REQUEST FOR PROPOSALS

Countywide Bee-Line

ParaTransit Innovative

For Hire Car Services

Westchester County

Dept of Public Works and Transportation April 1, 2013

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Bee-Line ParaTransit Services Request For Proposals (RFP)

Innovative For Hire Car Services

To Proposer:

The Westchester County Department of Public Works and Transportation is soliciting proposals to provide Innovative For Hire Car services for a portion of riders of the County’s Bee-Line Paratransit system and in compliance with the requirements of the Americans with Disabilities Act of 1990, as amended, and Section 15-c of the New York State Transportation Law.

All proposers are required to attend a mandatory proposers meeting on April 12, 2013 at 11:00 AM in Room 527 of the Michaelian Office Building, 148 Martine Ave., White Plains, New York 10601. Please inform Evan Latainer (contact information below) if you plan to

attend this meeting. Technical questions are due no later than April 17, 2013. Technical questions are to be mailed, faxed or e-mailed to: Chris D. Andritsopoulos Program Administrator for Transportation Operations Dept. of Transportation Tel: (914) 813-6425 FAX: (914) 813-6027 Email: cda4@westchestergov.com Also contact Mr.Latainer for any additional information.

Proposals must be submitted no later than 11:00 a.m. on May 3, 2013 Late Proposals Will Be Rejected. The expected start date of the contract associated with this RFP is August 1, 2013.

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4.0 REQUIRED FORMS Form IV-1(A, B, C): Price Offer Forms Form IV-2: Affirmation Form IV-3: Provider's Acknowledgment Form IV-4: Certificate of Authority Form IV-5: Affirmative Action Plan Requirement Form IV-6: Criminal Disclosure (to be completed only by successful proposer in the

event of contract award) Form IV-7: MacBride Certification Form IV-8: Questionnaire Regarding Business Enterprises Owned and Controlled by

Persons of Color or Women Form IV-9: Qualified Transportation Fringe Program Form IV-10: Disclosure of Relationships to County

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Bee-Line ParaTransit Services Innovative

For Hire Car Services Request For Proposals (RFP)

TABLE OF CONTENTS

Section I - Administrative & General Information 1.0 Purpose of RFP & Background Information 2.0 Coordinating Departments 3.0 Evaluation Committee 4.0 Administrative and Technical Questions 5.0 Due Date for Proposals 6.0 Number of Copies 7.0 RFP Policies and Procedures/Legal Representations & Understandings 8.0 Public Disclosure of Proposal Contents 9.0 Intellectual Property Rights 10.0 MBE/WBE Participation 11.0 Drug and Alcohol Testing 12.0 Proposal Format 13.0 List of Sub Providers 14.0 Cost Proposal 15.0 Evaluation of Proposals and Award Criteria 16.0 Contract Term and Other Provisions 17.0 Performance Security 18.0 Liquidated Damages 19.0 Notice of Award 20.0 Negotiations with Selected Firm Section II - Proposal Contractor Profile/Statement of Qualifications 1.0 Identification of Respondent and General Information 2.0 Experience and Background of Responding Organization 3.0 Personnel 4.0 Vehicle and Fleet Management Capabilities 5.0 Insurance 6.0 Statement of Financial Condition 7.0 Intentionally Omitted References 8.0 Additional Information

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Section III - Technical Proposal Requirements & Scope of Work 1.0 Profile of County 2.0 Service Areas 3.0 Days, Hours and Categories of Service Operation 4.0 Fares 5.0 Background Statistics & Information 6.0 Other Unique Service Features 7.0 Definitions 8.0 Summary of Westchester County Responsibilities 9.0 Summary of Provider Responsibilities 10.0 Performance Measures Section IV - Cost Proposal/Forms 1.0 Prices Required & Related Information 2.0 Selection Investigation Criteria 3.0 Criteria for Disqualification 4.0 Required Forms, in addition to required information under Sections II and III Form IV-1(A, B, C): Price Offer Forms Form IV-2: Affirmation Form IV-3: Provider's Acknowledgment Form IV-4: Certificate of Authority Form IV-5: Affirmative Action Plan Requirement Form IV-6: Criminal Disclosure (to be completed only by successful proposer in the

event of contract award) Form IV-7: MacBride Certification Form IV-8: Questionnaire Regarding Business Enterprises Owned and Controlled by

Persons of Color or Women Form IV-9: Qualified Transportation Fringe Program Form IV-10: Disclosure of Relationships to County

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APPENDICES Appendix “A” - Standard Insurance Provisions Appendix “B” - Sample Operating Agreement Form Appendix “C” - Vendor Direct Payment

CON/d/CXX/For hire car RFP final 4.01.13

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REQUEST FOR PROPOSALS (RFP) Notice is hereby given that the Westchester County Department of Public Works and Transportation is soliciting proposals to provide Innovative For Hire Car services for a portion of riders of the County’s Bee-Line Paratransit system in compliance with the requirements of the Americans with Disabilities Act of 1990, as amended, and Section 15-c of the New York State Transportation Law. The RFP document may be obtained by contacting Evan Latainer, Director, Westchester County Office for the Disabled, 148 Martine Avenue, White Plains, New York 10601, telephone (914) 995-2958 or online at http://rfp.westchestergov.com/rfp/rfps.jsp under, “CE-Office for the Disabled” or at www.HudsonValleyBidNet.com under RFP-OFD13-100 The deadline for the receipt of proposals is 11:00 a.m., May 3, 2013, which proposals must be delivered before the deadline to Evan Latainer, Director, Westchester County Office for the Disabled, 148 Martine Avenue, White Plains, New York 10601. All proposers are required to attend a mandatory proposers meeting on April 12, 2013 at 11:00 AM in Room 527 of the Michaelian Office Building, 148 Martine Ave., White Plains, New York 10601. The deadline for all technical questions is April 17, 2013. Proposals received after the deadline for receipt of proposals will be considered late and will be returned unopened to the proposer. The expected start date of the contract associated with this RFP is August 1, 2013. All proposers will be required to comply with all applicable Equal Opportunity laws and regulations. Pursuant to Local Law No. 27-1997, it is the goal of the County to encourage and support significant, meaningful participation by business enterprises owned and controlled by people of color and/or women (MBE/WBE) in contracts and projects funded by the County. The County of Westchester reserves the right to reject any and all proposals, in whole or in part, to enter into multiple contracts, and to make an award(s) as deemed in the best interest of the County. Further, the County reserves the right to waive any formalities or informalities contained in the RFP. Proposals may not be withdrawn for sixty (60) days after the RFP due date noted above. County of Westchester Dept. of Public Works and Transportation Jay T. Pisco, Commissioner Dated: April 1, 2013

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SECTION I

ADMINISTRATIVE & GENERAL INFORMATION

1.0 Purpose of RFP & Background Information

The Westchester County Department of Public Works and Transportation is soliciting proposals to provide Innovative For Hire Car services for a portion of riders of the County’s Bee-Line Paratransit system in compliance with the requirements of the Americans with Disabilities Act of 1990, as amended, and Section 15-c of the New York State Transportation Law. The Americans with Disabilities Act mandates Westchester County to provide Paratransit services for people whose disabilities prevent them from using fixed route buses. The County meets this obligation through its Paratransit Program which has been in existence since 1983. ParaTransit is a seven day a week, demand-responsive, advance-reservation, curb-to-curb, door to door service for eligible individuals traveling within Westchester County and to or from limited areas of Bronx County, Putnam County and Connecticut. The County contracts with a primary transportation company (the “Primary Para transit Contractor”) to provide para transit services utilizing para transit buses, shuttles and transit connect vehicles owned by the County. In an effort to improve the efficiency of the Para transit program while also reducing the overall costs of the program, the County is seeking proposals for innovative para transit services to be provided by For Hire Car Services. The For Hire Car service would provide transportation services to a certain portion of para transit riders that schedule up to seven (7) days in advance, (with no same day service permitted) and this will reduce the number of trips to be provided by the County’s Primary Para transit Contractor. The work to be provided by the For Hire Car Service shall only be MONDAY through FRIDAY, with the County providing a list of rides to the For Hire Car Service one day in advance. Any contract resulting from this RFP will be non-exclusive and there will be NO MINIMUM AMOUNT OF WORK GUARANTEE. Prior to the commencement of any work under a contract resulting from this RFP, the successful proposer must show proof of licensing by the Westchester County Taxi and Limousine Commission (“WCTLC”). Proposals may be submitted by entities that are not currently licensed by the WCTLC, but any contract award will be contingent upon receipt of WCTLC licensing. Bee-Line ParaTransit, upon prior request, may approve providing additional assistance between curbside and the building’s entrance, known as “Origin-to-Destination Service” (See Section III, 7.0 Definitions), which additional service would be provided by the For Hire Car Service.

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The Westchester County Office for the Disabled (WCOFD) is responsible for determining eligibility, registering customers, accepting trip reservations, managing complaints, scheduling trips and monitoring the day-to-day operation of the service. The County uses a software system (Trapeze) that offers real-time, automated scheduling and dispatching capabilities. The For Hire Car Service must have EXCEL to retrieve the trip list from the County. The successful proposer (hereinafter referred to also as the “Proposer”, “For Hire Car Service, “Provider” or “Contractor”) will be responsible for hiring and training drivers, dispatchers, road supervisors and office staff. The Provider will also be responsible for dispatching and scheduling the portion of trips that County provides on a daily basis and investigating complaints; maintaining certain financial and operating statistics, and generally insuring that the highest quality service is provided in accordance with the service-specification. The Provider will be paid per “Trip”. (See Section III, 7.0 Definitions). The Provider must supply and equip each vehicle used in service a communications system such as a two-way radio, and/or cell phone with a hands free device and have each vehicle equipped with an MDT (Mobile Data Terminal), with capabilities of receiving scheduled trips, GPS,AVL, and reporting functions. The provider must also have the appropriate structure considered as a base. Specifics on Provider requirements are found in Section III. These provisions will be incorporated into the Provider’s contract, if any.

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2.0 Coordinating Departments Prior to Award of Contract

The Westchester County Dept of Public Work and Transportation (DPW/DOT) is responsible for coordinating the issuance of the RFP:

Contacts: Evan Latainer, Director Westchester County Office for the Disabled 148 Martine Avenue White Plains, New York 10601 Tel: (914) 995-2958 Email: ehl2@westchestergov.com Chris D. Andritsopoulos Westchester County Dept. of Public Works and Transportation 100 East First Street Mount Vernon, New York 10550 Tel: (914) 813-6425 Email: cda4@westchestergov.com

After Award of Contract/Prior to Execution of Contract

The Dept. of Public Works and Transportation will be responsible for coordinating with the Westchester County Attorney’s Office and the Provider regarding the execution of the contract.

3.0 Evaluation Committee

The RFP Evaluation Committee shall be established exclusively for the purpose of this project and will include representatives the following County agencies: Office for the Disabled and the Department of Public Works, and Transportation (WCDPW&T), Westchester County Taxi and Limousine Commission (WCTLC) and County Budget Dept.

4.0 Administrative and Technical Questions Questions regarding this RFP must be submitted in writing to the contact listed in

paragraph 2 above (Evan Latainer). Use of e-mail will be permitted to expedite communications. All e-mail communications must be followed with a hard copy.

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The Evaluation Committee will develop responses to questions in the form of an Addendum to this RFP, if necessary.

5.0 Due Date for Proposals

Proposals must be submitted to the attention of the Director of the Office for the Disabled listed in paragraph 3.0 above, by 11:00 a.m. on May 3, 2013.

In the interest of fairness to all participants, no extensions or exceptions will be permitted unless issued as an Addendum to this RFP and applicable to all Proposers. Notification of any change in deadline for submission of proposals will be issued in writing by the County to all known prospective contractors.

6.0 Number of Copies

One (1) original printed copy plus one (1) CD of the Proposal are required. 7.0 RFP Policies and Procedures/Legal Representations & Understandings

By submission of a proposal in response to this request for proposals, proposing entity agrees to and understands:

• that any proposal, attachments, additional information, etc. submitted

pursuant to this Request for Proposals constitute merely a suggestion to negotiate with the County of Westchester and is not a bid under Section 103 of the New York State General Municipal Law;

• submission of a proposal, attachments, and additional information shall not

entitle the proposing entity to enter into a service agreement with the County of Westchester for the required services;

• by submitting a proposal, the proposing entity agrees and understands that

the County of Westchester is not obligated to respond to the proposal, nor is it legally bound in any manner whatsoever by submission of same;

• that any and all counter-proposals, negotiations or any communications

received by a proposing entity, its officers, employees or agents from the County, its elected officials, officers, employees or agents, shall not be binding against the County of Westchester, its elected officials, officers, employees or agents unless and until a formal written agreement for the services sought by this RFP is duly executed by both parties and approved by the Westchester County Board of Acquisition & Contract, and the Office of the Westchester County Attorney.

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In addition to the foregoing, by submitting a proposal, the proposing entity also understands and agrees that the County of Westchester reserves the right, and may at its sole discretion exercise, the following rights and options with respect to this Request for Proposals:

• To reject any or all proposals;

• To issue additional solicitations for proposals and/or amendments to this

RFP;

• To waive any irregularities in proposals received after notification to proposers affected;

• To select any proposal as the basis for negotiations of a contract, and to

negotiate with one or more of the proposers for amendments or other modifications to their proposals;

• To conduct investigations with respect to the qualifications of each proposer;

• To exercise its discretion and apply its judgment with respect to any aspect of

this RFP, the evaluation of proposals, and the negotiations and award of any contract;

• To enter into an agreement for only portions (or not to enter into an

agreement for any) of the services contemplated by the proposals with one or more of the proposers;

• To select the proposal that best satisfies the interests of the County and not

necessarily on the basis of price or any other single factor;

• While this is a Request For Proposals and not a bid, the County reserves the right to apply the case law under General Municipal Law § 103 regarding bidder responsibility in determining whether a proposer is a responsible vendor for the purpose of this RFP process;

• The County assumes no responsibility or liability of any kind for costs incurred

in the preparation or submission of any proposal;

• The County is not responsible for any internal or external delivery delays which may cause any proposal to arrive beyond the stated deadline. To be considered, proposals MUST arrive at the place specified herein and be time stamped prior to the deadline.

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• Evaluation criteria are not necessarily listed in order of importance. The

County reserves the right to weigh its evaluation criteria in any manner it deems appropriate.

• Anyone who intends to submit a Proposal must contact the WCOFD directly

and specifically request a copy of this RFP. WCOFD has responsibility for maintaining a control list of all potential Proposers.

• The award, of any contract will be made as judged to be in the best interest of

the County. It is the County’s intent to select the Proposer(s) that provide the best solutions for WCOFD’s needs.

• Reference is made to the Sample Operating Agreement (Appendix “B”)

enclosed, for the terms and conditions of the Agreement to be entered into, including indemnification and insurance. The Sample Operating Agreement is subject to revision arising out of the terms and conditions imposed by law and/or deemed appropriate by the County Attorney’s office and/or final contract negotiations. The Proposer’s responses to this RFP, as may be subsequently modified in negotiations with the County, may be included as exhibits in any contract that the County may execute with the Proposer.

