to be a socially and economically disadvantaged individual on a case-by-case Page 9

12 basis. 2) Any individual in the following groups, members of which are rebuttably presumed to be socially and economically disadvantaged: 3) Black Americans," which includes persons having origins in any of the Black racial groups of Africa; 4) "Hispanic Americans," which includes persons of Mexican, Puerto Rican, Cuban, Dominican, Central or South American, or other Spanish or Portuguese culture or origin, regardless of race; 5) "Native Americans," which includes persons who are American Indians, Eskimos, Aleuts, or Native Hawaiians; 6) Asian-Pacific Americans," which includes persons whose origins are from Japan, China, Taiwan, Korea, Burma (Myanmar), Vietnam, Laos, Cambodia (Kampuchea), Thailand, Malaysia, Indonesia, the Philippines, Brunei, Samoa, Guam, the U.S. Trust Territories of the Pacific Islands (Republic of Palau), the Commonwealth of the Northern Marianas Islands, Macao, Fiji, Tonga, Kiribati, Juvalu, Nauru, Federated States of Micronesia, or Hong Kong; 7) Subcontinent Asian Americans," which includes persons whose origins are from India, Pakistan, Bangladesh, Bhutan, the Maldives Islands, Nepal or Sri Lanka; 8) Women; 9) Any additional groups whose members are designated as socially and economically disadvantaged by the SBA, at such time as the SBA designation becomes effective. B. CONTRACT PROVISIONS Special Provisions: SBE Participation Goal The RTC has established a mandatory SBE goal of 5.6% of the contract amount for the utilization of firms owned and controlled by socially and economically disadvantaged persons. This goal remains in effect throughout the term of the contract and participation will be monitored. Page 10

13 General Provisions: 1. SBE Obligation - Pursuant to 49 C.F.R. Part 26.13, the Contractor is required to make the following assurance in its agreement with the RTC and to include this assurance in any agreements it makes with subcontractors in the performance of this contract: 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 C.F.R. Part 26 in the award and administration of U.S. DOT-assisted contracts. Additionally, all of the requirements described in the RTCs Disadvantaged Business Enterprise Program, (available upon request) shall be met. A contract that has a specific SBE participation goal is included in the Special Provisions above. 2. Compliance- Failure by the Contractor or Subcontractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy, as the RTC deems appropriate (see section f.) 3. Inclusion of SBE Requirements- The Special Provisions and General Provisions must be included in every subcontract, so that such provisions shall be binding upon each subcontractor, regular dealer, manufacturer, consultant, or service agency. 4. Replacement/Substitutions of SBEs a. The Contractor is required to have a valid arrangement with the SBE(s) designated to fulfill the contract goal. SBE participants have been identified in the Contractor's bid documents. b. The Contractor may not terminate for convenience a SBE subcontractor listed in the bid and then perform the work of the terminated subcontract with its own forces or those of an affiliate, without the prior written consent of RTC. c. When a SBE subcontractor is terminated, or fails to complete its work on the contract for any reason, the Contractor is required to make good faith efforts to find another SBE subcontractor to substitute for the original SBE. These good faith efforts shall be directed at finding another SBE to perform at least the same amount of work under the contract as the SBE that was terminated, to the extent needed to meet the contract goal. d. If the Contractor or a non-sbe firm performs the work originally committed to a SBE, the Contractor shall submit a revised work plan to RTC detailing how the SBE goal will be met. If the Contractor fails to meet the goal or to make good faith efforts to meet the goal, sanctions may be applied against the Contractor. 5. Reporting Requirements- The Contractor shall provide all information and reports required by RTC and shall permit access to its books, records, accounts, other sources of information Page 11

