REQUEST FOR PROPOSAL - Greater Cleveland Regional … … · · 2013-06-17REQUEST FOR PROPOSAL . PROJECT NO. 15.14 . ON-CALL ARCHITECTURAL/ENGINEERING ... Architectural, Civil,

Greater Cleveland Regional Transit Authority

REQUEST FOR PROPOSAL

PROJECT NO. 15.14

ON-CALL ARCHITECTURAL/ENGINEERING SERVICES

RFP NO. 2013-111

Due Date: WEDNESDAY, JULY 17, 2013 2:30 P.M., OFFICIAL TIME

June 17, 2013 Prospective Proposers: Re: PROJECT 15.14 – ON-CALL ARCHITECTURAL/ENGINEERING SERVICES The Greater Cleveland Regional Transit Authority (GCRTA) transmits herewith a Request for Proposal (RFP) for the procurement referenced above. The DBE goal for this procurement is nineteen percent (19%): Proposals for this procurement will be received until 2:30 PM, Official Time, WEDNESDAY, JULY 17, 2013 at the location noted below. Proposals received after the designated time or at any other than the designated location will not be accepted. Proposals shall be submitted to: The Greater Cleveland Regional Transit Authority Procurement Department, Fifth Floor 1240 West Sixth Street Cleveland, OH 44113 The project is subject to the Disadvantaged Business Enterprise (DBE) policy of the Greater Cleveland Regional Transit Authority. If you have any questions regarding the DBE goal, GCRTA Equal Opportunity/Affirmative Action Policies, or wish to request a copy of the current list of Certified DBE firms, please contact Leon Stallworth, Office of Business Development & Employment Opportunity at 216-566-5169 (phone), 216-781-4752 (fax) and via e-mail: [email protected]. A pre-proposal conference will be held at 10:00 AM, Official Time, Monday, JUNE 24, 2013. All communication regarding this procurement, including requests for clarification, shall be directed to Jonathan Laule, Contract Administrator (216) 781-4049 and via email [email protected]. All necessary instructions are included in this RFP and should be followed with care. Sincerely, Frank J. Polivka Director of Procurement FJP: Attachment

mailto:[email protected]

mailto:[email protected]

REQUEST FOR PROPOSAL RFP 2013-111

PROJECT 15.14

ON-CALL ARCHITECTURAL/ENGINEERING SERVICES

TABLE OF CONTENTS

PART ONE PROJECT DESCRIPTION PART TWO SCOPE OF SERVICES REQUIRED APPENDIX I – SECTION 014500 – SAFETY PROCEDURES

APPENDIX II – SECTION 015010 – MAINTENANCE OF RAIL TRAFFIC AND RESUMPTION OF REVENUE

APPENDIX III – SECTION 015020 – STANDARD RAIL

FLAGGING PROCEDURES APPENDIX IV – SECTION 015020 – ATTACHMENT 1 APPENDIX V – SECTION 015020 – ATTACHMENT 2

PART THREE INSTRUCTIONS TO PROPOSERS PART FOUR PROCUREMENT PROCEDURES PART FIVE SAMPLE CONTRACT PART SIX FORMS


ON-CALL ARCHITECT/ENGINEER SERVICES - 2013

PROJECT 15.14

GREATER CLEVELAND REGIONAL TRANSIT AUTHORITY Engineering and Project Management Division

1240 West 6th Street Cleveland, Ohio 44113-1331

JUNE 2013


PROJECT 15.14

ON-CALL

ARCHITECT/ENGINEER SERVICES - 2013

TABLE OF CONTENTS

PART ONE PROJECT DESCRIPTION PART TWO SCOPE OF SERVICES REQUIRED

APPENDIX I Section 014500 - Safety Procedures

APPENDIX II Section 015010 – Maintenance of Rail Traffic

APPENDIX III Section 015020 – Standard Rail Flagging Procedures

APPENDIX IV Section 015020 – Attachment 1

APPENDIX V Section 015020 – Attachment 2

PART THREE INSTRUCTIONS FOR PREPARING PROPOSAL

PART FOUR PROCUREMENT PROCEDURES

PART FIVE REQUIRED INFORMATION CONCERNING PROPOSED

SERVICES

PART SIX DESCRIPTION OF CONTRACT FOR SERVICES

PART SEVEN ESTIMATE OF WORK EFFORT

PROJECT DESCRIPTION Project 15.14 1-1

PART ONE - PROJECT DESCRIPTION

GENERAL This RFP is for procurement of Architect/Engineering services to prepare plans, specifications, cost estimates, construction duration estimates and construction support services for projects assigned by the Engineering Project Manager (EPM). These projects will involve some or all of the following engineering disciplines: Architectural, Civil, Structural Mechanical, Plumbing and Electrical. Projects could involve any of the Greater Cleveland Regional Transit Authority (GCRTA) facilities including bus garages, transit centers, rail shops and stations. Track design shall be strictly limited to restoration at station platforms. Projects may involve older facilities to renovate one or more systems or to construct improvements to accommodate changes in operations and maintenance. Projects would principally involve repair and/or updating of various aspects of these facilities involving facility space re-utilization, architectural, electrical, HVAC, plumbing and structural systems. Another area where projects may be assigned would be to comply with Americans with Disabilities Act (ADA) requirements. The anticipated projects could be characterized as “small” projects, being generally less than one million dollars in construction cost, with some being less than $100,000. These projects are sometimes designed by GCRTA in-house staff, but because of workload or specific areas of technical practice outside resources may be necessary. The A/E will be responsible for following regulations and obtaining all necessary approvals and permits from controlling agencies at the local, state and federal levels. GCRTA personnel shall review the design plans and specification as they are developed with the goal of producing safe, cost-effective and easily maintainable projects. Emphasis shall be placed on using readily available and maintainable components and systems, especially by considering similar components and systems already in use. The base term of this contract shall be 24 months from Notice to Proceed on the first assignment, and shall include all task orders issued during that period; completion of task orders so issued may exceed the term specified. The total of all task orders issued for the performance of this contract shall not exceed $300,000 for the base term of the contract.