• The decision to award a contract shall be based on the Proposer’s ability to

provide quality services and products and to comply with all applicable laws, rules and regulations.

• Each Proposal will be examined to determine whether it is responsive to the

requirements of this RFP. All responsive proposals will be evaluated in accordance with the criteria set forth herein. Proposals may be rejected if they show any alteration of terms, conditions, or alternate proposals not invited, in complete forms, or irregularities of any kind. Alternate Proposals will be considered only at the discretion of the County. More than one Proposal from an individual, firm, partnership, corporation, or association under the same or different names for each license offered will not be considered.

• Based on the evaluation criteria, please note that the County will not

necessarily choose the Contractor(s) with the lowest proposed fees to the County. A competitive range consisting of those proposals which are acceptable to the County, or which could be made acceptable following written or oral presentations, will be determined. Following discussions and clarifications, if necessary, it is anticipated that a final selection will be made.

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• As part of the proposal review process, the County may opt to conduct on-site

inspection(s) of facilities proposed by prospective contractors for the purposes of this contract. In such cases, the prospective contractor will permit County personnel to visit the facilities, conduct inspection(s), and make available to the County, during and for the purpose of the inspection, responsible, knowledgeable personnel to answer questions regarding these facilities and the prospective Contractor’s proposal as it relates to those facilities.

8.0 Public Disclosure of Proposal Contents

The New York State Freedom of Information Law as set forth in Public Officers Law, Article 6, Sections 84-90, mandates public access to government records. However, proposals submitted in response to this RFP may contain technical, financial background or other data, public disclosure of which could cause substantial injury to the proposer's competitive position or constitute a trade secret. Proposers who have a good faith belief that information submitted in their proposals is protected from disclosure under the New York Freedom of Information Law shall:

a) Insert the following notice in the front of its proposal

“NOTICE The data on pages _____ of this proposal identified by an asterisk (*) contains technical or financial information constituting trade secrets or information the disclosure of which would result in substantial injury to the proposer’s competitive position. The proposer requests that such information be used only for the evaluation of the proposal, but understands that any disclosure will be limited to the extent that the County considers proper under the law. If the County enters into an agreement with this proposer, the County shall have the right to use or disclose such information as provided in the agreement, unless otherwise obligated by law.”

and

b) clearly identify the pages of the proposals containing such information by typing in bold face on the top of each page “ * THE PROPOSER BELIEVES THAT THIS INFORMATION IS PROTECTED FROM DISCLOSURE UNDER THE STATE FREEDOM OF INFORMATION LAW.”

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The County assumes no liability for disclosure of information so identified, provided that the County has made a good faith legal determination that the information is not protected from disclosure under applicable law or where disclosure is required to comply with an order or judgment of a court of competent jurisdiction. The contents of the proposal, which is accepted by the County, except portions “Protected from Disclosure”, may become part of any agreement resulting from this RFP.

9.0 Intellectual Property Rights – Intentionally Omitted 10.0 MBE/WBE Participation

Pursuant to Local Law No. #27-1997 of Westchester County, it is the policy of the County to encourage the meaningful and significant participation in County contracts for business enterprises owned by persons of color and women: Minority Business-Enterprise (MBE) and Women Business Enterprise (WBE). In furtherance of that policy, contractors will be required to complete a MBE/WBE questionnaire.

11.0 Drug and Alcohol Testing

Prior to the commencement of any work to be provided under a contract resulting from this RFP, the successful For Hire Car service shall be required to have in place a Substance Abuse Program in accordance with the requirements specified herein and shall comply with the Westchester County Taxi and Limousine requirements for drug and alcohol testing.

12.0 Proposal Format

In order to be considered for selection, Proposers must submit a complete response to this RFP.

In addition to other requirements specified herein, Proposals must include the following:

a. Transmittal Letter signed by a corporate officer or an authorized agent. The

letter shall state the contact person who will be responsible for answering any questions asked by the County Evaluation Committee. Include telephone number and email for such contact person.

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b. Completion of all schedules attached hereto. c. Proposer’s Profile Response to Questions set forth in Section II. This section will

be used in the County’s evaluation of the Contractor general qualifications. d. Contractors’ Proposed Tech. Services - Response to items set forth in Section III.

This section will be used in the County’s evaluation of the Contractor’s proposed technical services.

e. Price Proposal Forms 13.0 List of Sub-providers The use of sub-providers will not be permitted under this contract. 14.0 Cost Proposal

Use the format (expand as appropriate) set forth in Section IV, entitled “Cost Proposal/Forms” for specified requirements. The Cost Proposal should be submitted in the same package as other items required by this RFP.

15.0 Evaluation of Proposals and Award Criteria

The final selection of the Provider or Providers to be recommended for award will be made by the Evaluation Committee after careful review of the proposals and, at its option, interview(s) with the most responsive firm(s). Evaluation criteria are listed below.

Criteria

a. General Qualifications: The proposed vendor must have a minimum of at least (3) three years in demand responsive transportation services. The successful proposer must comply with all Westchester County Taxi and Limousine Commission (WCTLC) protocols and procedures including, but limited to, properly licensed base station, cars and drivers. Prior to the commencement of any work under a contract resulting from this RFP, the successful proposer must show proof of licensing by the WCTLC. The Rules and Regulations and applications for drivers, base station and vehicles for the WCTLC can be found at tlc.westchestergov.com.

Firm’s history, expertise, experience, reliability, financial viability, references, and completeness of response to RFP, including but not

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limited to copies of reports, certificates etc. See Section II, entitled “Provider Profile,” for specific requirements. b. Proposed Technical Services/Products:

Strategies, methodologies, service and management and staffing plan, hiring, training and safety programs, including special training for paratransit customers, fleet maintenance capabilities, maintenance and history and adequacy of operations facility, See Section III entitled “Technical Proposal Requirements & Scope of Work”.

c. Cost Proposal:

After evaluations of a. and b. above, Section IV, Cost Proposals will be considered.

16.0 Contract Term and Other Provisions

a. Reference is made to the Sample Operating Agreement Form which is

included in Appendix “B” of this RFP, for the terms and conditions of the Agreement to be entered into, including indemnification and insurance. The sample agreement is subject to revisions arising out of the terms and conditions imposed by law and/or deemed appropriate by the County.

b. Reimbursements for trips will be based upon the actual number of Trips

(Section III, 7.0 Definitions) of service operated, less any monies withheld pursuant to the terms of the agreement.

c. It is anticipated that the Term of Agreement will commence on

approximately June 3, 2013 and run through December 31, 2014, with the County’s option to extend the Agreement for one additional one year period on the same terms and conditions.

d. The Provider’s responses to this RFP, as may be subsequently modified in

negotiations with the County, may be included as exhibits in any contracts that the County may execute with the Provider.

17.0 Performance Security

The Operator shall furnish within ten (10) days of the award and at its own expense, a performance and payment bond in a form (copy available upon request) approved by the County Attorney’s Office (from a surety that appears on the U.S. Treasury’s listing of approved sureties, Department Circular 570, and is licensed to transact business in New York State) or certified check payable to

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Westchester County in a sum equal to ten percent (10%) of the estimated annual payment for the first year to ensure the faithful performance of the contract and for the payment of all persons performing labor and furnishing materials in connection with the contract. In the alternative, the County shall retain 10% of the payments due the Operator up to a maximum of 10% of the estimated annual payment due the Operator for the first year until the Operator has satisfactorily completed its obligations under the contract. The estimated annual payment for the first year of service shall be calculated based on the Price Offer Form. An updated performance bond, payment retainage, irrevocable letter of credit, or certified check shall be submitted annually 30 days prior to the commencement of the contract term beyond one year and the option year of the contract. If at any time the surety shall be or become unsatisfactory to the County, then in that case the provider shall, upon ten (10) days notice thereof in writing from the County, furnish a new and additional bond in place of the original bond.

18.0 Liquidated Damages The final contract between the County and the Provider will provide for liquidated damages. The liquidated damages will be assessed for non-compliance with service specifications. Please refer to the sample Operating Agreement for detailed information on the liquidated damages.

19.0 Notice of Award

The successful Proposer will be notified of the award of contract in writing by the County. All firms submitting a proposal in response to this RFP will be notified of the County’s selection of the successful Proposer. The County reserves the right to reject any and all proposals. No contract becomes valid until it has been approved by the County Attorney and signed by the County Executive or his designee.

20.0 Negotiations with Selected Firm

The County will negotiate with the selected firm to establish a contract. If unsuccessful, the County may elect to proceed with the next most highly rated firm until an agreement in the County’s best interest has been reached or all efforts are exhausted.

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SECTION II

CONTRACTOR PROFILE/STATEMENT OF QUALIFICATIONS

All respondents must use this packet in developing their qualification submission. The enclosed outline is structured to assist in the evaluation process and has ample opportunity at its conclusion for submission of additional information which may be relevant but has not been specifically requested. If insufficient space is provided to respond to a particular request, please attach exhibits as necessary.

1.0 Identification of Respondent and General Information: Identification of Respondent Name of Organization: Business Address: Telephone Number: ( ) 1.1 Legal Status of Organization (check one): For-profit corporation or joint venture corporation Non-profit corporation Public agency Other (identify) 1.2 Name of Chief Executive Officer (or Administrator) of Organization: 1.3 Name of individual designated or authorized to bind the organization

contractually: Name: Title: Telephone No. ( )

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1.4 Are there any liens against the property owned by your organization or existing legal suits (pending) which potentially impact the financial stability of your organization.

YES NO If YES, please explain: 2.0 Experience and Background of Responding Organization 2.1 How many years has your organization been in the transportation business?

2.2 Does your organization have a minimum of 3 years experience providing demand responsive service involving a minimum of 10 vehicles in service simultaneously and or 5 years experience providing public transit?

2.3 Do you have authority from NYSDOT to operate as a carrier of passengers by motor vehicle within Westchester, Putnam, and Rockland Counties, Bronx? County and/or New York City?

YES NO Westchester Putnam Rockland Bronx/New York City

If YES to any of the above, what is your case number?

For those counties which you answered no, provide information about what steps have been taken, or will be taken, to obtain this authority (include date that the application was/will be filed):

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2.4 Intentionally Omitted

2.5 List all contracts for service your organization has had over the previous 3 years with a similar volume workload. (Attach additional sheet if necessary)

Agency/Organization Address/City/State/Zip Contact Person & Title Telephone Number Value of Contract Term of Contract Population

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SERVICES TO PROVIDED BY YOUR ORGANIZATION FOR THIS CONTRACT:

Number of Vehicles

______ Road Supervision ______ Complaint Investigation ______ Scheduling ______ Complaint Response ______ Vehicles ______ Vehicle Insurance ______ Property/worker compensation ______ Radios & radio communications ______ Staff training ______ Other (Specify) ______ Staff supervision

2.6 Please attach a copy of your proposed organizational chart for this contract.

Show titles, and number of person(s) holding each title, and a job description for each title. Also attach one copy of your operating plan. The operating plan should, at a minimum, identify who within the organization is responsible for each one of the areas identified below, the resumes of the individuals proposed to be in the positions and the number of people in each position. • safety • hiring • training • accidents (reporting, review, prevention) • quality control (i.e. insuring each individual does their job properly and that

each trip provided is of the highest quality and is done in accordance with the standards set by the County.

• billing • complaint resolution (i.e. reviewing and responding, analyzing trends,

developing strategies for minimizing the reoccurrence of problems, implementing strategies).

• computer equipment • data management • dispatching

Additionally the plan must include a staffing plan showing coverage on weekdays, and holidays (holidays falling on weekdays only). Identify who will serve as the project manager and attach his/her resume. Name:

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3.0 Personnel 3.1. What are the minimum hiring criteria for your drivers?

3.2 Describe the screening process an applicant must go through prior to being hired as a driver (e.g., pre-employment drug testing, review of driver's abstract/maximum points on the license allowed, references, previous employment verification, etc.):

3.3 How many drivers do you currently employ? ________________

How many of these drivers have a Westchester County Taxi & Limousine For-Hire Driver Permit________ How many of these are New York State DMV 19A certified? _____________

Are your drivers represented by a union? YES NO If YES, indicate which union: __

Other related comments__________________________________________

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3.4.1 Describe the driver training program, and any refresher programs. 3.4.2 What kind of training is given to office staff to sensitize them to working with

individuals with disabilities? 3.5 Does the company have an established Accident Review Board? YES NO If YES, please describe the composition of the board, the frequency with which it meets and its procedures.

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4.0 Vehicle and Fleet Management Capabilities

4.1 Does your organization have a vehicle maintenance facility? YES NO

If YES, provide below the address of this facility at which you propose to operate this service below:

Address: 4.2 Does your organization own or lease this facility? Own Lease Years remaining on lease ______ 4.3 Are your vehicles routinely inspected by NYSDOT? YES NO 4.4 If you presently own or lease radio or any other communications equipment that could be made available for this service, describe that equipment:

1. Base Station • Location of transmitter…. • Power…………………… • Frequencies……………… • Effective Range…………..

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2. Mobile Units/Cell Phones/MDT’s

• Types/Number of Units………

• Effective Range………….

• Frequencies………………… 4.5 Please provide a detailed summary on how your firm will be scheduling trips for

the County paratransit services and what software systems will be utilized for this function.

5.0 Insurance

The Contractor will supply the required insurance as indicated in Appendix “A” Standard Insurance Provisions and must be in compliance with State DOT and of The Westchester County TLC provisions.

6.0 Statement of Financial Condition

Each proposer must submit a statement of financial condition which demonstrates that the organization is in sound financial condition or that appropriate measures are being taken to address any identified financial problems.

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6.1 An audited financial statement for the most recently completed fiscal year of the

organization must be submitted. An organization shall be considered, for qualification purposes, to be in sound financial condition if the auditor has rendered an unqualified opinion and the organization's assets exceed its liabilities. If the auditor has issued a qualified opinion or the organization's liabilities exceed its assets (or both), a detailed statement identifying measures being taken to address such deficiencies and/or deficits, including a projected date for the achievement of sound financial condition, or an acceptable explanation of such deficiencies and/or deficits must accompany the audit. The statement must be signed by the organization's authorized signatory. If a satisfactory statement of remedial measures is not submitted as required, the proposal will be automatically rejected. If the submitted audit contains a disclaimer of opinion, an adverse opinion, or a special report opinion, the proposal may be rejected.

6.2 In the case of a for-profit organization that is a subsidiary whose financial

statements are consolidated into the parent company's financial statement, submit the consolidated financial statements where required by section 6.1.

6.3 Provide information on any bankruptcy proceedings which the proposer or any of

its affiliates have been involved in within the last 10 years. 6.4 Provide information on any fines or liquidated damages which have been paid by

the Proposer or any of its affiliates within the last 3 years. 7.0 References Please indicate at least three client references for similar projects.