14 and its facilities as may be determined by RTC to be pertinent to ascertain compliance with the regulations or directives. Monthly reports of SBE payments to SBE firms shall be submitted to RTC on the SBE Contract Compliance Form with each invoice for payment submitted for the life of the contract. Invoices will not be processed for approval unless the report is attached. 6. Monitoring and Enforcement - Contractors are required to make good faith efforts to meet the SBE goal of the contract with SBEs that are certified. The SBE firms must perform a commercially useful function in order to be counted towards the goal. Firms who fail to meet the goal must demonstrate that they have exerted good faith efforts to meet the goal. The definition of "commercially useful function" and "good faith efforts" shall, in the discretion of RTC, meet criteria set forth by the Department of Transportation under 49 C.F.R. Part 26. Failure by the Contractor to comply with its SBE contractual obligations shall constitute a substantial breach of the contract. If RTC determines that the Contractor is in breach of the contract, it shall give the Contractor a thirty (30) day notice to comply. Should the Contractor fail to cure the breach, RTC may terminate the contract, or withhold all applicable payments from the Contractor, and may enforce the contract and sue to collect any damages resulting from the Contractors breach. The foregoing is in addition to any other remedies authorized by law. 7. Prompt Payment to Subcontractors - (1) Requirement -- The Contractor shall comply with the prompt payment to subcontractors requirements set forth in 49 CFR Section and with all provisions of State law relating to the payment of subcontractors. (2) Payment for Satisfactory Work -- The Contractor shall make payment to each subcontractor for satisfactory performance of its subcontract no later than ten (10) days after receipt of payment from the RTC. (3) Payment of Retainage -- The Contractor shall make full payment to each subcontractor, within ten (10) days after the subcontractor s Work is satisfactorily completed, of all retainage withheld by the Contractor pursuant to the relevant subcontract. (4) No Retainage -- If the RTC does not withhold retainage from the Contractor, the Contractor may not withhold retainage from its subcontractors. 18. SMALL BUSINESS ENTERPRISE (SBE) PROVISIONS a. Goals, Good Faith, and Counting 1. A mandatory SBE contract specific goal has been established for this Contract. The applicable SBE commitment is 5.6% of the total dollar value of this Contract including any change orders and/or modifications. 2. SBE firms must be verified by the Nevada Unified Certification program (NUCP) SBE verification forms may be found at 3. Contractor agrees to meet the SBE goal or make good faith efforts, as Page 12

15 Page 13 determined in the sole judgment of the RTC, in accordance with its SBE Program, to meet the SBE goal. 4. Bidders must submit an Assurance of DBE/SBE Participation form and DBE/SBE Subcontractor/Vendor Information form (included in Exhibit D to the Sample Contract) which it will utilize for the contract with their proposals (these pages will not count toward the maximum amount of pages for the Bid). The Bidder must also attach to its Bid all DBE/SBE certifications for itself and all DBE/SBE contractors (these pages will also not count toward the maximum amount of pages for the Bid). 5. Bidders who do not demonstrate that they will meet the goal by listing SBE subcontractors on the DBE/SBE Subcontractor/Vendor Information form must submit their SBE Good Faith Effort (instructions for a good faith effort can be found online at: aithefforts.pdf (these pages will not count toward the maximum amount of pages for the Bid). Good Faith Efforts will be evaluated in accordance with the RTC s Small Business Program which references 49 CFR part 26 Appendix A. b. Administrative Requirements 1. The Contractor agrees to submit quarterly reports of payments and subcontract and/or supplier awards to SBEs in such form and manner and at such times as the RTC shall prescribe. SBE utilization forms are required throughout the contract term or at the completion of the contract if contract completion time is less than 3 months. The Contractor shall permit access to its books, records, accounts, other sources of information, and its facilities as may be determined by the RTC to be pertinent to ascertain compliance with the regulations or directives. 2. Additional information regarding the RTC s DBE and SBE Programs can be found online at c. SBE Termination/Substitution 1. Contractor may not terminate an SBE subcontractor listed in its bid, or a previously approved substituted SBE, without the prior written consent of RTC. 2. RTC will only provide such written consent if it has been determined that the prime contractor has good cause to terminate the SBE firm. 3. Before seeking approval to terminate and/or substitute an SBE, Contractor will give notice in writing to the SBE subcontractor, with a copy to RTC, of its intent to request to terminate and/or substitute, and the reason for the request. Contractor must give the SBE five business days to respond to contractor s notice and to advise RTC and the contractor of the reasons, if any, why it objects to the proposed termination of its subcontract and why RTC should not approve the prime subcontractor s action. If required in a particular case as a matter of public necessity (e.g. safety), RTC may approve a response period shorter than five business days. 4. Contractor will make good faith efforts, as determined by RTC, to replace an SBE that is terminated or has otherwise failed to complete its work on a