POTENTIAL TASK ORDER EXAMPLES Note: The following are intended as examples only and portray scopes of work that may be assigned. The first example could be development of plans and specifications for design of renovations and improvements to an existing rail electrical substation. The plans could include site work, foundations, building, heating, ventilation, and power distribution. A second example could involve the design of platform replacement, drainage, ADA compliance, and other site improvements for an at grade light rail Blue or Green station. The


plans would include the design of weather enclosures, foundation pads, electrical service and data communication. Track restoration could be an incidental part of this design effort.

TASK ORDER PROCEDURE A task order is defined as a written directive from the EPM to the A/E to produce Contract Documents and/or perform design work as delineated for specific disciplines relating to a project. The Notice shall include the duration for the A/E to complete the task. All task orders are subject to the contract terms and conditions. In the event of a conflict between the task order and the contract, the contract shall govern. For each Task Order the Scope of Services as outlined in this RFP will be supplemented to reflect the A/E service required for each project. For each proposed Task Order, GCRTA’s Contract Administrator and the EPM will provide the A/E with a scope of work. The A/E will, in turn, provide GCRTA with an estimated price, based upon the pre-established rates for the labor classifications required, and a proposed schedule for the phases of work involved. After review, evaluation and completion of any negotiations between the A/E and the GCRTA regarding hours and personnel included in the A/E’s response to the task order request, a Notice to Proceed for the task order shall be issued by the Procurement Contract Administrator (CA). All task orders are subject to the terms and conditions of the contract. The GCRTA shall have the right at any time to assign multiple task orders or to reduce the scope of a task order at any time and for any reason upon written notice by the EPM to the A/E. The notice shall specify the nature and extent of the reduction. The A/E shall be fully compensated for work already performed under the task order prior to receipt of the reduction notification. Task orders will include the following information: A. Effective order date (if mailed, the date on the order will be the effective date). B. Contract and task order number C. Description and reference to Scope of Services and Supplements as required. D. Lump-sum negotiated price with discipline identification E. Schedule and identification of deliverables. F. Accounting and any other important data. Except for any limitations in the Order clause or in the schedule, there is no limit on the number of task orders that may be issued. Several projects may be ordered at the same time until the contract ceiling is reached.


Any order issued during the effective period of the contract and not completed within that period shall be completed by the A/E within the time specified in that order. The contract shall govern the A/E’s and the GCRTA’s rights and obligations with respect to the order and to the same extent as if the order were completed during the contract’s effective period. The task schedule outline is as follows: 1. Within 5 days after a task order is given, the A/E Consultant shall submit a detailed

performance schedule to demonstrate how the key milestones will be met.

2. The A/E Consultant shall perform the work in accordance with the key milestones agreed to for each task order. A typical milestone schedule is detailed below:

Maximum Duration Milestone Description (Calendar Days) Notice to Proceed to A/E Consultant 0 Day Submit Performance Schedule 5 Days Schematic Design and Engineering TBD (Reviewed and Approved by GCRTA) Design & Engineering Development TBD (Reviewed and Approved by GCRTA) Construction Documents TBD (Submission of Original Construction Mylars and Specifications, After 100% Review and Approval by GCRTA 3. The A/E shall update milestones and detailed performance schedules for GCRTA's

approval when modifications to the work make it necessary. The A/E shall perform the work in accordance with the approved updated schedule.

PRICING Pricing for work performed will be according to the following guidelines: A. Pricing shall be based on lump sum fixed prices for the performance of the work specified in

each task order. The pricing of each task order shall consist of pre-negotiated labor billing rates for the various disciplines involved multiplied by work hours negotiated. Negotiated labor rates shall be used for the base term of the contract.

B. Direct costs such as materials and supplies consumed in the work will be negotiated at the

pricing of the task order in accordance with Federal Transit Administration (FTA) guidelines that will be made available.


C. Personnel with appropriate experience and credentials, at agreement-specified rates shall perform Work.

BILLING AND PAYMENT Applications for payment shall be prepared and submitted with four original notarized copies on GCRTA forms provided including the following information: A. Contract and task order numbers. B. Description of services. C. Task Order Summary Sheet for all task orders. D. Individual invoice sheets for each Task Order E. Personnel, hours and rates tabulation including extended and grand totals for labor. F. Additional backup for Direct and Travel costs. Final invoices shall be clearly marked as such and list the amount of the task order, amount previously paid and the balance due. SCHEDULES, MEETINGS AND REPORTS Schedules shall be submitted in accordance with the task order requirements. Monthly meetings between the EPM and the A/E will be held to review progress and resolve any performance problems that may have arisen. BUY AMERICA A/E acknowledges and agrees that the design of all Contract Documents will be in accordance with “Buy America Requirements” located at 49CFR Part 661.