1. _______________________________________________________

2. _______________________________________________________

3. _______________________________________________________

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8.0 Additional Information Provide or describe any additional information which you believe may be relevant to the evaluation of your organization's qualifications.

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SECTION III

TECHNICAL PROPOSAL REQUIREMENTS & SCOPE OF WORK 1.0 Profile of the County

Westchester County is located immediately north of New York City (the Bronx) and encompasses approximately 450 square miles. Westchester County is, served by the Bee-Line bus system and by three commuter rail lines along with Amtrak. Several of the commuter rail stations are fully accessible to people with disabilities. There is also a regional airport. According to the 2010 U. S. Census, the population of the Westchester County is 949,113 of which approximately 5,000 people are registered for Bee-Line ParaTransit.

2.0 Service Areas

1) Westchester County will be divided into two zones for this RFP; North

and South. The boundary between North County - Zone N and South County - Zone S is the corridor of interstate 287, with the exception of straight trips originating in the South Zone to the Westchester Medical Center located in Valhalla, New York; these trips, although crossing from the South Zone to the North Zone will be paid at the South Zone trip rate. Any other trips crossing the boundary will require a transfer and the For Hire Car Service will receive both the North Zone rate and the South Zone rate.

2.1 Coordination with Adjacent Transit Agencies

Westchester County is located between New York City on the south, the State of Connecticut on the east, Putnam County to the north and the Hudson River and Rockland County on the west. Bee-line ParaTransit has transfer agreements with the Metropolitan Transportation Authority (MTA), Putnam County, and CT Transit paratransit programs. The present transfer locations are listed below but are subject to change. Note that there is no transfer agreement between Westchester and Rockland Counties.

Transfer Locations

Coordinating Agency Location MTA New York City Transit 259th Street & Riverdale Ave., Bronx Boston Road and Ropes Ave. Bronx Putnam County Jefferson Valley Mall, Yorktown Hghts.

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Transportation (PART Service) CT Transit Main St. & Westchester Ave.

Port Chester Rockland County T.R.I.P.S. White Plains Trans Center

3.0 Days, Hours and Categories of Service

For Hire Car Service will provide curb-to-curb/ door to door ParaTransit service to assigned riders anywhere within Westchester County during the following “core service” days/hours:

Monday through Friday 6:00 a.m. – 7:00 p.m.

At other times, “ADA ¾ mile mandated service” is provided. Therefore, the provider will provide curb-to-curb service to assigned ParaTransit eligible individuals within ¾ mile of all routes of the Bee-Line System fixed-route bus service, but only during the service hours of each route. Note that service hours on routes of the fixed-route system vary. Therefore, ADA mandated service currently operates seven days-a-week, but the service area varies on those days by time of day depending on the service hours of each bus route.

Proposers should be aware that currently one or more Bee-Line System fixed-routes is/are operating during the following hours:

Monday through Friday 5:00 a.m. – 1:40 a.m. Saturdays 5:30 a.m. – 1:40 a.m. Sundays 5:50 a.m. – 12:35 a.m.

With all of the above details in force regarding “core service” and “ADA ¾ mile mandated service”, Bee-Line ParaTransit may also approve provide “origin-to-destination service”, which is defined as additional assistance between curbside and the building’s entrance. The Westchester County Bee-Line ParaTransit Origin-to-Destination Policy is included in Section III, 7.0 (Definitions) of this RFP document.

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3.1 Holidays

ParaTransit does not operate on Christmas and Thanksgiving.

Holiday Schedule type New Years Day Sunday Martin Luther King’s Birthday Saturday Lincoln’s Birthday Weekday President’s Day Saturday Memorial Day Sunday Independence Day Sunday Labor Day Sunday Columbus Day Weekday Election Day Weekday Veteran’s Day Weekday

4.0 Fare portion paid by Rider

The Westchester County Commissioner of Public Works and Transportation (WCDPW & T) sets the fares to be paid by the rider and the fares are subject to change (however, the total amount payable per ride to the contractor will not change). In the event of a fare change, the contractor will be notified in writing. Passengers can pay either with cash or with a Westchester County Bee-Line ParaTransit ticket. Tickets are purchased through WCDPW & T. The current fare structure is detailed below.

Current Fare Categories paid by Rider Category Amount Fares paid by Rider (cash or ticket)

$4.00

Transfers between ParaTransit vans Free Transfers between ParaTransit and transit Free Transfers between Transit and ParaTransit Free

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The For Hire Car Service will be required to collect the fare from the Rider.

It should be noted that fare paying passengers include both Eligible Riders and Companions. See Section III, 7.0 (Definitions). However, for the per Trip rate that the Provider will be paid by the County under the contract associated with this RFP, the Provider will be paid for Eligible Riders only and not companions. (Companions will be required to pay only the $4.00 payment directly to the contractor)

5.0 System-Wide Statistics & Information

It should also be noted that the County is seeking to have the Innovative For Hire Car Service provide up to 30% of the annual total of ambulatory paratransit rides for 2013 and up to 40% in 2014. Please see the Price Offer Forms (IV-A, B and C) for the estimated number of trips . PLEASE NOTE that there is no minimum amount of work guaranteed under this contract.

6.0 Intentionally Omitted 7.0 Definitions: The following key definitions apply to this document:

ADA - the Americans with Disabilities Act, which requires Westchester County to provide “complementary” ParaTransit to persons whose disability or disabilities preclude their use of its fixed-route system.

ADA SERVICE AREA - This includes a corridor ¾ of a mile on either side of every non-commuter WCDOT fixed route.

ADVANCE CANCELLATION (CA) - This is a phone-in cancellation that is

received from the rider prior to two hours of their scheduled trip.

ADVANCE RESERVATION TRIP - This is a non-subscription trip that is requested between 1 and 7 days in advance of the trip date. All trips will be accommodated on a space available basis only.

CANCELLED-AT-DOOR (CAD) - This is a cancellation where upon arrival at the pick-up location between 0 and 30 minutes after the scheduled pick-up time, the customer notifies the driver at the pick-up location that she/he will not be making the trip. The driver must note a “Point-of-Site” (POS) on the driver log, i.e., note a landmark as proof of arrival. CAD also includes instances where the phone-in cancellation is not received two (2) hours prior to the scheduled pick-up time.

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More than 3 CAD’s in a 30-day period can result in suspension based on reason.

NOTE: CAD’s by definition, are the “fault” of the customer. At the same time, CAD’s are moot after 30 minutes-past the scheduled pick-up time, because at that point, the fault no longer is attributable to the customer. The distinction between a NSH (No Show) and a CAD is that in the case of a CAD a rider provides notice that they do not require a trip. No notice is given on NSH’s.

CANCELLATION - This is a communication that is received from the rider that

the trip is no longer required or wanted.

CANCELLED VENDOR ERROR - This type of incident occurs when a trip was cancelled by the passenger either the day before or at least two hours before the pick-up was scheduled and the van shows up anyway. COMPANION - A companion is a person who accompanies a customer on a trip but is not required to provide assistance to that person; a companion pays a $4.00 fare. A companion must board and leave the vehicle at the same location as the customer.

COMPLEMENTARY PARATRANSIT - Accessible, demand-responsive, advance-reservation (1 to 7 days in advance of the trip date), curb-to-curb transportation service that is provided to eligible persons for eligible trips within the similar service hours and same service areas as WC’s fixed-route system.

CONTRACTOR OR CARRIER - Any agency, association, partnership, company, corporation, or combination thereof which contracts to provide some or all ParaTransit service. Also referred to herein as PROVIDER

CURB-TO-CURB SERVICE - Driver assistance ends at the curb; this service is not a door-to-door service, nor a door-through-door service.

CUSTOMER - A person who has been deemed eligible for ParaTransit service.

ELIGIBLE RIDER – An individual who has been authorized to use ParaTransit service and issued a ParaTransit photo ID by the Westchester County Office for the Disabled. FARE PAYING PASSENGER TRIP – A ParaTransit TRIP taken by an ELIGIBLE RIDER or a COMPANION.

LATE TRIP - A trip will be contractually defined as being late if (1) it is a served, going trip and the passenger is dropped-off more than 15 minutes beyond the scheduled drop-off time; (2) it is an unserved, going trip and the Provider arrives at the pick-up point 15 or more minutes beyond the scheduled pick-up time; or

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(3) it is a return trip and the Provider arrives at the pick-up point more than 15 minutes beyond the scheduled pickup time. (Note that in the latter two cases, stop arrival and departure times will be recorded.) NO-SHOW (NSH) - This is an instance where a driver arrives at a pick-up location between 0 and 30 minutes after the scheduled pick-up time and the customer does not appear within five (5) minutes. The driver must note a “Point-of-Site” (POS) on the driver log, i.e., note a landmark as proof of arrival. Please note, for the purpose of this RFP providers will be paid half the negated rate per the contract for each “No Show”

NOTE: NSH’s by definition are the “fault” of the customer. At the same time, NSHs are moot after 30 minutes past the scheduled pick-up time, because at that point, the fault no longer is attributable to the customer. The distinction between a NSH and a CAD is that in the case of a CAD a rider provides notice that they do not require a trip. No notice is given on NSHs. DPW/DOT- Westchester County Department of Public Works and Transportation

OFD - Westchester County Office for the Disabled.

ORIGIN-TO-DESTINATION SERVICE – This service is defined by the Westchester County Bee-Line ParaTransit Origin-to-Destination Policy as follows:

Upon prior request, ParaTransit may approve providing additional assistance between curbside and the building’s entrance. To receive such assistance, passengers can request it at the time they reserve their trip or by asking assistance from the driver. ParaTransit reserves the right to evaluate each request for safety before determining whether or not additional assistance will be provided. Any anticipated barriers will be evaluated for safety for all riders and the appropriate assistance will be provided by the driver. To receive origin-to-destination service, all of the following conditions must be met:

• The first exterior door at the building’s entrance must be no more than 100 feet from the bus.

• The driver must be able to maintain sight of the vehicle at all times. • There must be a safe and accessible path of travel from the vehicle

to the building’s entrance. • There must be a safe place to park on a public roadway or public

parking lot. • The parked vehicle must not block or impede traffic.

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If any of the above conditions are not met, the location is considered “non-serviceable for origin-to-destination service”, and the driver will render curb-to-curb service for that location. Westchester County ParaTransit Drivers will provide the following additional assistance:

• Drivers will ask the passenger, “How may I assist you?” • Drivers will accompany and assist the passenger along the entire

accessible path of travel between the bus and the building’s exterior door.

Westchester County ParaTransit drivers will not:

• Enter or unlock the door to a passenger’s private residence at any time

• Assist a passenger using a wheelchair up or down steps or curbs • Handle a service animal • Carry bags for the passenger

Westchester County ParaTransit drivers are not required to wait with passengers at their destination. Westchester County ParaTransit bus drivers are not Personal Care Attendants (PCA) and are not permitted to provide assistance beyond what is outlined in this policy. Passengers are responsible for making their own arrangements for any additional assistance needed. Passengers who have noted a Personal Care Attendant (PCA) on their original ParaTransit application know that their PCA rides free with them to provide that extra help.

ParaTransit- Public transit service for persons whose disability or disabilities preclude the use of conventional fixed route transit. When spelled as ParaTransit, it is the name of WC’s ParaTransit service. A fare is charged the passenger for the service. ParaTransit is provided by Westchester County in response to Section 504 of the Rehabilitation Act of 1973 and the Americans with Disabilities Act of 1990, as amended.

PERSONAL CARE ATTENDANT (PCA) – A Personal Care Attendant or PCA is an individual who is a necessary part of the eligible person’s mobility, thereby enabling him/her to make the trip. Persons traveling with a PCA must register that fact in advance, when applying for ParaTransit and when making a trip reservation. WCOFD may require that certain individuals travel with ‘a ‘PCA. A PCA does not pay a fare. A PCA must board and leave the vehicle at the same location as the customer.

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PROVIDER - Any agency, association, partnership, company, corporation, or combination thereof which contracts to provide some or all ParaTransit service. Also referred to herein as CONTRACTOR or CARRIER.

SAME-DAY TRIP - A trip which is requested by the customer on the same day of the trip. Same-day trips will be accommodated on a space-available basis. Same-Day trip requests are generally handled by the contractor.

SERVICE AREAS - The County is divided into two regions North and South.

SERVICE HOURS - Service hours is the time between when the vehicle leaves the garage for its first pick-up of the service day to the time it returns to the garage after completing its last drop off of the day. It excludes scheduled interruptions in service such as lunch and scheduled driver breaks.

SERVICES - The contractual responsibilities of the Contractor.

SERVED TRIP - When a customer is picked up and taken to their destination it is considered a served trip.

TRANSFER TRIP – A trip that will require going from one vehicle to another to complete the destination scheduled. Transfer trips are required when going from the South Zone and completing the destination in the North Zone and trips from the North Zone to the South Zone. STANDING ORDER OR SUBSCRIPTION TRIP - A trip which is taken by a customer at least twice per week on a regularly recurring basis. The origin, destination, pickup time, and drop-off time for each trip are the same. Customers who receive subscription service must-confirm the continuation of their standing order(s) each quarter. Those subscription trips which are not confirmed will be deleted from the schedule. All trips will be accommodated on a space-available basis.

TRIP – A single one-way ParaTransit ride from pick-up location to drop-off location for one Eligible Rider. UNSERVED TRIP - An unserved trip occurs when a customer does not take the prescheduled travel between two locations. The trip could be unserved because of a CAD, a no-show or because the vendor failed to provide it.

WCDPW/DOT - Westchester County Department of Public Works and Transportation

WCTLC- Westchester County Taxi and Limousine Commission

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WCOFD – Westchester County Office for the Disabled 8.0 Summary of Westchester County Responsibilities Westchester County shall:

1. Procure a Provider for the service area and arrange with the Provider for the delivery of Services.

2. Provide public information including distribution of ParaTransit applications.

3. Determine the eligibility of each applicant and notify each applicant of the

decision.

4. Advise each eligible individual: (a) how to make trip requests; (b) the level of service to expect; (c) rider procedures, rules and regulations; and (d) how to communicate cancellations, complaints, etc.

5. Register each eligible applicant on the ParaTransit computer system and

maintain a customer file.

6. For Monday through Friday, the County will provide to the For Hire Car Service a list of booked trips one day in advance that are to be scheduled by the For Hire Car service for next day service.

7. Reserves the option to assume the dispatching function at any time during the

course of the contract.

8. Receive and process advance cancellations and notify the Provider of advance cancellations.

9. Cause the Provider to comply with the standards and requirements regarding

vehicles that are used to provide services. This will include inspecting and maintaining vehicles under the provisions of the Westchester County Taxi and Limousine Commission. Note that WCDPW/DOT will have the right to reject or have a Provider withdraw from service any vehicle that WCDPW/DOT deems unsuitable.

10. WC DPW/DOT and WCOFD will review the credentials of any driver or other

employee involved in providing services and shall have the right to reject any driver deemed unsuitable. WC DPW/DOT also reserves the right to require a driver to attend an additional training session if, in the judgment of WC DPW/DOT staff, the additional training is needed. WC DPW/DOT reserves the right to require a driver to be removed from service.