16 Page 14 contract with another certified SBE, to the extent needed to meet the contract goal. d. Compliance with SBE Submissions The failure of the Bidder to either meet the SBE goal and document intended participation on the Assurance of Small Business Element Participation form and SBE Subcontractor/Vendor Information form or demonstrate that it made Good Faith Efforts to do so may result in the rejection of the Bid as being non-responsive. 19. ENERGY CONSERVATION The contractor selected as a result of this solicitation shall comply with mandatory standards and policies relating to energy efficiency that are contained in applicable State energy conservation plans issued in compliance with the Energy Policy and Conservation Act, 42 U.S.C., 6321 et seq. 20. ENVIRONMENTAL REQUIREMENTS The Contractor agrees to comply with all applicable requirements of the National Environmental Policy Act of 1969, as amended, 42 U.S.C et seq.; the Clean Air Act, as amended, 42 U.S.C et seq. and scattered sections of 29 U.S.C.; the Federal Water Pollution Control Act, as amended, 33 U.S.C et seq.; the Resource Conservation and Recovery Act, as amended, 42 U.S.C et seq.; and the Comprehensive Environmental Response, Compensation, and Liability Act, as amended, 42 U.S.C et seq. The Contractor also recognizes that U.S. EPA, FHWA, and other Federal agencies have issued, and in the future are expected to issue regulations, guidelines, standards, orders, directives, or other requirements that may affect the Project. Thus, the Contractor agrees to comply, and assures the compliance of each sub-contractor and third party contractor, with any such Federal requirement as the Federal Government may now or in the future promulgate. 21. CLEAN WATER The Contractor acknowledges that any facilities or equipment acquired, constructed, manufactured, or improved for which the Contractor is responsible as a part of any project resulting from a contract or agreement with the RTC may be subject to complying with all applicable standards, orders, or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C et seq. In addition: a. The Contractor agrees to protect underground sources of drinking water consistent with the provisions of the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300f et seq. b. The Contractor agrees to comply with the notification of violating facilities provisions of Executive Order No , Administration of the Clean Air Act and