SCOPE OF SERVICES Project 15.14 2-1

PART TWO - SCOPE OF SERVICES GENERAL The following are to be incorporated with the RFP for this project: A. Key personnel assigned tasks shall be possess appropriate professional

registrations. The company shall also be registered with the State of Ohio in the Architectural/Engineering professions.

B. Prepare progresses schedules and submit to RTA for each task assigned. C. The Project Management Office shall be in Greater Cleveland. A responsible

person, who is completely familiar with the project and who can make decisions on behalf of the A/E Consultant, shall be employed out of the Cleveland Office until the task is completed.

D. Working within an existing system, the A/E will be expected to review carefully with

GCRTA staff the various operations to be performed, and to develop a clearly defined solution to the problems assigned. This shall be done as a joint effort, with both the A/E team and the GCRTA staff providing expertise. The A/E will be responsible for gathering information from GCRTA Services. This shall occur within the constraints described in the individual task orders.

E. No phase or sub-phase of work should be started prior to obtaining GCRTA's review

and approval of previous work. F. Materials and equipment to be specified in the construction documents shall be

readily available from local sources to facilitate construction and maintenance. G. Participate in GCRTA review meetings, review with other agencies or stakeholders,

and pre-bid and pre-construction meetings. Presentations for planning and design review approvals from governmental agencies shall be done jointly by the A/E and GCRTA.

H. The A/E shall take the minutes of all meetings and shall distribute the same within

three calendar days after the meeting. Electronic transmittal shall be used when possible. The EPM shall review and approve the draft before issuance.

I. The A/E shall follow the current GCRTA's Standard Specifications Section 014500 -

"Safety Procedures," Section 015010 - "Maintenance of Rail Traffic and Resumption of Revenue Service," and Section 015020 - "Standard Rail Flagging Procedures," whenever applicable.

J. The A/E shall provide three paper copies of all submittals; three full-size plan sets

and one-half size copy of all construction drawings files at the various review stages. In addition, at the construction document phase the A/E shall provide electronic drawing files in Acrobat PDF format. CSI-based specifications shall be provided in Microsoft Word and PDF format. The A/E shall use the GCRTA master specifications and edit as appropriate for each task. The GCRTA reserves the right to modify these files all or in part for use at a later date. All drawings and specifications shall be generated in American units. The A/E shall use GCRTA’s


standard 22-inch by 34-inch title sheet for all drawing sheets. GCRTA will advise the A/E regarding the scale, format, etc., to be incorporated in each project. The construction submittal shall include stamped reproducible mylar plans. The A/E shall incorporate as-built comments from contractors into the plans. As-built plans shall be submitted in AutoCAD2000 format, one set of prints and on stamped mylars.

K. If the low bid for construction exceeds the published estimate by more than 10%, the

A/E shall revise the design and/or details and specifications, at no additional cost to the GCRTA, to bring down the cost so that a successful bid (within 10% of the estimate) may be obtained.

DESIGN SERVICES Schematic Design Phase Services A. Preliminary Investigation 1. Reviewing of existing facility and/or site conditions, including customer and

employee user interactions and requirements. The consideration of user needs is extremely important to the ultimate success of the task order.

a. Obtaining existing site and/or building plans, equipment and systems

information and specifications relating to the task order. b. Needs evaluation inspection regarding the current status of existing

conditions. The inspection shall be made to inventory all relevant physical items and other factors that may affect the engineering and design.

c. Accompanying GCRTA in seeking initial contact with the appropriate

governmental agencies to discuss and expose any potential problems or concerns at an early time.

d. Preliminary Cost Estimate should include a study of site-specific

variables that will impact the ability of the project to be constructed within the limits of the project budget.

e. Findings and Recommendation Report for GCRTA's review shall be a

compilation of the above and any other data that will significantly affect the design and engineering of the project. Three printed and bound copies of Report shall include all meeting minutes, documents, certifications, cost estimates, etc.

B. Schematic Design & Engineering

1. Listing of elements of construction needed or provided to meet the functional needs of the task order, together with specific data concerning areas, heights, clearances, safety, capacities, services, environmental conditions, and other information as necessary.


2. Project Validation - Participation in at least one design workshop with GCRTA user group(s) discussing comparative or alternative design solutions with recommendations. The design will be modified as necessary.

3. Identification of Design and Engineering Alternatives

a. Sketches and Plans showing general layout of all structural elements, spaces, and major items of equipment, together with all existing and natural elements to remain in the finished project.

b. Initial Engineering Calculations.

c. Estimate of probable construction cost and construction duration.

4. Recommended Design Submittal and Presentation.

a. A statement summarizing the rationale of the design, including any choices made between alternatives identified.

b. A brief description and justification of proposed structural, mechanical,

electrical, communications plan, and control systems/additions and/or alterations.

c. Probable construction cost and project construction duration estimates.

d. Four sets of the submittals above will be provided to GCRTA for review and approval.