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11. Cause the Provider to deliver service according to the service standards as specified herein.

12. Establish appropriate procedures for verifying and ensuring that any particular

passenger trip has been performed in a timely and otherwise satisfactory manner. This includes receiving passenger complaints and working with the provider in satisfactorily resolving them.

13. Be solely responsible for promptly and fully making payments to the provider for

providing services in accordance with the terms of the contract based upon the “per trip rate” structure subject to submission of supporting trip documentation and resolution of discrepancies.

14. Establish the fare for service; determine what methods of payments are

acceptable, and provide a minimum of 30 days notice to the provider of fare changes.

15. Allow and urge the Provider to exercise flexibility to adjust the trip schedules

provided to them the evening before the day of service in order to increase productivity, while maintaining a high level of service quality.

9.0 Summary of Provider Responsibilities 9.1 The Provider shall:

General 1. Receive all trip bookings (Monday through Friday) and schedule trips provided by

WCOFD the evening before or the day of service in order to increase productivity, while maintaining a high level of service quality.

2. Dispatch all trips for next day service to achieve the highest amount of

productivity and efficiency according to the terms of this contract.

3. With maximum efficiency, serve the trips that have been assigned to it by WCOFD, and perform all administrative services that support the operation, including hiring, supervising, and disciplining drivers and support staff, dispatching, service delivery - including collecting and recording fares, vehicle maintenance, documenting actual trip data, record keeping, reporting and invoicing.

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4. Comply with all Federal, State and County regulations governing the provision of

public transit services, including but not limited to operating authority, licensing, vehicle maintenance and inspection, drug testing, accounting, record keeping, etc.

5. Comply with the standards and requirements of WC/TLC regarding vehicles that are used to provide services. This includes inspecting and maintaining vehicles, providing driver training programs and monitoring for substance abuse.

Note that WC DPW/DOT and WCTLC will have the right to reject or have a Provider withdraw from service any vehicle that WC DPW/DOT deems unsuitable. 9.2 Provider Owned Vehicle Requirements

1. Each vehicle must meet the standards of all County requirements. 2. Each vehicle must be properly licensed according to County and State

requirements 3. Each vehicle must be no older than 10 years old. 4. Provide a sufficient amount of vehicles and drivers as a spare ratio

9.3 Vehicle Maintenance

Be solely responsible for maintenance of all vehicles including preventive maintenance to keep vehicles in regular and safe operating condition.

9.4 Vehicle Cleaning

All vehicles shall be cleaned daily and have exteriors which are free of grime, cracks, breaks, dents, and damaged paint that noticeably detract from the overall appearance of the vehicle. In addition, passenger compartments must be clean and free from torn upholstery or floor coverings, damaged or broken seats and protruding sharp edges.

9.5 Inspections The County reserves the right to inspect any vehicle performing services within

this contract to assure that the standards have been met to comply within this contract.

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9.6 Vehicle Licensing and Insurance

1. The Operator shall have the appropriate Business Automobile Insurance Policy (property, liability, automobile liability and comprehensive) in place in accordance with this contract.

2. The County requires that all Base stations and vehicles be licensed through

the Westchester County Taxi and Limousine Commission.

3. The provider is responsible for properly registering and insuring its own vehicles and in accordance with WCTLC rules and regulations.

4. Supply Westchester County with certificates of such insurance at execution of

the contract, and with binders of such insurance prior to the start of service. In addition, the Westchester County shall be given a minimum of thirty (30) days notice in the event of change or cancellation.

5. All insurance policies (except Workers Compensation) shall name the County

as Additional Insured. 9.7 Drivers, Driver Training and Driver Duties

1. To assure a high level of ParaTransit service, a sufficient number of qualified, responsible, courteous, and properly licensed drivers appropriate for the type of vehicle being driven. Each Provider shall provide Westchester County with the following information about each driver prior to the driver providing services under this contract: name, age, license number, and a statement showing him/her to be of good moral character, and verification that the driver has not had his/her license revoked. The following information must be submitted to Westchester County for review prior to the driver being placed in service:

• copy of recent driving abstract • copy of license • Copy of WCTLC License

Westchester County has the right to review the qualifications of proposed drivers and reject drivers who do not meet County standards. These include the requirement of a minimum of one year driving experience. In accordance with federal regulations (49 CFR 37.173) regarding paratransit service, the provider shall ensure that personnel are trained to proficiency, as appropriate to their duties, so that they operate vehicles and equipment safely

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and properly assist and treat individuals with disabilities who use the service in a respectful and courteous way, with appropriate attention to the difference among individuals with disabilities. The provider shall assure that all drivers involved in providing ParaTransit services receive adequate training to perform their duties as specified herein. Training will include, but will not be limited to the National Highway Safety Institute Defensive Driving Course or comparable (minimum of 6 hours.)

Additional training will include, but will not be limited to: • Preventing accidents • Responding to brake failure; • Responding to skids and hydro-planning; • Responding to inclement weather; and

Passenger assistance techniques

• Assisting ambulatory passengers and blind passengers in boarding

vehicles. • Procedures for evacuating the vehicle in an emergency. • Locating safe places to park to load and unload passengers; and • Seatbelt Securement

Sensitivity Training: This training will include, but will not be limited to: • Discussion of the major types of functional deficits -- loss of muscle

control, loss of speech, loss of balance, loss of limbs, breathing disabilities, pain, loss of skin sensation, loss of vision, loss of hearing, loss of hearing and vision, loss of mental functions, loss of mobility and how these functional deficits affect an individual’s ability to travel. This training will also include assisting passengers who are experiencing seizures and other medical emergencies.

• Discussion of the basic characteristics of personal assistance devices -- crutches, canes, walkers, wheelchairs, braces, prostheses and-service animals.

• General guidelines as to when and how to offer assistance. • General guidelines for handling inter-personal problems that arise on the

vehicles.

Policies and Procedures of the Curb-to-Curb Service: This training will include the following:

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• How to prepare the driver’s log. • How long the driver shall wait for a rider and what to do in the event of a

CAD or a no show. • What the fare is and when it is to be collected. • The amounts and types of assistance the driver is required to provide to riders. • Emergency reporting procedures. • The provider will maintain documentation for all training given including

dates and attendees. • The Provider will take out and maintain Worker’s Compensation,

Disability, and Unemployment or equivalent insurance on all drivers providing Services, in accordance with the laws of the State of New York as necessary.

2. Assure that all drivers arrive will arrive on time for all scheduled trips. Drivers

shall contact the dispatcher if there is an occurrence which will cause the vehicle to arrive/depart outside these time parameters.

3. Assure that drivers, in providing services, are careful, temperate, keep

vehicular speed within posted speed limits and at a speed that is appropriate to road and weather conditions present at all times, operate their vehicles with the highest degree of safety for the passengers, and otherwise obey all laws directed toward the safe operation of motor vehicles.

4. Assure that drivers are courteous at all times, exemplary in speech and action

and provide passengers with all necessary assistance in entering and exiting the vehicle. Prior to operating the vehicle after a pick-up, drivers should offer to assist passengers in securing their seat belts. Drivers may not operate the vehicle until the seat belts of all passengers are properly secured.

5. Assure that drivers, in providing services, never discipline a passenger under

any circumstances. Whenever passenger misbehavior occurs that, in the judgment of the driver, warrants further action, the driver shall submit a written report to the Provider, who, in turn, shall submit the report to WC within twenty-four hours of the incident. In addition to the report, matters requiring more immediate attention shall be called into the dispatcher, who will immediately notify WC following the process detailed herein.

6. Assure that drivers, in providing services, do not carry unauthorized

passengers, pets or cargo, distribute food, beverages or other substances to passengers or allow any other person to occupy the driver’s seat.

7. Assure that drivers, in providing services, do not eat, drink, or smoke in the

vehicle, and request riders to refrain from eating, drinking or smoking in the vehicle.

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8. Assure that drivers comply with all NYS Vehicle and Traffic laws, including

Article 33 (unattended motor vehicles). If at any time the driver must leave the vehicle, the driver shall -- before leaving the vehicle -- turn off the engine and remove the ignition key.

9. Assure that drivers, never push another vehicle with their vehicle or allow

their vehicle to be pushed by another vehicle.

10. Assure that drivers, check to ensure that all doors of the vehicle are kept

closed and locked while the vehicle is in motion.

11. Assure that all drivers never fuel a vehicle while there are passengers on

board the vehicle.

12. Assure that drivers, in providing services, never board or discharge a

passenger into a traffic lane of a street and never board or discharge passengers between double parked cars.

13. Assure that drivers, in the event-of a NSH, notify the County by listing such

NSH on its daily log as part of the report summary.

14. Assure that drivers, in the event of an accident involving a vehicle that is used

to provide services, or an incident involving a passenger, immediately notify the dispatcher. The Provider, in turn, will notify WC in accordance with the provisions herein and submit a typed report to OFD within twenty-four (24) hours of the accident.

15. Provide each driver with a copy of the route schedule daily. Provide the

driver with instructions to review schedule. This schedule must be in the driver’s possession at all times during his/her provision of services and must be in evidence during inspections. Every effort must be made to assure the confidentiality of customer information.

16. Require drivers to collect the correct fare from passenger when the

passenger boards the vehicle. A fare shall be paid each time a passenger (and companion) boards a vehicle. Drivers shall not collect the fare for the return trip as the passenger (and companion) boards the vehicle for the going trip, even if that driver is scheduled to serve that passenger’s return trip later that day. Unless instructed to the contrary by WC, a driver shall not refuse to transport any passenger and/or companion who refuses to pay the correct fare. However, each provider should immediately notify WC when there is a fare collection problem.

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17. Instruct its drivers not to solicit or accept tips from the passengers.

18. Require its drivers to document on the driver sheet -- or through-another

approved method -- the actual arrival time and departure time at each stop.

19. Require all drivers to dress professionally and carry an identification badge.

The identification badge shall have on it: the driver’s picture, name, and name of the Provider. The WCOFD reserves the right to require inappropriately attired drivers to be immediately removed from providing Services.

9.8 Dispatchers and Dispatching Duties

1. Employ a sufficient number of qualified, responsible, courteous, and properly trained dispatchers necessary to properly operate a high level of ParaTransit service. Dispatchers should fulfill dispatching duties one hour before service hours, during service hours and 1/2 hour after the last vehicle has returned to base at the end of service hours.

2. Assure that dispatchers attend the sensitivity training course, policy and

procedures training course, and computer training course prior to providing services.

3. Assure that the dispatcher’s responsibilities are dedicated exclusively to the

Westchester County ParaTransit program during his/her shift. 4. Assure that dispatchers review driver schedules prior to start of scheduled

service. 5. Assure that dispatchers monitor driver schedules during service hours.

6. Assure that dispatchers are able to contact all vehicles via a communication

system. 7. Assure that dispatchers are familiar with the computerized scheduling and

dispatching system. 8. Assure that dispatchers receive and enter immediately into the computer system

advance (prior to trip date) cancellations from the WC, and same day cancellations from the customer (on the trip date).

9. Assure that dispatchers immediately enter NSH and CAD information into

computer system when driver transmits same via radio system. 10. Assure that there are a sufficient number of dispatchers assigned to this

contract to operate a high level of ParaTransit service.

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11. Assure that dispatchers follow accident and incident reporting procedures as

outlined in this document. 12. Assure that dispatchers enter actual shift/trip/and stop data.

13. Assure that dispatchers notify passengers, at the direction of WC, of changes in

his/her schedules. 14. Assure that dispatch staff is available for training a minimum of two weeks prior

to the start of the contract or beginning an assignment as a Westchester County ParaTransit dispatcher.

9.9 Contract Manager and Other Required Staff

1. Designate a Contract Manager responsible for supervising all actions taken by the Provider pertinent to providing Services and who shall be the focal point for communication with WCOFD. At a minimum, he/she will be available during regular business hours and or/on call for operations of ParaTransit.

2. Assure that the Contract Manager responsibilities are dedicated exclusively to

the ParaTransit program during his/her shift.

3. Require the Contract Manager (or the manager’s designee) to report to WCOFD all accidents, service disruptions, and complaints.

4. Require the Contract Manager to attend all meetings of the Transportation

Subcommittee of the Westchester Council for the Disabled. The manager will also attend other meetings as requested by the WC including, but not limited to, service meetings and public hearings, inclusive of monthly TAC meetings.

5. Assure that the Contract Manager is available one month in advance of the

start of the contract or beginning an assignment as the Contract Manager so that individual can receive training.

6. Provide dispatchers and ensure that a dispatcher begins duty at least one

hour prior to the beginning of the service day and remains on duty until the last vehicle returns to the garage at the end of the service day.

7. Provide a safety director to oversee the training of staff, especially drivers;

oversee drug testing; oversee an accident review board; oversee driver compliance with all Federal and State driver regulations and respond as appropriate to accidents and investigate service issues.

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8. Provide a staff person to accept same day trip cancellations and provide other operational information to the County and customers. This person shall be available at least one hour before the start of each service day.

9. Assure that there are a sufficient number of road supervisors active and on

call at all times during ParaTransit operations to properly monitor operations.

9.10 Reporting of Accidents

The following events are considered reportable accidents regardless of severity:

• Personal injury, regardless of severity.

• A motor vehicle collision when two or more vehicles are involved.

• A motor vehicle accident when there is any destruction of public property.

• A motor vehicle accident involving a pedestrian.

Report these situations or emergencies according to the following procedures:

• Before, during or after regular business hours, the vendor must immediately contact the ParaTransit Supervisor via cell phone to report any and all accidents. The contact phone number is 914-879-8526

• Prepare and submit to the WCOFD within 24 hours of the accident a written report which describes the events surrounding the accident, lists the names of the passengers onboard the vehicle, identify which - if any - has been injured, estimates the cost of repair of physical damage, and includes photographs that show the damage to the vehicle.

• The police report shall also be sent to OFD as soon as it is received.

9.11 Reporting Incidents/Service Disruptions

The following events are considered incidents and must be reported in writing to the OFD within 24 hours of their occurrence:

• Any incident on board that results in physical contact, whether between two

passengers or between a passenger and the driver must be reported.

• Any incident where a passenger falls, whether or not injury .is reported or denied by passenger.

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• Any incident where a driver witnesses a passenger fall even if the

passenger is a distance from the vehicle.

• Service disruptions such as breakdowns, accidents, traffic, etc., that might result in pick-ups and/or drop offs being made more than 30 minutes past the scheduled time.

• A driver is unable to locate a passenger who is scheduled to be picked up

during the last hour of service.

• The vendor wants to curtail service because of weather conditions or other situations or emergencies which arise from time to time.

Report these situations or emergencies according to the following procedures:

• During or after regular business hours, the vendor must contact the ParaTransit Administrator to report incidents. The contact phone number is:

(W) 914-995-2958 (C) 914-879-8526

• Enter an incident report which describes the events surrounding the

incident, lists the passengers on the vehicle, and a description of what happened in the computer system within one hour of the incident.