17 Page 15 the Federal Water Pollution Control Act with Respect to Federal Contracts, Grants, or Loans, 42 U.S.C note. 22. CLEAN AIR (AIR QUALITY) The Contractor, by responding to this solicitation, acknowledges that any facilities or equipment acquired, constructed, manufactured, or improved for which the Contractor is responsible as a part of any project resulting from a contract or agreement with the RTC may be subject to the following Environmental Protection Agency (EPA) regulations, among others: (1) "Control of Air Pollution from Motor Vehicles and Motor Vehicle Engines," 40 C.F.R. Part 85; (2) "Control of Air Pollution from New and In-Use Motor Vehicles and New and In-Use Motor Vehicle Engines: Certification and Test Procedures," 40 C.F.R. Part 86; and (3) "Fuel Economy of Motor Vehicles," 40 C.F.R. Part 600. The Contractor agrees to comply with the notification of violating facility requirements of Executive Order No , Administration of the Clean Air Act and the Federal Water Pollution Control Act with Respect to Federal Contracts, Grants, or Loans, 42 U.S.C 7606 note. 23. CLEAN AIR AND CLEAN WATER As a condition of satisfactory contract performance, the contractor agrees to include in each third party contract, and sub-agreement exceeding $100,000.00, adequate provisions to ensure that participants report the use of facilities considered to be placed on U.S. EPAs List of Violating Facilities, refrain from using violating facilities, report violations to the FTA and the Regional U.S. EPA Office, and comply with the inspection and other requirements of the following: a. Section 306 of the Clean Air Act, as amended, 42 U.S.C. 7414, as well as other applicable provisions of the Clean Air Act, as amended, 42 U.S.C et seq.; and, b. Section 508 of the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1368, as well as other requirements of the Federal Water Pollution Control Act, as amended, 33 U.S.C et seq. 24. BUY AMERICA (Applicable to bids/proposals $100,000 or more) The Buy America requirement provides that Federal funds may not be obligated for mass transportation projects unless steel, iron, and manufactured products, as defined by the U.S. Federal Government, used in such projects are produced in the United States. This solicitation and the resulting contract are subject to the Buy America requirements of 49 U.S.C. 5323(j) and the Federal Transit Administration s implementing regulations found at 49 CFR Part 661. These regulations require, as a matter of responsiveness, that the bidder or offeror submit with its offer a completed certification in accordance with

18 Part or , as appropriate. These certifications are set forth in this solicitation on page FC-17. Failure to submit this certification will render the bidders/offerors entire submission nonresponsive and thereby disqualified. A bidder/proposer who seeks to establish grounds for an exception to this requirement must follow the procedure in the section entitled "Exceptions. 25. FLY AMERICA The Contractor, by responding to this solicitation, agrees to comply with 49 U.S.C (the Fly America Act) in accordance with the General Services Administration s regulations at 41 C.F.R. Part , which provide that recipients and sub-recipients of Federal funds and their contractors are required to use U.S. Flag air carriers for U.S. Government-financed international air travel and transportation of their personal effects or property, to the extent such service is available, unless travel by foreign air carrier is a matter of necessity, as defined by the Fly America Act. The Contractor shall submit, if a foreign air carrier was used, an appropriate certification or memorandum adequately explaining why service by a U.S. flag air carrier was not available or why it was necessary to use a foreign air carrier. In any e vent, the Contractor shall provide a certificate of compliance with the Fly America requirements. The Contractor agrees to include the requirements of this section in all subcontracts that may involve international air transportation. 26. SEISMIC SAFETY REQUIREMENTS The contractor agrees that any new building or addition to an existing building will be designed and construction accordance with the standards for Seismic Safety required in Department of Transportation Seismic Safety Regulations 49 CFR Part 41 and will certify to compliance to the extent required by the regulation. The contractor also agrees to ensure that all work performed under this contract including work performed by a subcontractor is in compliance with the standards required by the Seismic Safety Regulations and the certification of compliance issued on the project. 27. CARGO PREFERENCE: USE OF UNITED STATES-FLAG VESSELS As required by 46 C.F.R. Part 381, the contractor selected as a result of this solicitation agrees: a. To utilize privately owned United States-flag commercial vessels to ship at least 50 percent of the gross tonnage (computed separately for dry bulk carriers, dry cargo liners, and tankers) involved, whenever shipping any equipment, materials, or commodities pursuant to this contract to the extent such vessels are available at fair and reasonable rates for United States-flag commercial vessels. b. To furnish within 20 days following the date of loading for shipments originating within Page 16