5. In-house A/E Value Engineering to assure conformance with GCRTA

budget. Design and Engineering Development Phase Services A. 30 % Development Drawings

Drawings (submit three full size and one-half size sets) shall consist of partially completed or modified working drawings including:

1. Site plans showing demolition, roads, utilities, storm drainage system,

planted areas, buildings and other structures, pavements, and topography. 2. New construction drawings. For example: civil, architectural, structural,

mechanical, electrical, landscaping and signage. 3. Standard sections and details. 4. Major mechanical and electrical equipment and system details. 5. Major wall sections and other critical detail sections. 6. Other drawings to describe the design and engineering of the project;

including key card access/security systems as required.


B. Design Narrative

The design narrative (submit four copies) shall include: 1. A discussion of the rationale for the design development, with particular

attention to the responses made to comments by GCRTA on the Schematic Design Submittal.

2. An outline CSI/GCRTA format specification. This outline shall be definitive

regarding the materials, equipment, and systems to be employed in the project.

3. Three sets of manufacturers' catalog cuts in loose-leaf binders shall be

supplied. Cuts shall indicate exact on-the-shelf items to be considered for incorporation into the project as recommended by the A/E.

4. A more detailed probable construction cost estimate and an updated

construction schedule. Provide in-house value-engineering to assure budget conformance.

5. Other comments or information that will help to provide the GCRTA with a

comprehensive design understanding.

C. Engineering Calculations

Detailed engineering calculations shall include: 1. Thorough structural analysis of loads and soil bearing value to be used as

the basis of structural design, if required. 2. Design check of all principal structural members and systems, pavement

designs, and added items. 3. Design check of ventilating and electrical loads, and required capacities of

all mechanical, electrical and other systems to meet performance requirements, and computation of loads of added items.

4. Calculation of all road geometry and drainage slopes. 5. Other calculations required for development of final drawings and

specifications. D. Begin Approval Process with other Agencies and Organizations

Begin coordination early with government agencies such as ODOT, the city in which the project is located and other agencies having jurisdiction such as the OEPA, SHPO, etc. Presentations will be made as necessary to various stakeholders and organizations affected by the project. Applications, permits, licenses, etc. shall be prepared and submitted as required.


Construction Documents Phase Services A. Complete Technical Specifications, based on RTA Standard Specifications

format, which shall include all applicable topics in the Divisions of the Uniform System (CSI Format) and any other information required to provide a complete verbal description of the work comprising the project.

B. Detailed Construction Estimate at 90% submittal, outlining the cost of every

element of the project, shall be prepared and submitted to GCRTA for review and approval. GCRTA may require design modifications based on the cost. The approved engineer's cost estimate shall be the base of construction contract award.

C. Constructability Review - At 90% completion of design and construction

documents, the A/E shall forward 4 sets of all documents to GCRTA for constructability and completeness review. After these reviews, the consultant should be ready to discuss any findings, additions or deletions, and to incorporate any missing information that may be identified during the reviews. Upon 100% submittal GCRTA expects the documents to be “bid ready”. With the 100% submittal the A/E shall return all mark ups showing evidence of the checking and back checking of all GCRTA comments to insure their adoption and reduce GCRTA review time. If the GCRTA comments have been ignored or otherwise not adopted the set will be returned to the A/E for correction at no additional compensation.

D. Final Engineering Calculations shall consist of the previously submitted

calculations, revised to incorporate all modifications and changes, together with additional calculations covering any and all items not included in the prior submittal.

E. Final detailed construction estimate - must follow format of project bid sheet

including a separate unit cost form (GCRTA Schedule 23) as well as a breakdown by trades for advertisement: General, electrical, plumbing, HVAC and fire protection as applicable.

F. Final submittal of plans and specifications to GCRTA for advertisement for bids -

Six sets of drawings to be submitted and one set full size original stamped mylars, three sets full size and two sets one-half size; four sets of specifications. Drawings shall be submitted in Acrobat PDF format. Specifications shall be submitted in Microsoft Word format.

G. 100% submittal includes final engineering calculations, construction plans,

specifications, construction duration, probable construction cost estimate and unit price schedule for review and comment prior to bid submission.

H. Construction Drawings shall include: 1. Site plans for clearing and grading, roads and walks, landscaping, utilities,

drainage, and general construction. 2. Structural plans, elevations, sections, details, and schedules.


3. Plans, diagrams, details and schedules for systems as required. 4. Plans, sections, details, diagrams and schedules for ventilating and other

mechanical work, including equipment installations. 5. Plans, sections, details, diagrams and schedules for electric power, power

distribution, lighting, communications, controls, and other electrical work. 6. Any other drawings needed to provide a complete graphic description of the

work comprising the project. I. Prepare and submit application for building permit. Bidding & Construction Phase Services A. Provide interpretation of Contract Documents relative to engineering design

intent by responding to Contractor’s questions during bidding process by means of “Clarification” and “Addendum”.

B. Provide information and recommendations to GCRTA regarding potential

Change Orders and Bulletins during construction as required including cost estimate, drawings, design calculations and other information.