9.12 Billing, Payment, Back-up Documentation and Reporting Requirements

1. Claims for payment should be submitted to the WC DPW/DOT on a monthly

basis and within 7 days after the conclusion of each month for ParaTransit services provided. Claims will be processed within 30 days of submission of complete and accurate claims.

2. Under the contract associated with this RFP, Providers will be paid for each

“Trip” except that the County will pay half of the per Trip rate established under this contract for “No-Show” (NSH) or “Cancelled-at-Door” (CAD) trips. For definitions of Trip, No-Show and Cancelled-at-Door trips, see Section III, 7.0 (Definitions).

3. All cash fares collected by the Provider will be retained by the Provider; for

tickets collected from customers, the Provider shall forward the tickets to the County and the County will pay the Provider for those tickets.

4. A complete monthly claim for payment will consist of the following items:

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• A “Monthly Statistical and Reimbursement Report” • A Period Recap Report (PRR) for each day of the month

detailing the following:

- Number of trips (provided, No-Shows, CADs) - Number of companions - Number of attendants - Amount of cash collected - Number of tickets collected - Number of transfers from fixed-route bus - Number of ParaTransit transfers (at White Plains

TransCenter/at Tarrytown RR Station)

• A “Monthly ParaTransit Section 15 NTD (National Transportation Data) Employee Report”

• All ParaTransit tickets collected during the month should also be submitted with the claim.

Claim procedures are subject to modification. Westchester County will make other adjustments to the claim for such items when reviewed.

5. The Provider is required to sign-up for participation in the County’s electronic

transfer of funds payment program.

6. Drivers logs will be preprinted with the following information to be completed by

the driver:

o Arrival time of each pick up o Time of drop off for each trip o Starting mileage and ending mileage o Type of fare collected from each passenger and companion o Trip status information (i.e. provided, NSH, CAD) o Vehicle number

7. All monthly completed drivers logs must be kept by the Provider in a safe and

stored area, but are available for back up and inspection by WC DPW/DOT. These driver sheets will be kept by the Provider for a period not to exceed a period of three (3) years, and thereafter will be delivered to the County and the County will retain records for storage.

8. Upon request, provide detailed operating and financial information that may be

required for State, Federal and County reporting.

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9.13 Right of Entrance upon the Provider’s Property/Vehicle Inspections

The contractor shall permit and allow any and all duly authorized WC employees or representatives to enter upon any part of a Provider’s facilities, or vehicles for the purpose of inspecting facilities and equipment, inspecting and/or auditing books and records, and for other matters relevant to the project upon sufficient notice by WC of its intent to make such entry. NO notice shall be required for vehicle on-road inspections to be conducted by WC. Each Provider shall instruct its drivers to allow WC personnel to have right of entry on vehicles upon display of proper identification.

9.14 Substance Abuse Program

The contractor shall: • Adopt and distribute to “affected” employees an approved substance

abuse policy that is compliant with US DOT’s Omnibus Transportation Employees Testing Act. Substance abuse includes abuse of drugs and alcohol. For the purposes of this Agreement, “affected” employees are defined as employees who are in safety-sensitive positions, including, but not limited to, drivers, maintenance personnel, schedulers, dispatchers, and their supervisors.

• Maintain a current list of all affected employees. The Provider must submit

this list to WCOFD.

• Notify WCOFD of all persons seeking to be hired or transferred into safety sensitive positions. Such individuals may not assume their duties until a pre-employment drug test has been verified negative.

• Cooperate with WCOFD in making its affected employees available for

pre-employment, random, reasonable suspicion, post-accident, and return-to-duty/follow-up drug testing, and must agree not to allow individuals failing such tests to perform in safety-sensitive positions except as permitted by law.

• Random drug testing is to be carried out at a rate that tests the equivalent

of half the covered workforce each year.

• Require affected employees to sign a release allowing positive test results to be made available to WCOFD.

• Submit certification of compliance with Federal drug testing regulations as

requested by the WCOFD. The form of the certification shall comply with the Federal regulations.

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9.15 Fair Employment Practices

• The provider shall not discriminate against any employee or applicant for employment because of race; creed, color, sex, disability, religion, Vietnam-era veteran status or national origin. The Provider will take affirmative action to assure that applicants employed are treated equally regardless of race, creed, color, sex, disability, Vietnam-era veteran status 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 Provider agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this non-discrimination clause.

• In all solicitations or advertisements for employees placed by or on behalf

the Provider, state that all qualified applicants will receive consideration for employment without regard to race, religion, color, sex, disability, Vietnam-era veteran status or national origin.

• Send to each labor union or representative of workers with which he has a

collective bargaining agreement or other contract or understanding pursuant to this contract, a notice to be provided advising the said labor union or workers’ representatives of the Provider’s commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.

• Comply with all provisions of Executive Order 11246 of September 23,

1965, and/or rules, regulations, and relevant orders of the United States Secretary of Labor as amended.

• Permit access to books, records, and accounts by the administering

agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders pertaining to fair employment practices.

• Keep on file written personnel procedures, which shall include provisions

for familiarizing employees with statutes, rules, and regulations concerning confidentiality, affirmative action, and nondiscrimination in service delivery and employment as set forth herein.

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9.16 Minority Business Participation

The contractor shall be required to complete the disadvantaged or women-owned business enterprises are those described in Form (MBE/WBE questionnaire.).

10.0 Performance Measures

WCOFD will monitor the quality of service by the contractor. The service performance measures will include:

Valid Complaint Frequency (VCFR) - Comments received from the public or riders defined as complaints when they concern issues other than those relating to on-time performance. These would include comments relating to driver rudeness, jack-rabbit starts, vehicle safety issues, vehicle cleanliness, wheelchair handling and securement, etc. in the event that there is a dispute between the Provider and WCOFD as to what is a valid complaint, the good faith determination of the Director is final. Percent Late Trips (PLT) - A trip will be contractually defined as being late if (a) it is a going trip and the passenger is dropped-off more than 15 minutes beyond the scheduled drop-off time: (b) it is a return trip, and the Provider arrives at the pick-up point more than 15 minutes beyond the scheduled pick-up time. (Note that in these cases, stop arrival and departure times will be recorded.)

In addition, the extent to which a Provider is late for any particular trip (see table below) will govern whether a Provider will be paid for the trip and how much they will be paid (or paid at a reduced rate due to the assessment of liquidated damages). Lateness caused by weather conditions or other Acts of God will not be counted nor will the vendor be fined in this circumstance.

Minutes Late Liquidated Damages 30 - 45 min $ 100.00 46 – 60 min. $ 150.00 over 60 min. $ 200.00

Average Lateness (AL) of Late Trips - This is the degree to which late trips were late. Note a trip is not late until 16 minutes after the scheduled drop-off/pick-up as stipulated above. They do not include trips that are late for reasons beyond the control of the provider such as severely inclement weather and road congestion induced delays.

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Percent Missed Trips (PMT) - These are the trips that are not served due to the fault of the Provider. They do not include missed trips that are beyond the control of the Provider, such as severely inclement weather. Accident Frequency Rate (AFR) - Where accidents are defined as preventable accidents. A Provider’s AFR will be measured in number of accidents per million vehicle miles (A/MVM). In the event of a dispute between the Provider and WCDOT as to which incidents are preventable accidents, the good faith determination of the Commissioner is final.

Thresholds for acceptable service performances are identified below. When a

provider exceeds these thresholds, it is performing poorly.

Service Performance Measures Thresholds Valid Complaint Frequency Rate (VCRR)

3 Complaint/1000 Trips

Percent Late Trips (PLT) 10% Average Lateness (AL) 20 minutes Percent Missed Trips (PMT) 1 Accident Frequency Rate (AFR) 20 A/MVM

The purpose of the service performance measures is to insure that high quality ParaTransit services are provided to paratransit customers. Therefore the County reserves the right to change the performance standards by up to 30% during each contract period. If and when performance standards are enhanced, the Provider would be given sixty days notice prior to a change.

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SECTION IV

COST PROPOSAL/FORMS 1.0 Prices Required & Related Information

Proposers shall submit a price per Trip (“Trip” defined below).

TRIP – A single one-way ParaTransit ride from pick-up location to drop-off location for one Eligible Rider.

The Provider will be paid for each “Trip” except that the County will pay half of the per Trip rate established under the contract associated with this RFP for “No-Show” or “Cancelled-at-Door” trips. See Section III, 7.0 (Definitions). For all No-Show and Cancelled-at-Door trips, the driver must note a “Point of Site” (POS) on the Driver Log, i.e., note a landmark as proof of arrival. The prices offered will be entered on the Price Offer Forms attached hereto.

2.0 Selection Investigation Criteria

The County may make such investigation as it deems necessary to determine the ability of the proposer to perform the work, and the proposer shall furnish all information and data for this purpose as may be requested. WC reserves the right to reject any proposal if the evidence submitted by, or the investigation of such proposer fails to satisfy WC that he is properly qualified to carry out the obligations of the contract and to complete the contemplated work.

3.0 Criteria for Disqualification

• Failure to properly complete all forms.

• Failure to have a minimum of 3 years experience providing demand responsive service (i.e. service which is scheduled less than 24 hours in advance including a minimum of ten vehicles in service on a weekday) or a minimum of 3years providing public transit service.

• Failure to submit a drug and alcohol testing plan or which submit one that

does not comply with the Omnibus Transportation Employee Testing Act of 1991 and specifically 49 CFR part 653, 49 CFR part 654 and 49 CFR part 40 (as amended).

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FORM IV-1A

PRICE OFFER FORM

NORTH ZONE Please provide pricing for Innnovative For Hire Car Service rides originating within and ending within the North Zone, Each eligible Bee-Line ParaTransit passenger will be required to pay $4.00 per ride and the County will contribute the balance of the fare. Please provide a per ride price below designating the County’s portion of the fare for NORTH ZONE Rides: Estimated

# of Trips Total

1. For CONTRACT TERM (estimated to start August 1, 2013 – December 31, 2014)

Eligible Bee-Line ParaTransit passenger portion of fare per ride

$4.00

County’s portion of fare per ride $_________ x 28,474 = _________ 2. For OPTION YEAR of Contract (Year 2015)

Eligible Bee-Line ParaTransit passenger portion of fare per ride

$4.00

County’s portion of fare per ride $_________ x 22,501 = _________ Total County share of fares for North Zone

__________

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FORM IV-1B PRICE OFFER FORM

SOUTH ZONE

Please provide pricing for Innovative For Hire Car Service rides originating within and ending within the South Zone, Each eligible Bee-Line ParaTransit passenger will be required to pay $4.00 per ride and the County will contribute the balance of the fare. Please provide a per ride price below designating the County’s portion of the fare for SOUTH ZONE Rides: Estimated

# of Trips Total

1. For CONTRACT TERM (estimated to start August 1, 2013 – December 31, 2014)

Eligible Bee-Line ParaTransit passenger portion of fare per ride

$4.00

County’s portion of fare per ride $_________ x 66,074 = __________ 2. For OPTION YEAR of Contract (Year 2015)

Eligible Bee-Line ParaTransit passenger portion of fare per ride

$4.00

County’s portion of fare per ride $_________ x 52,214 = _________

Total County share of fares for South Zone

_________

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FORM IV-1C

PRICE OFFER FORM Total County share for North Zone (from Form IV-1A) ___________ Total County share for South Zone (from Form IV-1B) ___________ Grand Total ________________

NOTES:

1. Westchester County will be divided into two zones for this RFP; North and South. The boundary between North County - Zone N and South County - Zone S is the corridor of Interstate 287, with the exception of straight trips originating in the South Zone to the Westchester Medical Center located in Valhalla, New York.-these trips, although crossing from the South Zone to the North Zone will be paid at the South Zone trip rate; any other trips crossing the boundary will require a transfer and the For Hire Car Service will receive both the North Zone rate and the South Zone rate.

2. The County shall pay half of the County portion of the fare under this contract for

properly documented “No-Show” and Cancelled Door” trips.

3. Nothing contained herein shall be construed to limit the right of the County to utilize other transportation providers to provide these services, it being the intent of the County to award a non-exclusive contract. The estimated number of trips is not a guarantee of any minimum amount of work to be provided hereunder.

4. Based on past ridership history, the County expects the trip numbers to increase annually

by 1 to 3% per year, which projection has been included in the estimated number of trips.

5. It should be noted that fare paying passengers include both Eligible Riders and

Companions. See Section III, 7.0 (Definitions). However, for the per Trip rate that the Provider will be paid by the County, the Provider will be paid for Eligible Riders only and not companions (Provider is to collect only the $4.00 fare from Companions.)

Offer: I certify that I understand and will abide by the terms and conditions of this RFP and the prices are firm for 60 days from the opening date of the RFP. Authorized Official Name of Firm

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FORM IV-2

AFFIRMATION Date: I, , of

NAME TITLE COMPANY affirm the following to be true. The information contained in this submission is accurate and complete as of the date of submission.

The willing to comply with contractual requirements (responding organization) pertaining to equal employment opportunity and fair employment practices.

The has (or can demonstrate the ability to obtain) (responding organization) all necessary permits, authorities to carry disabled and fare-paying passengers in Westchester County, and between Westchester County, the Bronx, and Putnam County including Common Carrier authority obtained from the State of New York and Westchester County TLC licensing.

I, , have read and understand the service specifications contained in this RFP and will inform the drivers, dispatchers, and other parties within the organization of their responsibilities upon contract award and prior to the start of service.

__________________________________ (Signature) __________________________________ (Name, Title – Printed) __________________________________

(Witness)

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FORM IV-3 PROVIDER'S ACKNOWLEDGMENT

(Corporation) STATE OF NEW YORK ) ss: COUNTY OF WESTCHESTER ) On this day of , 2013, before me personally came to me known, and known to me to be the of the corporation described in and which executed within instrument, who being by me duly sworn did depose and say that the said , resides at and that he is of said corporation; that the seal affixed to the within instrument is such corporate seal and that it was so affixed by order of the Board of Directors of said corporation, and that he signed his name thereto by like order.

Notary Public

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FORM IV-4

CERTIFICATE OF AUTHORITY (Provider)

I, , certify that I am the (Officer other than officer signing agreement) (Title) of the the “Provider”), a corporation (Name of Provider) duly organized and in good standing under the LAW UNDER WHICH ORGANIZED, E.G., THE NEW YORK BUSINESS CORPORATION LAW) the foregoing agreement; that (Person executing agreement) who signed said agreement on behalf of the Provider was at the time of execution of the Provider that said agreement was duly (Title of such person) signed for and in behalf of said Provider by authority of its Board of Directors, thereunto duly authorized, and that such authority is in full force and effect at the date hereof.