19 Page 17 the United States, or within 30 working days following the date of lading for shipment originating outside the United States, a legible copy of a rated, "on-board" commercial ocean bill-of-lading in English for each shipment of cargo described in paragraph (1) above to the recipient (through the prime contractor in case of subcontractor bills-of-lading) and to the Division of National Cargo, Office of Market Development, Maritime Administration, 400 Seventh Street, S.W., Washington, D.C , marked with appropriate identification of the project. c. To insert the substance of the provisions of this clause in all subcontracts issued pursuant to this contract. 28. RESTRICTIONS ON LOBBYING (Applicable to bids/proposals $100,000 or more) Contractors who apply or bid for an award of $100,000 or more shall file the certification required by 49 C.F.R. Part 20, New Restrictions on Lobbying, and U.S. DOT regulations. Each tier certifies to the RTC that they have not and will not use Federal appropriated funds to pay any person or organization to influence or attempt to influence an officer or employee of any Federal department or agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant, or any other award covered by 31 U.S.C Each tier shall also disclose the name of any registrant under the Lobbying Disclosure Act of 1995 who has made lobbying contacts on its behalf with non-federal funds with respect to that Federal contract, grant or award covered by 31 U.S.C Such disclosures are forwarded from tier to tier up to the recipient. The term "recipient" is defined in the law to include all contractors and subcontractors at any tier of the recipient of funds received in connection with a Federal contract, grant, loan, or cooperative agreement. Manufacturers or their authorized sales representative of vehicles and related equipment are thus included. Any Contractor who submits a written response to this procurement solicitation must certify and submit with their bid or offer the Certification Regarding Lobbying on page FC-18. Failure to submit this Certification will render the Contractor s entire submission nonresponsive and disqualified. 29. DEBARMENT AND SUSPENSION (Applicable to bids/proposals $25,000 or more) The terms of the U.S. Department of Transportation regulation, "Suspension and Debarment of Participants in DOT Financial Assistance Programs," 49 C.F.R. Part 29, are applicable to any agreement or contract exceeding $25, Therefore, any Contractor who submits a written response to this procurement solicitation is required to verify that none of the contractor, its principals, as defined at 49 CFR , or affiliates, as defined at 49 CFR , are excluded or disqualified as defined at 49 CFR and

20 The contractor must sign and submit with the response the "Certificate Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -- Lower Tier Covered Transactions." Failure to submit this Certificate will render the Contractor's entire submission non- responsive and thereby disqualified. All contractors and low tier subcontractors shall be registered or register with the System for Award Management (SAM) before entering into any contracts with the RTC. To register with SAM, go to the SAM website and have the following pieces of information ready: (1) DUNS number; (2) Taxpayer Identification Number (TIN) or Employment Identification Number (EIN). In addition, any contractor entering into a contract or agreement with the RTC who subsequently anticipates entering into any subcontract exceeding $25,000 associated with this solicitation shall require the prospective subcontractor(s) to sign and submit the Certificate mentioned immediately above to the prime contractor prior to executing the subcontract(s). These certifications shall be available for RTC s review at any time during the term of the contract. The Contractor agrees to include a provision requiring such compliance in its lower tier covered transactions. Page 18

21 BUY AMERICA CERTIFICATE CERTIFICATION OF COMPLIANCE WITH SECTION 165(a) The bidder hereby certifies that it and/or the manufacturer it represents will comply with the requirements of section 165(a) of the Surface Transportation Assistance Act of 1982, as amended, and the applicable regulations in 49 CFR part 661. Date: Signature: Title: Company Name: CERTIFICATION OF NON-COMPLIANCE WITH SECTION 165(a) The bidder hereby certifies that it and/or the manufacturer it represents cannot comply with the requirements of section 165(a) of the Surface Transportation Assistance Act of 1982, as amended, but it may qualify for an exception to the requirement pursuant to section 165(b)(2) or (b)(4) of the Surface Transportation Assistance Act of 1982, as amended, and regulations in 49 CFR Date: Signature: Title: Company Name: [If a successful bidder fails to demonstrate that it complies with its certification, it will be required to take the necessary steps in order to achieve compliance. If a bidder takes these necessary steps, it will not be allowed to change its original bid price. If a bidder does not take the necessary steps, it will not be awarded the contract if the contract has not yet been awarded, and it is in breach of contract if a contract has been awarded] Page 19