C. Review Shop drawings and submittals for design compliance D. Field review of work-in-progress to assure design conformance. E. Review of independent testing reports. F. Project meeting and final inspection participation. G. "Punch list" preparation. H. "As-Built" Drawings prepared from Contractor(s) information submitted. I. Closeout Assistance J. Start up Consultation K. Warranty Review

SAFETY PROCEDURES Project 15.14 014500-1 Rev. 5/28/2009

APPENDIX I SECTION 014500 - SAFETY PROCEDURES Part 1 - General 1.1 GENERAL A. Contractor will perform its work in a safe manner, comply with all environmental safety

and health requirements of the contract documents as issued by the Greater Cleveland Regional Transit Authority (GCRTA), and comply with all applicable laws, codes, ordinances, rules, regulations, and lawful orders of all public authorities. Contractor has the sole and complete obligation to provide a safe and healthful working environment for its employees and for other persons at the project site who may be exposed to the Contractors and Subcontractor's work.

B. Contractor and its Subcontractors are responsible for the development, implementation,

administration and enforcement of their individual safety and health programs. C. Contractor is responsible for the implementation of all applicable governmental federal,

state and local regulations as they apply to the scope of work and the project. D. Contractor is responsible for conforming to all applicable safety requirements of the

(GCRTA), as specified herein and in the contract. E. Contractor is responsible for assuring that project supervisors are trained in Safety

procedures and that designated "Competent Persons" meet all training and experience requirements necessary to comply with OSHA directives.

F. Contractor is required to maintain a Substance Abuse Prevention Program that meets all

applicable regulatory requirements. Employee must successfully complete a substance abuse prevention test.

G. The Contractor must notify GCRTA whenever a Contractor's employee sustains an injury

that requires more than first aid. In those cases when an employee needs medical attention but is treated and released, notification to GCRTA shall be the day of the incident of the following business day for off-shirt and weekend work. A business day is considered Monday through Friday, 8:00 a.m. until 5:00 p.m. In those cases when the injury is serious and the employee is hospitalized, GCRTA must be notified within 3 hours of the incident. The same immediate notification requirement would be required for a fatality. The Contractor shall contact the Project Manager, who will then notify the Manager of Safety through GCRTA Service Quality Integrated Communications Center. In case of any injury or accident at the work site, a written accident report must be prepared by the Contractor and one (1) copy thereof given to GCRTA's Project Manager within 24 hours.

H. IMMINENT DANGER


RTA may stop those operations that create an imminent danger to employees (as defined by OSHA), to the public, and to property.

I. COOPERATION The Contractor shall cooperate with all the safety representatives from local, state, or

federal agencies, including those of GCRTA. 1.2 SAFETY AND HEALTH PROGRAM A. Contractor is required to have a written site-specific safety and health program aligned

with OSHA and the contract requirements. This program must be submitted to the GCRTA Project Manager for review and approval prior to commencement of work.

B. A copy of the Contractor's site-specific safety program shall be available for review at the

Contractor's field offices. C. The approval of the Contractor's site-specific safety and health program does not relieve

the Contractor from its responsibility for employees, public safety, and compliance with all applicable safety requirements.

D. The site-specific safety and health program must at a minimum include and address

implementation of the following to the degree they are applicable to the scope of work: 1. Description of planned work including task hazard breakdown where appropriate 2. Responsibilities and lines of authority for the planned work including Competent

Persons list for area required by OSHA. 3. Method for identifying job hazards and control methods. 4. Personal protective equipment (PPE) required for the planned work (Note if

respiratory protection is required, a "Respiratory Protection Program" must be included).

5. Employee orientation and required job training. 6. Safety and health inspections. 7. Safety and health goals and expectations. 8. Disciplinary policy for violation of safety rules. 9. Fire Prevention and Protection including contingency planning. 10. Rules of Conduct and/or Standard Operating Procedures as required for the work. 11. Security and site control measures.


12. Sanitation and on-site medical support services. 13. Owner-specified safety requirements. 14. Accident Reporting, Root Cause Investigation, and Corrective Actions. 15. Recordkeeping 16. Hazard Communication training E. Contractor will develop a job hazard analysis (JHA) that identifies the hazards before commencing each major phase or activity at the site or as required by the Project Manager. The analysis will also describe the planned work and assign responsibility for Hazard prevention or control of identified hazards, and state corrective action to prevent Injury. See Attachment B as an example format for Job Hazard Analysis. F. FIRST AID AND EMERGENCY MEDICAL CARE Contractor is responsible for providing first aid trained personnel and emergency medical care for its employees and agents. G. TRANSPORTATION AND ENVIRONMENTAL COMPLIANCE

If activities of the Contractor involve transportation or shipping of Hazardous Materials (as defined by the Department of Transportation) or if the work requires Environmental Controls or potential for spills and/or releases, a designated person will be available to provide necessary compliance support. In the event of a transportation incident or environmental release, the designated person will provide necessary coordination of response activities for the Contractor. This person will also provide notification of insurance carriers and HAZMAT response for any Contractor incidents.

H. SAFETY MEETINGS

Contractor will conduct regularly scheduled safety meetings with its employees and/or supervision as necessary to ensure that safety is adequately addressed in its work planning and execution. Contractor will provide written notice of the time, place, and subject of these meetings and provide GCRTA Project Manager the opportunity to observe.

I. PERSONAL PROTECTIVE EQUIPMENT 1. Contractor will provide, at its own expense, all required personal protective

equipment for its employees and all required safety equipment and supplies as needed. Contractor is required to ensure that employees are wearing appropriate personal protective equipment as specified in applicable OSHA regulatory standards. In accordance with OSHA standards, all employees shall be required to wear personal protective equipment during working hours and on the project


premises, including Non-metallic ANSI Z89.1-1997 approved hard hat and ANSI Z 1987.1-1989 approved protective eye wear with peripheral protection. Employees performing welding, cutting, grinding or similar operations must utilize protective head gear in conjunction with other required protective equipment while protective equipment while performing such operations.