(Signature)

STATE OF NEW YORK ) ss.: COUNTY OF ) On this day of , 2013, before me personally came to me known, and known to me to be the of the said corporation, that the seal (Title) affixed to the above certificate is such corporate seal and that it was so affixed by order of the Board of Directors of said corporation, and that he signed his name thereto by like order. ______________________________

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FORM IV-5 AFFIRMATIVE ACTION PLAN REQUIREMENT

Affirmative Action Plan An approved Affirmative Action Plan shall be required in all contracts where the actual

contract amount - as awarded - exceeds $50,000.00.

Regardless of the foregoing an approved Affirmative Action Plan is suggested, not

required, of a Provider where the total number of persons employed by such contractor

is 14 or fewer.

Does your firm participate in an approved Affirmative Action Plan? If YES, give name of Plan: An approved Affirmative Action Plan means a plan approved or adopted by Westchester

County including but not limited to the Westchester-Putnam Affirmative Action Plan, the

Recruitment Training Program or any other affirmative action plan meeting the

requirements of the State or federal government.

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FORM IV-6 Criminal Disclosure Requirements

CRIMINAL BACKGROUND DISCLOSURE

INSTRUCTIONS –

TO BE COMPLETED ONLY BY SUCCESSFUL PROPOSER Pursuant to Executive Order 1-2008, the County is required to maintain a record of criminal background disclosure from all persons providing work or services in connection with any County contract, including leases of County-owned real property and licenses:

a.) If any of the persons providing work or services to the County in relation to a County contract are not subject to constant monitoring by County staff while performing tasks and/or while such persons are present on County property pursuant to the County contract; and

b.) If any of the persons providing work or services to the County in relation to a County contract may, in the course of providing those services, have access to sensitive data (for example SSNs and other personal/secure data); facilities (secure facilities and/or communication equipment); and/or vulnerable populations (for example, children, seniors, and the infirm).

In those situations, the persons who must provide a criminal background disclosure (“Persons Subject to Disclosure”) include the following:

a.) Consultants, Contractors, Licensees, Lessees of County-owned real property, their principals, agents, employees, volunteers or any other person acting on behalf of said Contractor, Consultant, Licensee, or Lessee who is at least sixteen (16) years old, including but not limited to Subconsultants, subcontractors, Sublessess, or Sublicensees who are providing services to the County, and

b.) Any family member or other person, who is at least sixteen (16) years old, residing in the household of a County employee who lives in housing provided by the County located on County property.

Under Executive Order 1-2008, it is the duty of every County Consultant, Contractor, Licensee, or Lessee to inquire of each and every Person Subject to Disclosure and disclose whether they have been convicted of a crime or whether they are subject to pending criminal charges, and to submit this form with that information.1 Accordingly, you are required to complete the attached Criminal Background Disclosure Form and Certification.

1 For these disclosures, a “crime” or “pending criminal charge” includes all felonies and misdemeanors as defined under the New York State Penal Law or the equivalent under Federal law or the laws of any other State.

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Please note that under no circumstances shall the existence of a language barrier serve as a basis for the waiver of or an exception from the disclosure requirements of Executive Order 1-2008. If translation services are required by the Consultant, Contractor, Licensee, or Lessee to fulfill this obligation, it shall be at the sole cost and expense of the Consultant, Contractor, Licensee, or Lessee. Please also note that the conviction of a crime(s) and/or being subject to a pending criminal charge(s) will not automatically result in a denial of a person’s right to work on a County contract, right to be on County property, or license, but may, if the County determines that the prior conviction(s) or pending criminal charge(s) create an unacceptable risk. However, if a person fails to list or falsifies any part of his/her conviction history or any pending criminal charge(s) for any reason, he/she may be prohibited from working or being on County property without any risk assessment. If it is later determined that a Person Subject to Disclosure failed to disclose a criminal conviction or pending criminal charge for any reason, his/her right to work on a County contract, be on County property, or license may be terminated at any time. Please further note that, pursuant to Executive Order 1-2008, and subject to the applicable provisions of New York Correction Law §§ 752 and 753, the County has the right to bar a Person Subject to Disclosure from providing work or services to the County or from being on County property if any such person has:

a.) A conviction of a crime(s); b.) A pending criminal proceeding for a crime(s); or c.) Refused to answer questions concerning his/her criminal background

Please finally note that any failure by a County Consultant, Contractor, Licensee, or Lessee to comply with the disclosure requirements of Executive Order 1–2008 may be considered by the County to be a material breach and shall be grounds for immediate termination by the County of the related County contract. Exemptions Executive Order 1-2008 exempts from the aforementioned disclosure requirements Persons Subject to Disclosure:

a.) for whom the County has already conducted a background check and issued a security clearance that is in full force and effect; and

b.) for whom another state or federal agency having appropriate jurisdiction has conducted a security and/or background clearance or has implemented other protocols or criteria for this purpose that apply to the subject matter of a County contract that is in full force and effect.

If you are claiming an exemption for one or more Persons Subject to Disclosure, you

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must notify the Procuring Officer2. The Procuring Officer will then determine whether the Person(s) Subject to Disclosure are actually exempt, and provide written notification of his/her determination. If the Procuring Officer determines that a Person Subject to Disclosure is not exempt, the Procuring Officer will notify you of that determination, and you will have to include disclosures for that person on your Criminal Background Disclosure Form and Certification.

2 Procuring Officer” shall mean the head of the department or the individual or individuals authorized by the head(s) of the department(s) undertaking the procurement and with respect to those matters delegated to the Bureau of Purchase and Supply pursuant to Section 161.11(a) of the Laws of Westchester County, the Purchasing Agent.

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Subconsultants, Subcontractors, Sublessees, or Sublicensees Under Executive Order 1-2008, it is your duty to ensure that any and all approved subconsultants, subcontractors, sublessees, or sublicensees complete and submit the attached Criminal Background Disclosure Form and Certification for all of their respective Persons Subject to Disclosure. This must be done before such a subconsultant, subcontractor, sublessees, or sublicensees can be approved to perform work on a contract. New Persons Subject to Disclosure Under Executive Order 1-2008, you have a CONTINUING OBLIGATION to maintain the accuracy of the Criminal Background Disclosure Form and Certification (and any accompanying documentation) for the duration of this contract, including any amendments or extensions thereto. Accordingly, it is your duty to complete and submit an updated Criminal Background Disclosure Form and Certification whenever there is a new Person Subject to Disclosure for this contract. NO NEW PERSON SUBJECT TO DISCLOSURE SHALL PERFORM WORK OR SERVICES OR ENTER ONTO COUNTY PREMISES UNTIL THE UPDATED CRIMINAL BACKGROUND DISCLOSURE FORM AND CERTIFICATION IS FILED WITH THE PROCURING OFFICER. You shall also provide the County with any other updates that may be necessary to comply with the disclosures required by Executive Order 1-2008. ____________________________________________________________ PLEASE CONTINUE TO THE Criminal Background Disclosure Form and Certification BEGINNING ON THE NEXT PAGE

Contract #: __________________________________ Name of Consultant, Contractor, Lessee, or Licensee: __________________________________

CRIMINAL BACKGROUND DISCLOSURE FORM AND CERTIFICATION

If this form is being completed by a subconsultant, subcontractor, sublessee, or sublicensee, please consider all references in this form to “consultant, contractor, lessee, or licensee” to mean “subconsultant, subcontractor, sublessee, or sublicensee” and check here: ____________________ I, _______________________________________________, certify that I am a (Name of Person Signing Below) principal or a representative of the Consultant, Contractor, Lessee, or Licensee and I am authorized to complete and execute this Criminal Background Disclosure Form and Certification. I certify that I have asked each Person Subject to Disclosure the following questions:

• Have you or your company ever been convicted of a crime (all felonies and misdemeanors as defined under the New York State Penal Law or the equivalent under Federal law or the laws of any other State) including, but not limited to, conviction for commission of fraud, embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements or receiving stolen property?

• Are you or your company subject to any pending criminal charges (all

felonies and misdemeanors as defined under the New York State Penal Law or the equivalent under Federal law or the laws of any other State)?

I certify that the names and titles of Persons Subject to Disclosure who refused to answer either of the questions above are: 1. ________________________________________________________________ 2. ________________________________________________________________ 3. ________________________________________________________________ 4. ________________________________________________________________ 5. ________________________________________________________________ (If more space is needed, please attach separate pages labeled “REFUSED to Answer - Continued.”)

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I certify that the names and titles of Persons Subject to Disclosure who answered “Yes” to either of the questions above are: 1. ________________________________________________________________ 2. ________________________________________________________________ 3. ________________________________________________________________ 4. ________________________________________________________________ 5. ________________________________________________________________ (If more space is needed, please attach separate pages labeled “YES Answers - Continued.”) Each Person Subject to Disclosure listed above who has either been convicted of a crime(s) and/or is subject to a pending criminal charge(s) must answer additional questions. Those questions are below. A Person Subject to Disclosure who has been convicted of a crime(s) must respond to the following (please attach separate pages with responses for each person, with their name and title):

1.) Describe the reason for being on County property if applicable, identify the specific duties and responsibilities on this project which you intend to perform for the County, including but not limited to, access to sensitive data and facilities and access to vulnerable populations.

2.) Please list all criminal convictions along with a brief description of the crime(s) (including all felonies and misdemeanors as defined under the New York State Penal Law or the equivalent under Federal law or the laws of any other State).

3.) Please provide the date and place of each conviction. 4.) Please provide your age at the time of each crime for which you were

convicted. 5.) Please provide the legal disposition of each case. 6.) Please provide any information either produced by yourself or someone on

your behalf in regards to your rehabilitation and good conduct. A Person Subject to Disclosure who is subject to a pending criminal charge(s) must respond to the following (please attach separate pages with responses for each person, with their name and title):

1.) Describe the reason for being on County property and if applicable, identify the specific duties and responsibilities on this project which you intend to perform for the County, including but not limited to, access to sensitive data and facilities and access to vulnerable populations.

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2.) Please identify all pending criminal charges (all felonies and misdemeanors as defined under the New York State Penal Law or the equivalent under Federal law or the laws of any other State).

3.) Please briefly describe the nature of the pending charges and the date upon which it is alleged that a crime was committed.

I hereby certify that all of the information provided herein (and in any and all attachments) is true and accurate and that all disclosures required by Executive Order 1-2008 and this Criminal Background Disclosure Form and Certification have been completed. By my signature below, I hereby affirm that all of the facts, statements and answers contained herein (and in any and all attachments) are true and correct. I understand that providing false or incomplete information or withholding by omission or intention pertinent information will be cause for refusing further consideration of my being utilized under this contract. It is understood and agreed that no Person Subject to Disclosure shall perform work or services or enter onto County property until this required Criminal Background Disclosure Form and Certification is filed with the Procuring Officer. It is understood and agreed that to the extent that new Persons Subject to Disclosure are proposed to perform work or provide services under this contract after filing of this Criminal Background Disclosure Form and Certification with the Procuring Officer, such new Persons Subject to Disclosure shall not perform work or provide services or enter into County property until an updated Criminal Background Disclosure Form and Certification has been filed with the Procuring Officer. It is further understood and agreed that the consultant, contractor, lessee, or licensee has a continuing obligation to maintain the accuracy of the Criminal Background Disclosure Form and Certification for the duration of this contract, including any amendments or extensions thereto, and shall provide any updates to the information to the County as necessary to comply with the requirements of Executive Order 1-2008. _________________________________________ Name: _____________________________ Title: _____________________________ Date: _____________________________ __________________________________ ___________________ Notary Public Date

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FORM IV-7 CERTIFICATION REGARDING BUSINESS DEALINGS

WITH NORTHERN IRELAND

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

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

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FORM IV-8 QUESTIONNAIRE REGARDING BUSINESS ENTERPRISES

OWNED AND CONTROLLED BY PERSONS OF COLOR OR WOMEN As part of the County's program to encourage the meaningful and significant participation of business enterprises owned and controlled by persons of color or women in County contracts, and in furtherance of Local Law No. 27-1997 we request that you answer the questions listed below. The term persons of color means a United States citizen or permanent resident alien who is and can demonstrate membership of one of the following groups: (a) Black persons having origins in any of the Black African racial groups; (b) Hispanic persons of Mexican, Puerto Rican, Dominican, Cuban, Central or South American descent of either Indian or Hispanic origin regardless of race; (c) Native American or Alaskan native persons having origins in any of the original peoples of North American; or (d) Asian or Pacific Islander persons having origins in any of the Far East countries, South East Asia, the Indian sub-continent or the Pacific Islands. An enterprise owned and controlled by persons of color or women means a business enterprise including a sole proprietorship, limited liability partnership, partnership, limited liability corporation or corporation that is (a.) at least 51 % owned by one or more persons of color or women; (b.) an enterprise in which such ownership by persons of color or women is real, substantial and continuing; (c.) an enterprise in which such ownership interest by persons of color or women has and exercises the authority to control and operate, independently, the day-to-day business decisions of the enterprise; and (d.) an enterprise authorized to do business in this state which is independently owned and operated. In addition, a business enterprise owned and controlled by persons of color or women shall be deemed to include any business enterprise certified as an MBE or WBE pursuant to Article 15-a of the New York State Executive Law and implementing regulations, 9 NYCRR subtitle N Part 540 et seq., or as a small disadvantaged business concern pursuant to the Small Business Act, 15 U.S.C. 631 et seq., and the relevant provisions of the Code of Federal Regulations as amended. 1. Are you a business enterprise which is owned and controlled by persons of color or women in accordance with the standards listed above? ________ No ________ Yes (as a business owned and controlled by persons of color) ________ Yes (as a business owned and controlled by women) 2. If you are business owned and controlled by persons of color, please specify the minority classifications which apply:

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3. Are you certified with the State of New York as a minority business enterprise (“MBE”) or a women owned business enterprise (“WBE”)? ________ No ________ Yes (as a MBE) ________ Yes (as a WBE) 4. If you are certified with the State of New York as an MBE, please specify the minority classifications which apply: 5. Are you certified with the Federal Government as a small disadvantaged business concern?

________ No ________ Yes

Name of Firm/Business Enterprise: Address: Name/Title of Person Completing MBE/WBE Questionnaire: Signature:

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FORM IV-9

ENROLLMENT IN A QUALIFIED TRANSPORTATION FRINGE PROGRAM

Pursuant to Executive Order 7-2005, each contractor, concessionaire, or vendor (“Contractor”) doing business with the County must enroll in a Qualified Transportation Fringe program, as defined in §132(f)(1) of the Internal Revenue Code, (“QTFP”) when:

1.) the County is committed to pay over to the Contractor funds for services which are to be provided to or on behalf of the County, the total value of which is at least $100,000 in any twelve month period during the contract term, and

2.) the Contractor employs more than 25 individuals who utilize public transportation and/or pay for commuter parking at least one day per week, regardless of whether those employees are engaged in work pursuant to the County contract.

Accordingly, each Contractor must complete this form concerning its enrollment in a QTFP.______________________________________________________________________________ I certify that, under Executive Order 7-2005, _______________________________________: (Name of Contractor) (please check off only one option) _____ is required to be enrolled in a QTFP and: _____ is enrolled in a QTFP _____ has initiated the process of enrolling in a QTFP3 _____ is requesting a waiver from compliance with Executive Order 7-2005 because: (please check off only one option and attach a detailed explanation)

_____ the Contractor has an inability to comply _____ hardship would result from compliance

(please check off all that apply) _____ is not required to be enrolled in a QTFP because: _____ the total value of this contract is less than $100,000 for any twelve month period during the contract term. _____ the Contractor employs 25 or fewer individuals who utilize public transportation and/or pay for commuter parking at least one day per week, regardless of whether those employees are engaged in work pursuant to the contract. Signature:________________________________ Name: __________________________________________ Title: ____________________________________________ Date: ___________________________________________

3 Pursuant to Executive Order 7-2005, the contractor shall notify, in writing, the appropriate personnel in the County department charged with administration of the contract, upon the commencement of its participation in a QTFP. ——————————————————————————————————————————————

FOR COUNTY USE ONLY

Waiver is: _____ Approved ________________________________ _____________ _____ Disapproved Commissioner or Department Head Date

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FORM IV-10

Contract #: __________________________________

Name of Contractor: __________________________________

REQUIRED DISCLOSURE OF RELATIONSHIPS TO COUNTY

A potential County contractor must complete this form as part of the proposed County contract.

1.) Are any of the employees that the Contractor will use to carry out this contract also a County officer or employee, or the spouse, child, or dependent of a County officer or employee?

Yes ______ No ______

If yes, please provide details (attach extra pages, if necessary): ____________________________________________________________________________________________________________________________________________

2.) Are any of the owners of the Contractor or their spouses a County officer or employee?

Yes ______ No ______

If yes, please provide details (attach extra pages, if necessary): ______________________________________________________________________ ______________________________________________________________________ 3.) Do any County officers or employees have an interest4 in the Contractor or in any approved subcontractor that will be used for this contract?

Yes ______ No ______

4 “Interest” means a direct or indirect pecuniary or material benefit accruing to a County officer or employee, his/her spouse,

child or dependent, whether as the result of a contract with the County or otherwise. For the purpose of this form, a County

officer or employee shall be deemed to have an "interest" in the contract of:

1.) His/her spouse, children and dependents, except a contract of employment with the County; 2.) A firm, partnership or association of which such officer or employee is a member or employee; 3.) A corporation of which such officer or employee is an officer, director or employee; and 4.) A corporation of which more than five (5) percent of the outstanding capital stock is owned by any of the aforesaid parties.

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If yes, please provide details (attach extra pages, if necessary): _____________________________________________________________________ ______________________________________________________________________

By signing below, I hereby certify that I am authorized to complete this form for the Contractor. Name: _________________________________________ Title: _______________________

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APPENDIX “A”

STANDARD INSURANCE PROVISIONS

(Contractor) 1. Prior to commencing work, the Contractor shall obtain at its own cost and expense the required insurance from insurance companies licensed in the State of New York, carrying a Best's financial rating of A or better, and shall provide evidence of such insurance to the County of Westchester, as may be required and approved by the Director of Risk Management of the County. The policies or certificates thereof shall provide that thirty days prior to cancellation or material change in the policy, notices of same shall be given to the Director of Risk Management of the County of Westchester by registered mail, return receipt requested, for all of the following stated insurance policies. All notices shall name the Contractor and identify the Agreement. If at any time any of the policies required herein shall be or become unsatisfactory to the County, as to form or substance, or if a company issuing any such policy shall be or become unsatisfactory to the County, the Contractor shall upon notice to that effect from the County, promptly obtain a new policy, submit the same to the Department of Risk Management of the County of Westchester for approval and submit a certificate thereof. Upon failure of the Contractor to furnish, deliver and maintain such insurance, the Agreement, at the election of the County, may be declared suspended, discontinued or terminated. Failure of the Contractor to take out, maintain, or the taking out or maintenance of any required insurance, shall not relieve the Contractor from any liability under the Agreement, nor shall the insurance requirements be construed to conflict with or otherwise limit the contractual obligations of the Contractor concerning indemnification. All property losses shall be made payable to and adjusted with the County. In the event that claims, for which the County may be liable, in excess of the insured amounts provided herein are filed by reason of Contractor’s negligent acts or omissions under the Agreement or by virtue of the provisions of the labor law or other statute or any other reason, the amount of excess of such claims or any portion thereof, may be withheld from payment due or to become due the Contractor until such time as the Contractor shall furnish such additional security covering such claims in form satisfactory to the County of Westchester. 2. The Contractor shall provide proof of the following coverage (if additional coverage is required for a specific agreement, those requirements will be described in the "Special Conditions" of the contract specifications): (a) Workers' Compensation. Certificate form C-105.2 or State Fund Insurance Company form U-26.3 is required for proof of compliance with the New York State Workers' Compensation Law. State Workers' Compensation Board form DB-120.1 is required for proof of compliance with the New York State Disability Benefits Law. Location of operation shall be "All locations in Westchester County, New York."

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Where an applicant claims to not be required to carry either a Workers' Compensation Policy or Disability Benefits Policy, or both, the employer must complete NYS form CE-200, available to download at: http://www.wcb.ny.gov/. If the employer is self-insured for Workers’ Compensation, he/she should present a certificate from the New York State Worker's Compensation Board evidencing that fact (Either SI-12, Certificate of Workers’ Compensation Self-Insurance, or GSI-105.2, Certificate of Participation in Workers’ Compensation Group Self-Insurance).

(b) Employer's Liability with minimum limit of $100,000. (c) Commercial General Liability Insurance with a minimum limit of liability per occurrence of $1,000,000 for bodily injury and $100,000 for property damage or a combined single limit of $1,000,000 (c.s.1), naming the County of Westchester as an additional insured. This insurance shall include the following coverages: (i) Premises - Operations. (ii) Broad Form Contractual. (iii) Independent Contractor and Sub-Contractor. (iv) Products and Completed Operations. All Contracts involving the use of explosives and demolition shall provide the above coverage with elimination of the XCU exclusion from the policy, or proof that XCU is covered. (d) Automobile Liability Insurance with a minimum limit of liability per occurrence of $1,000,000 for bodily injury and a minimum limit of $100,000 per occurrence for property damage or a combined single limit of $1,000,000 unless otherwise indicated in the contract specifications. This insurance shall include for bodily injury and property damage the following coverages: (i) Owned automobiles. (ii) Hired automobiles. (iii) Non-owned automobiles. 3. All policies of the Contractor shall be endorsed to contain the following clauses: (a) Insurers shall have no right to recovery or subrogation against the County of Westchester (including its employees and other agents and agencies), it being the intention of the parties that the insurance policies so effected shall protect both parties and be primary coverage for any and all losses covered by the above-described insurance. (b) The clause "other insurance provisions" in a policy in which the County of Westchester is named as an insured, shall not apply to the County of Westchester.

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(c) The insurance companies issuing the policy or policies shall have no recourse against the County of Westchester (including its agents and agencies as aforesaid) for payment of any premiums or for assessments under any form of policy. (d) Any and all deductibles in the above described insurance policies shall be assumed by and be for the account of, and at the sole risk of, the Contractor.

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APPENDIX “B” OPERATING AGREEMENT

THIS AGREEMENT made this ___ day of_____, 2013 by and between: THE COUNTY OF WESTCHESTER, a municipal corporation of the State of New York, having an office and place of business in the Michaelian Office Building, 148 Martine Avenue, White Plains, New York, 10601 (hereinafter referred to as the “County”) acting by and through its Dept. of Public Works and Transportation having an office and place of business at 148 Martine Avenue, White Plains, New York 10601

(hereinafter referred to as the “County”) _________________________________________________., a corporation having an office and place of business at ___________________________________________________________ (hereinafter referred to as the “Operator”)

WITNESSETH: WHEREAS, the County issued a Request for Proposals entitled “Countywide Bee-Line ParaTransit Innovative For Hire Car Services” seeking proposals for curb to curb paratransit services within the County to a certain portion of disabled individuals (hereinafter “riders”) in accordance with applicable federal, state and local laws, rules and regulations; and WHEREAS, the Operator, being the successful proposer, desires to provide such paratransit services. NOW, THEREFORE, the parties hereto in consideration of the terms, conditions and covenants hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES: The Operator shall perform those services as described and as more fully set forth in Schedule “A” (RFP and Operator proposal), which is attached hereto and made a part hereof. 2. TIME OF PERFORMANCE: The term of this Agreement shall commence on __________________ and shall expire _____, with the County’s option to extend the agreement for one additional one year period on the terms and conditions set forth herein. There shall be no adjustments to the amount payable per trip beyond those expressly provided for in Schedule “A” and herein.

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3. PAYMENT: A. Subject to compliance with the terms and conditions of this Agreement, the County agrees to pay the Operator at such rates of payment as are set forth in Schedule “A” (Section IV, Price Offer Forms) attached hereto and made a part hereof. The total cost to the County under this Agreement shall not exceed $__________. B. It is understood by and between the parties hereto that this Agreement shall be deemed executory to the extent of monies duly appropriated for ParaTransit services and that the County shall not incur any liability on account thereof beyond monies duly appropriated therein and available for the purposes hereof. Without limiting the foregoing, payments made hereunder are subject to future appropriations. In the event funds are not appropriated, the County, in addition to any other remedy or rights it may have, may terminate this Agreement upon forty-eight (48) hours notice. In such event, the Operator shall be compensated and the County shall be liable only-for the payment for services already rendered under this Agreement prior to the effective date of termination. Such notice shall be effective upon mailing thereof. The Operator hereby acknowledges that the County may seek Federal and State funding for the services provided pursuant to this Agreement. Accordingly, the Operator, shall not act in any way whatsoever to jeopardize the County’s eligibility for such funding. If at any time prior to or subsequent to execution of this Agreement applicable Federal and/or State rules or regulations impose requirements of the County that affect ParaTransit Services, which requirements are not provided for hereunder, the Operator shall promptly comply with any such further requirements that the County may impose on the Operator for the purpose of enabling the County to obtain continued Federal and/or State funding. The Operator shall comply with all applicable federal, state and local laws, rules, regulations, reporting requirements, ordinances and any amendments thereto, and standards applicable to the services provided pursuant to this Agreement and to the Operator’s performance hereunder. C. To obtain payment for services provided, the Operator must submit to the County within fifteen (15) days following the end of each billing period, a requisition for payment for the services rendered in the preceding billing period. In such requisition the Operator must, as a condition of payment, submit all documentation including, but not limited to dispatcher sheets, driver logs and all other documentation required by Schedule “A”. D. In the event of a dispute between the County and the Operator over the value of services rendered, the Operator shall be given notice and the Operator shall have ten (10) days to reconcile the invoice in question and submit it to the County in writing. In this event, the County shall be empowered to withhold approval for compensation for a sum equal to the full value of the disputed charges. It is understood and agreed that the Commissioner of the Department of Transportation (“Commissioner”) shall determine the value of such services rendered by the Operator. Such reasonable and good faith determination shall be accepted by the Operator as final.

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E. Should a determination be made by the County that services rendered on a specific occasion failed to meet the level of service described in Schedule “A”, in addition to all other available remedies the County may have pursuant to this Agreement, the County shall have the-right to offset from moneys due and owing the Operator at any given time pursuant to this Agreement, the amount of damages suffered by the County due to the Operator’s failure to render services in compliance with the Agreement. Due to the nature of the services rendered hereunder and consequently the difficulty in estimating damages in the event the Operator fails to comply with the terms and conditions herein, the parties agree that the damages in the below listed situations shall be just compensation to the County as follows: Failure to provide a scheduled trip due to Operator’s negligence.

$200.00 per occurrence.

Failure to have an adequate number of staff to provide service in accordance with the specification.

$200.00 per occurrence.

Failure to report an accident/incident. $200.00 per day that the report is delayed. Failure to adhere to the specifications. $200.00 per occurrence. Failure to submit required documentation in the manner outlined in the specifications.

$200.00 per day that documentation is delayed

Transporting unauthorized individuals on equipment used to provide services covered by this Agreement.

$200.00 per occurrence.

Failure to maintain vehicles in accordance with the maintenance schedule contained in Schedule “A”.

$200.00 per occurrence.

The County shall give the Operator ten (10) days notice of its intention to assess damages as provided for herein. The Operator shall submit its written opposition within such ten (10) day period. The Operator may appeal the Department’s determination hereunder to the Commissioner. The Commissioner’s reasonable and good faith determination in this regard shall be accepted by the Operator as final. F. In the event that an audit of records results in a determination that the Operator has collected compensation in excess of that due under the terms of this Agreement, the County shall offset such excess compensation from moneys due and owing Operator. G. All payments made by the County to the Contractor will be made by electronic funds transfer (“EFT”) pursuant to the County’s Vendor Direct program. Successful Contractors doing business with Westchester County, who are not already enrolled in the Vendor Direct Program, will be required to fill out and submit an EFT Authorization Form prior to receiving an award or

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purchase order. The EFT Authorization Form, Instructions and related information are annexed hereto as Appendix “C” of Schedule “A.” Payments will be automatically credited to the Contractor’s designated bank account at the Contractor’s financial institution. Payments are anticipated to be deposited two business days after the voucher/invoice is processed for payment. Saturdays, Sundays, and legal holidays are not considered business days. Under the Vendor Direct program you will receive an e-mail notification two days prior to the day the payment will be credited to your designated account. The e-mail notification will come in the form of a remittance advice with the same information that currently appears on County check stubs and will contain the date that the funds will be credited to your account. All information received will be treated and handled as strictly confidential. The completed Authorization Form must be returned by the Contractor to the County prior to execution of the contract. In rare cases, a hardship waiver may be granted. For a Hardship Waiver Request Form, please contact the Finance Department. 4. SUPERVISION AND MANAGEMENT: The Operator hereby acknowledges that a material element of this Agreement is the Operator’s representation that its business operations hereunder, including but not limited to staff training, driver supervision, trip dispatching and vehicle maintenance, shall be conducted, supervised and managed in accordance with the terms and conditions outlined in Schedule “A”. Should the conduct, management and/or supervision of the Operator’s business operations hereunder change in any way from the terms and conditions set forth in Schedule “A”, the Operator shall notify the County in writing of same. The County shall, at its option, terminate this Agreement in accordance with the terms and conditions herein provided. 5. AUDIT AND INSPECTION OF BOOKS AND RECORDS: The Operator shall keep accurate books, records and other documents of its business operations hereunder as specified in Schedule “A” in a form and manner acceptable to the Commissioner. Business records shall be kept in accordance with generally accepted accounting principles. Such records shall be maintained within Westchester County and be made available during business hours to any authorized representative of the County as specified in Schedule “A”. 6. SATISFACTORY PERFORMANCE: A. The County shall have the right to object to the Operator regarding the demeanor, conduct, appearance or performance of the Operator’s employees whereupon the Operator promptly shall take all necessary steps to cure the cause of the objection and to ensure that the services provided by its employees comply with the service specifications outlined in Schedule “A”. B. If the Commissioner, after consultation with the Operator, in his sole judgment, shall determine in good faith that the best interest of the County requires the re-assignment of a member of the Operator’s staff from the provision of services covered by this contract, the Commissioner shall so notify the Operator. Immediately upon receipt of the notice, the Operator shall re-assign the staff member. The staff member may not be assigned to any service for which the County contracts with the Operator that is provided to comply with Section 504 of the Rehabilitation Act of 1973 or the Americans with Disabilities Act of 1990.