2. Employees working in designated "Hearing Protection Required" areas or when

noise is identified as a potential job hazard in the pre-task JHA, must be provided with adequate hearing protection including either approved Earplugs, Canal Caps or Ear Muffs as required to meet OSHA, MSHA, or USACOE requirements.

3. A written documentation of identification of task specific PPE is required under

OSHA requirement 29 CFR 1910.132(d) or as specified in 29 CFR 1926 Subpart E. Contractor is responsible for compliance as required for the task. In addition, the Job Hazard Analysis for each task must specify required PPE for the task as part of the task specific planning process.

1.3 SAFETY REPRESENTATIVES A. Contractors shall be required to designate a qualified Safety Representative that has the authority and support of his/her management to conduct and coordinate its

subcontractors' safety and health program and/or policies. The duties and responsibilities of the Safety Representative shall be specified in the site-specific Safety and Health Plan. The Safety Representative shall be granted "stop-work" authority, along with the responsibility and organizational freedom necessary to implement and enforce the safety and health program. The requirement for a full-time Safety Representative is identified in Attachment A.

B. Prior to commencement of work the Contractor shall provide the GCRTA Project

Manager with the name and qualifications of the Safety Representative for approval. Once approved, the Safety Supervisor/Representative will not be changed without the approval of the GCRTA Project Manager. A Safety Representative must be present on the project site whenever work is being performed.

1.4 WORKER'S COMPENSATION A. Worker's Compensation as required under applicable laws must be provided and

administrated by the Contractor for their employees and agents. The GCRTA Project Manager will not assume any responsibility for the administration of Worker's Compensation insurance, the submittal of reports, processing of claims or any other related activity.

1.5 INSPECTIONS A. Contractor is responsible for conducting daily and documented weekly jobsite

inspections for unsafe conditions and work practices. The GCRTA Project Manager or designee will conduct a monthly documented inspection.


B. Contractor shall prohibit the use of unsafe machinery, tools, materials, or equipment and shall conduct pre-job and as-required inspections on same in accordance with manufacturer's recommendations and appropriate regulations. All heavy equipment shall have a documented safety inspection prior to being used on the project. All equipment, tools, and appliances shall be used according to manufacturer specifications. Modifications or alternative uses must be approved by the manufacturer prior to planned use.

C. Contractor will immediately notify the GCRTA Project Manager of any and all OSHA

inspections and shall afford GCRTA Project Manager the opportunity to observe the inspection. Contractor will provide GCRTA Project Manager a copy of all citations received and all Contractor responses issued as a result of such inspections within two working days of receipt or issuance.

D. Contractor will perform periodic safety inspections of Subcontractor's work.

Subcontractor's safety representative will accompany Contractor's safety supervisor during these inspections and take prompt action to correct all identified deficiencies. Contractor's management will participate in any scheduled safety walk-through with GCRTA Project Manager. Such inspections and identification of deficiencies by GCRTA Project Manager does not relieve Contractor from its responsibility to comply with all applicable safety regulations and rules.

1.6 EMPLOYEE ORIENTATION AND TRAINING A. Contractor shall instruct each employee required to handle or use flammable liquids,

gases, toxic materials, poisons, radiological materials, and other harmful substances in safe handling and use. Employees shall be made aware of the potential hazards, the necessary personal hygiene, and the personal protective measures provided. In addition employees must receive training on appropriate spill control measures as part of site-specific Emergency training.

B. All personnel working on or near the right of way will be required to attend "Rail

Operations Rulebook Level C" training. All personnel that will be utilized for flagging duties shall attend flagging training and possess a current certification issued by GCRTA.

C. Contractor shall permit only qualified employees, by training or experience to operate

equipment or machinery, and should verify the employee's ability to operate such equipment through visual observations for appropriate time periods.

D. All new jobsite employees, upon their day of employment or initial entrance onto the

project site, will be required to attend a jobsite orientation. This orientation program shall include the Contractor's:

1. Project rules 2. Emergency and first aid procedures.


3. Work rules and procedures. 4. Security procedures. 5. Fire prevention and protection. 6. Use of personal protective equipment, and other subjects related to the employee's

responsibilities and duties. 7. Smoking Prohibition a. Board Resolution 2006-193 was passed on Tuesday, October 17, 2006,

expanding the areas where smoking is prohibited to include all indoor and outdoor locations owned or under the control of the Authority. This change will become effective January 1, 2007. The areas affected by the change include: 1) indoor and outdoor areas open to the public and to customers, such as rail stations, transit centers, park & ride facilities, and bus shelters located on GCRTA property, 2) outdoor portions of employee workplaces including private vehicles on GCRTA property and 3) motor and rail vehicles not in revenue service.