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C. The Operator shall at all times comply with the performance standards specified in Schedule “A”. If the Operator fails to satisfy such standards, the Operator’s service areas shall be temporarily reduced as provided in Section 7 below. 7. TERMINATION: In addition to the right of termination for cause, the County may without cause terminate this contract in whole or in part upon written notice to the Operator whenever the County deems such termination to be in its best interest. In such event the Operator shall be compensated and the County shall be liable only for payment for services already rendered prior to the effective date of termination. Such notice shall be effective upon mailing thereof 8. CONDITION OF VEHICLES: A. The Operator agrees that in providing the Service pursuant to this Agreement it will utilize vehicles that conform to the standards specified in Schedule “A”. Failure to use vehicles that meet these standards shall be grounds, in the sole good faith discretion of the Commissioner, for termination of the Agreement, or alternatively for a 100% reduction in payments for each substandard trip for which compensation is requested under the terms of this Agreement. B. The Operator agrees that upon request and without delay, it will permit the County to make both scheduled and unscheduled inspections of the vehicles used by the Operator in providing service under the terms of this Agreement. 9. Intentionally Omitted. 10. INSURANCE AND INDEMNIFICATION: A. In addition to, and not in limitation of the insurance provisions contained in Schedule “A”, attached hereto and made a part hereof, the Operator agrees: (i) that except for the amount, if any, of damage contributed to, caused by or resulting from the negligence of the County, or damage covered by the County’s insurance policy provided under the Lease Agreement, the Operator shall indemnify and hold harmless the County, its officers, employees and agents from and against any and all liability, damage, claims, demands, costs, judgments, fees, attorneys’ fees or loss arising directly or indirectly out of the performance or failure to perform hereunder by the Operator or third parties under the direction or control of the Operator; and (ii) to provide defense for and defend, at its sole expense, any and all claims, demands or causes of action directly or indirectly arising out of this Agreement and to bear all other costs and expenses related thereto. 11. REMEDIES: A. In the event that the Operator defaults in the performance of any terns, condition or covenant herein contained, the County at its option and in addition to any other remedy it may have to seek damages, judicial enforcement or other lawful remedy, may terminate this

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Agreement upon ten (10) days notice to the Operator provided, however, that the Operator may defeat such termination notice by curing the default complained of within such notice period or, if not within such reasonable notice period, by promptly commencing to correct the default and diligently pursuing all necessary and appropriate action to affect such cure. Upon a second default by the Operator, the County at its option and in addition to any other remedy it may have to seek damages, judicial enforcement or any other’ lawful remedy, may terminate this Agreement upon written notice to the Operator. The County, upon thirty (30) days notice to the Operator may terminate this Agreement in whole or in part when the County deems it to be in its best interest. In such event, the Operator shall be compensated and the County shall be liable only for payment for services already rendered under this Agreement prior to the effective date of termination. Such notice shall be effective immediately upon mailing thereof. B. Intentionally Omitted. C. The failure of the County to insist in any one or more instances upon strict performance of any term or condition herein contained shall not be doomed a waiver or relinquishment for the future of such term or condition but the same shall remain in full force and effect. Payment by the County of any fee due hereunder with knowledge of a breach of any tam or condition hereof shall not be deemed a waiver of any such breach and no waiver by the County or any provision hereof shall be implied. 12. PERFORMANCE SECURITY: The Operator shall furnish within ten (10) days of the award and at its own expense, a performance and payment bond in a form (copy available upon request) approved by the County Attorney’s Office (from a surety that appears on the U.S. Treasury’s listing of approved sureties, Department Circular 570, and is licensed to transact business in New York State) or certified check payable to Westchester County in a sum equal to ten percent (10%) of the estimated annual payment for the first year to ensure the faithful performance of the contract and for the payment of all persons performing labor and furnishing materials in connection with the contract. In the alternative, the County shall retain 10% of the payments due the Operator up to a maximum of 10% of the estimated annual payment due the Operator for the first year until the Operator has satisfactorily completed its obligations under the contract. The estimated annual payment for the first year of service shall be calculated based on the Price Offer Form. An updated performance bond, payment retainage, irrevocable letter of credit, or certified check shall be submitted annually 30 days prior to the commencement of the contract term beyond one year and the option year of the contract. If at any time the surety shall be or become unsatisfactory to the County, then in that case the provider shall, upon ten (10) days notice thereof in writing from the County, furnish a new and additional bond in place of the original bond. 13. ASSIGNMENT OF RIGHTS/DELEGATION OF DUTIES: A. The Operator shall not sell, assign, mortgage or transfer any interest in this Agreement without obtaining the prior written consent of the County, it being the intention and purpose of the County to grant this Agreement solely and exclusively to the Operator. The County shall not be obligated to give its consent.

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B. Any attempt by the Operator to make such assignment or delegation shall give the County the right to terminate this Agreement with no further obligation to the Operator or anyone to whom the Operator has attempted to assign, transfer or delegate rights or obligations under this Agreement. 14. INDEPENDENT CONTRACTOR: This Agreement shall not be construed to make either the County or the Operator an agent of or joint venturer with the other. Each of the parties hereto expressly disclaims any intention to enter into such agency or joint venture and agrees that it shall so conduct itself as not to act or purport to act on behalf of the other. 15. EQUAL EMPLOYMENT OPPORTUNITY: The Operator shall not discriminate against any employee, applicant for employment, independent contractor or any other person because of race, color, religion, creed, ancestry, national origin, age, sex, marital status, disability or genetic predisposition or carrier status. The Operator shall take affirmative action to ensure that applicants are employed, and that employees or agents are treated during employment, without regard to their race, color, religion, creed, ancestry, national origin, age, sex, marital status, disability or genetic predisposition or carrier status. Such affirmative action shall include, but is not limited to, the following: employment, upgrading, demotion, transfer, recruitment, rates -of pay or other forms of compensation and selection for training, including apprenticeship. 16. NOTICES: A. All notices given by either party to the other shall be effective only if given in writing and sent by prepaid certified mail, return receipt requested, to the following addresses of the parties, or to such other addresses as may be designated by the parties in writing. Notice shall be effective upon date of mailing. To the County: Commissioner of Public Works and Transportation 148 Martine Avenue White Plains, New York 10601 with a copy to: County Attorney Michaelian Office Building, Room 600 148 Martine Avenue White Plains, New York 10601 To the Operator: ________________________________ ________________________________ ________________________________.

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B. Any reports, records, or other documents to be presented to the County in connection with this Agreement shall be delivered to the Director of The Office For The Disabled, 148 Martine Avenue, White Plains, New York 10601. 17. AGREEMENT SUBJECT TO LAWS AND REGULATIONS: A. The Operator, at its sole cost and expense, shall obtain and maintain in full force and effect, for the term hereof, all permits, licenses, certificates and approvals from all governmental authorities as are, or may be, from time to time required for the operations contemplated hereunder. B. The Operator assumes all risks in the operation of this Agreement and shall comply with all federal, state and local laws, rules, regulations and filing requirements applicable thereto. 18. CONFLICT: The Operator agrees that it has no interest and will not acquire any interest, direct or indirect, that would conflict in any manner or degree with the performance of the services and duties hereunder. The Operator further agrees that, in the performance of this Agreement, no person having such interest shall be employed by it. The Operator represents and warrants that it has not employed or retained any person, other than a bona fide full time salaried employee working solely for the Operator, to solicit or secure this Agreement, and that it has not paid or agreed to pay any person (other than payments of fixed salary to a bona fide full time salaried employee working solely for the Operator) any fee, commission, percentage, gift or other consideration, contingent upon or resulting from the award or making of this Agreement. For the breach or violation of this provision, without limiting any other rights or remedies to which the County may be entitled or any civil or criminal penalty to which any violator may be liable, the County shall have the right, in its discretion, to terminate this Agreement without liability, and to deduct from the contract price, or otherwise to recover, the full amount of such fee, commission percentage, gift or consideration. 19. INVALIDITY: In the event that any one or more of the provisions of this Agreement is invalid or becomes unenforceable whether by statute, judicial decisions, or rulings, the enforceability of the remaining provisions shall be impaired. If either party has notice of any such statute, regulation, judicial decision or ruling (other than a decision or ruling issued in a proceeding brought by or against either of the parties hereto), such party shall promptly notify the other and the parties shall confer in good faith regarding adjustments to this Agreement which may be required to effect compliance with such statutes, regulation, judicial decision or ruling. 20. NON-APPROPRIATIONS/BUDGET FUNDING: This Agreement shall be deemed executory only to the extent of money appropriated and allocated by the County for the performance of the terms hereof, and no liability under this Agreement shall be incurred by the County beyond the moneys available for the purposes hereof. This Agreement is also subject to further financial analysis of the impact of any New York State Budget (the “State Budget”) proposed and adopted during the term of this Agreement. The County shall retain the right, upon the occurrence of any release by the Governor of a proposed State Budget and/or the adoption of

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a State Budget or any amendments thereto, and for a reasonable period of time after such release(s) or adoption(s), to conduct an analysis of the impacts of any such State Budget on County finances. After such analysis, the County shall retain the right to either terminate this Agreement or to renegotiate the amounts and rates approved herein. If the County subsequently offers to pay a reduced amount to the Contractor, then the Contractor shall have the right to terminate this Agreement upon reasonable prior written notice. 21. ENTIRE AGREEMENT: A. This Agreement in its entirety, consists of these special provisions, consisting of twenty-three (23) paragraphs and Schedule “A”. B. This Agreement expresses the entire understanding of the parties hereto with respect to the subject matter hereof and there is no understanding, agreement, representation or warranty expressed or implied, oral or written in any way limiting, extending or relating to the provisions hereof. No subsequent amendment limiting, extending or relating to the provisions hereof shall be valid unless in writing and signed by duly authorized representatives of the parties hereto. 22. APPROVAL: This Agreement shall not be enforceable until signed by the parties and approved as to manner and form of execution by the Office of the County Attorney. 23. APPLICABLE LAW: This Agreement shall be construed and enforced in accordance with the laws of the State of New York. IN WITNESS WHEREOF, the parties hereto have executed this Agreement in triplicate. THE COUNTY OF WESTCHESTER OPERATOR: _________________________________ ____________________________________ Commr. of Public Works and Transportation Name and Title Approved by the Board of Acquisition and Contract of the County of Westchester at a meeting duly held on _______________________. Approved as to form and manner of execution: _________________________ Assistant County Attorney The County of Westchester C:d/cxx/for Hire car para 4.01.13

CERTIFICATE OF AUTHORITY

I, _________________________________________________________, (Officer other than officer signing contract) certify that I am the ___________________________________________________ of (Title) the ___________________________________________________________________ (the "Operator") a Operator duly organized and in good standing under the (Law under which organized, e.g., the New York Business Corporate Law) named in the foregoing agreement; that __________________________________________________________________ (Person executing agreement) who signed said agreement on behalf of the Operator was, at the time of execution ___________________________________________________________________ (Title of such person) of the Operator and that said agreement was duly signed for and on behalf of said Operator by authority of its Board of Directors, thereunto duly authorized and that such authority is in full force and effect at the date hereof. _______________________________________ (Signature) STATE OF NEW YORK ) ss.: COUNTY OF WESTCHESTER) On this _______ day of _____________, 20__, before me personally came _______________________________________________, whose signature appears above, to me known, and known to me to be the ____________________________________of (Title) ________________________________________________, the Operator described in and which executed the above certificate, who being by me duly sworn did depose and say that he/she, the said _______________________________ of said Operator resides at ______________________________________________________________________, and that he/she signed his/her name hereto by order of the Board of Directors of said Operator. ___________________________________ Notary Public County

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OPERATOR ACKNOWLEDGMENT (Operator)

STATE OF NEW YORK ) ss.: COUNTY OF WESTCHESTER) On this _______ day of ________________, 2013, before me personally came __________________________________ to me known, and known to me to be the ________________________________ of ___________________________________________, the Operator described in and which executed the within instrument, who being by me duly sworn did depose and say that he/she, the said ________________________________ resides at _______________________________________________________________ and that he/she is _____________________________ of said Operator and that he/she signed his/her name thereto by like order. _________________________________ Notary Public

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APPENDIX “C” FOR SUCCESSFUL PROPOSER ONLY

Westchester County Vendor Direct Program Frequently Asked Questions 1. WHAT ARE THE BENEFITS OF THE ELECTRONIC FUNDS TRANSFER (EFT) ASSOCIATED WITH THE VENDOR DIRECT PROGRAM? There are several advantages to having your payments automatically deposited into your designated bank account via EFT: Payments are secure – Paper checks can be lost in the mail or stolen, but money deposited directly into your bank account is more secure. You save time – Money deposited into your bank account is automatic. You save the time of preparing and delivering the deposit to the bank. Additionally, the funds are immediately available to you. 2. ARE MY PAYMENTS GOING TO BE PROCESSED ON THE SAME SCHEDULE AS THEY WERE BEFORE VENDOR DIRECT? Yes. 3. HOW QUICKLY WILL A PAYMENT BE DEPOSITED INTO MY ACCOUNT? Payments are deposited two business days after the voucher/invoice is processed. Saturdays, Sundays, and legal holidays are not considered business days. 4. HOW WILL I KNOW WHEN THE PAYMENT IS IN MY BANK ACCOUNT AND WHAT IT IS FOR? Under the Vendor Direct program you will receive an e-mail notification two days prior to the day the payment will be credited to your designated account. The e-mail notification will come in the form of a remittance advice with the same information that currently appears on your check stub, and will contain the date that the funds will be credited to your account. 5. WHAT IF THERE IS A DISCREPANCY IN THE AMOUNT RECEIVED? Please contact your Westchester County representative as you would have in the past if there were a discrepancy on a check received. 6. WHAT IF I DO NOT RECEIVE THE MONEY IN MY DESIGNATED BANK ACCOUNT ON THE DATE INDICATED IN THE E-MAIL? In the unlikely event that this occurs, please contact the Westchester County Accounts Payable Department at 914-995-4708. 7. WHAT MUST I DO IF I CHANGE MY BANK OR MY ACCOUNT NUMBER? Whenever you change any information or close your account a new Vendor Direct Payment Authorization Form must be submitted. Please contact the Westchester County Accounts Payable Department at 914-995-4708 and we will e-mail you a new form. 8. WHEN COMPLETING THE PAYMENT AUTHORIZATION FORM, WHY MUST I HAVE IT SIGNED BY A BANK OFFICIAL IF I DON’T INCLUDE A VOIDED CHECK? This is to ensure the authenticity of the account being set up to receive your payments.

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