E. Contractor will provide safety training for its employees at its own expense, and such

training will be documented and copies provided to the GCRTA Project Manager upon request. Safety training will include, but not be limited to:

1. Orientation to the safety policies and rules stipulated by the Contractor prior to each

employee's initial work assignment on the project. 2. Orientation of supervisors to the safety policies, rules, and their responsibility to

enforce it. 3. Weekly "Toolbox Talks" on an appropriate safety subject, for all employees. 4. Hazardous materials training (HAZCOM). 5. Personal protective equipment. 6. Personal safe work practices. 7. Special safety training for those affected, including but not limited to, confined space

entry, respiratory protection, hot work permits, fire watch, trenching/excavation, fall protection, scaffolding, etc.

F. Contractor shall adequately educate, train and equip all employees performing work with

hazardous chemicals. The Contractor shall implement approved programs such that at all times its employee and activities shall be in compliance with OSHA Hazard Communication Standard (aka "Right to Know"), 29 CFR 1910.1200, 1926.59, insofar as it is applicable by law to the work.


G. Unsafe acts by employees or repeated unsafe considered serious and will not be

tolerated. Contractor will uniformly enforce a policy that states the disciplinary action to be applied when employees violate safety rules. This policy will be consistent with project and/or Contractor's safety enforcement policy.

1.7 SAFETY VIOLATIONS A. Contractor is responsible for promptly correcting all violations of safety and health

standards, potential hazards and other such safety related problems within their area of responsibility. In the event an apparent violation is observed by the GCRTA Project Manager, the Contractor will be notified.

B. If the GCRTA Project Manager notifies the Contractor of any non-compliance with the

provisions of the project's safety and health program, GCRTA policy or other statutory requirements, Contractor shall take prompt action and make all reasonable efforts to correct the unsafe or unhealthy condition(s) or act(s). Satisfactory compliance shall be made within a reasonable, specified time. If Contractor refuses to correct unsafe or unhealthy conditions or acts, the GCRTA Project Manager will initiate appropriate actions in accordance with the contract provisions and may take one or more of the following steps:

1. Cease the operation or a portion thereof (particularly in the case of an imminent

danger). 2. Correct the situation and back charge Contractor. 3. Invoke contract penalties and/or terminate the contract. C. Willful and repeated failure to comply could result in the shutdown of the work, or

portions thereof. No part of the time lost due to any such modification of operations or stop orders shall be made the subject of claim or extension of time or for increased costs of damage by the Contractor.

1.8 REPORTS AND SUBMITTALS A. Contractor will report all injuries recordable on its OSHA 300 log, all accidents resulting

in property damage and all environmental incidents to the GCRTA Project Manager promptly, and follow up in writing within 24 hours. Within one working day, Contractor will provide GCRTA with a written report documenting the root cause(s) of the accident and action(s) taken, or planned to be taken, to preclude recurrence.

B. All job hazard analyses(JHAs), work permits, training records, inspection reports, and

daily safety reports must be available for review by the GCRTA Project Manager. Contractor will maintain records of all first aid cases, work related injuries/illnesses and property damage according to OSHA requirements and the representative insurance carrier requirements. These records may be reviewed by the GCRTA Project Manager as required and permitted by law.


C. On monthly basis, the contractor will complete and submit the GCRTA Monthly Safety

Report that summarizes injuries and manhours for the project. D. Contractor will provide to the GCRTA Safety Department copies of Material Safety Data

Sheets (MSDS) for materials that Contractor brings on the jobsite. This information will provided prior to arrival of the materials on the project site.

Part 2 - Products 2.1 NONE Part 3 - Execution 3.1 NONE Part 4 - Measurement and Payment 4.1 No separate measurement or payment will be made for the work under this item, the

cost of which shall have been included under other items of work. (See Attachment A) END OF SECTION 014500

Project 15.14 014500-Attachment A Rev. 5/28/2009

SAFETY PROCEDURES

Attachment A

Project Number: ______________________________________________________________ Project Name: ________________________________________________________________ Safety Representative Requirement Description: ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________

Project 15.14 014500-Attachment B Rev. 5/28/2009

SPECIFICATION 014500

SAFETY PROCEDURES

Attachment B

Sample Job Hazard Analysis Form

Title of JHA: ________________________________________________________________

Project Name/Number:

________________________________________________________________ Name of Person(s) Completing JHA:

________________________________________________________________ Date Completed: ____________________ Date Reviewed: ____________________

Basic Job Steps

Identified Hazards Associated With Job Steps

Hazard Controls and Personal Protective Equipment Required

MAINTENANCE OF RAIL TRAFFIC AND RESUMPTION OF REVENUE Project 15.14 015010-1 May 2012

SECTION 015010 - MAINTENANCE OF RAIL TRAFFIC AND RESUMPTION OF REVENUE

SERVICE

Part 1 - General 1.1 DESCRIPTION A. The work must be carried out on an operating transit system. RTA will maintain revenue

service on the affected portion of the line throughout the duration of the contract. The current scheduled regular operating hours and track availability periods are as follows:

Area

Date

Days Regular Operating

Hours

Track Availability

Periods

Red Line:

Year Round

Mon. thru Fri. Sat. Sun.

3:10 a.m. to 1:36 a.m. 3:56 a.m. to 1:47 a.m. 3:56 a.m. to 1:48 a.m.

1:37 a.m. to 3:00 a.m.* 1:47 a.m. to 3:27 a.m. 1:48 a.m. to 3:26 a.m. *West of TCC 3:45 a.m.

Blue/Green Lines:

Year Round Mon. thru Fri Sat. Sun.



Waterfront Lines:

Year Round Mon. thru Fri. Mon. thru Fri. Sat. & Sun.

5:59 a.m. to 9:15 a.m. 3:32 p.m. to 7:15 p.m. 9:09 a.m. to 6:46 p.m.

9:30 a.m. to 3:00 p.m. 7:30 p.m. to 5:30 a.m. 7:00 p.m. to 8:30 a.m. Special events see below

E. 55th St. Yards:

Year Round 7 days a week

24 hours a day

None

Generally, operating hours are extended during Special Events on the Red, and

Blue/Green Lines for 1-1/2 hours after the conclusion of the event. A special Event is defined as an event that is likely to extend beyond 10:00 p.m. and is expected to draw 10,000 spectators or more to an area located within 1/4 mile of an RTA rail station.

Generally, operating hours are extended during Special Events on the Waterfront Lines

for 1-1/2 hours after the conclusion of the event. A special Event here is defined as an event that is likely to occur at any time, and is expected to draw 3,000 spectators or more to an area located within 1/4 mile of an RTA Waterfront Rail Line.


A special event on one line can impact other lines as well. GCRTA reserves the right to restrict or deny track availability when GCRTA deems it necessary to expand the hours of service to accommodate special events.

Generally after the last train exits a proposed work area the Control Center will authorize

occupancy for work. Track outage times provided by GCRTA include the time required for the Contractor to

arrive on scene and request the shut-down, as well as the time for GCRTA to arrive and shut down the track. The time spent waiting for the shut-down will be borne by the Contractor.

B. Contractor must not interfere with the normal transit system operations. Work may only

be performed by permit as delineated in this section of these specifications. C. The Owner retains authority over all rail traffic operations. The Owner shall reserve the

right to approve (or reject) the adequacy of the Contractor's protective measures to assure continuity of the Authority operations.

D. Additional single tracking after 8 p.m. or stopping of train traffic during the above Regular Operating Hours may be permitted. However, it is not guaranteed and the Contractor may not rely on having access to track areas during Regular Operating Hours. When permitted, it may be allowed under the following:

1. The Contractor has justified why the single tracking request is needed. 2. The Contractor has indicated the time frames in the original construction schedule. E. The requested occupancy will not be granted and can be revoked, even after being

issued, under the following conditions and at GCRTA's discretion: 1. Conflict with Special Events 2. Conflict with the RTA system maintenance and/or emergency work 3. Conflict with other ongoing construction projects 4. When snowfall exceeds or is forecast to exceed 5”, when freezing rain is forecast,

or when snow trains must be operated

5. When visibility is poor, creating an unsafe working environment for both work crews and GCRTA operations

F. Any occupancy of the Rail right-of-way requires an approved occupancy permit. Work

or occupancy within 10 feet of the centerline of any track requires an approved occupancy permit and generally daytime work hours are only available from 9:30 am to 2:30 pm.


Part 2 - Products 2.1 Not Applicable Part 3 - Execution 3.1 RESTRICTIONS BY GCRTA A. The Contractor must receive a permit prior to starting work that may affect GCRTA

property and facilities. Each Contractor must submit requests through the Engineering and Project Development (E&PD) Manager for prior Authority approval for occupying the rail right-of-way. These requests will be of the following types:

1. Wayside work - Required for all work performed on the rail right-of-way, not between the tracks and more than 10 feet from the centerline of any track.

2. Active Track Occupancy Permit - Required for all work performed on the rail right-of-

way using hand tools and within 10 feet from the centerline of any track. 3. Track Outage Permit - Required for any single tracking operation where one track is

taken out of service. 4. Power Outage Permit - Required for any work on the rail right-of-way that is within

10 feet of the energized catenary conductor wire; however, when power outages are not feasible, the Contractor may proceed with the work based on the Contractor's compliance with all OSHA regulations. These regulations include, but are not limited to, distance relating to qualified and unqualified personnel as defined by OSHA when working around the Authority's 600-volt catenary system.

5. Track Shutdown Permit - Required for any termination of Rail service i.e.

complete shutdown of service on track(s). This application must be submitted by 11:00 am Wednesday four weeks before the week of the track(s) shutdown.

All requests must be submitted in writing to the Director of E&PD no later than 11:00 AM

of the preceding Wednesday for consideration by the Director of Service Management or his designate. Due to other ongoing construction and maintenance projects, there is no guarantee that any request will be approved. All requests will be approved or disapproved in writing.

B. In the event of a reversal by either GCRTA or the Contractor of any Track or Power

Outage permit, a good faith effort must be made to notify the other party prior to the scheduled outage. Contractor cancellation of permits for work after 7:45 PM shall be no later than 3:30 pm that day, and any failure to cancel 12 hours prior to the scheduled outage shall result in the Contractor being assessed Liquidated Damages in the amount


of $500 for each occurrence. This cost must be paid directly by the Contractor to GCRTA. Failure to pay will result in rejection of all future outage requests. GCRTA will make a good faith effort to notify the Contractor 12 hours prior to any cancellation. However, it is understood that emergencies may occur which may prevent GCRTA from canceling within this time frame.

C. Power outages will not be allowed during the following conditions: 1. On holidays or during Special Events

2. Where weather conditions are such that icing of the catenary may occur (For example: RTA has experienced icing conditions when the temperature is between 25 and 35 degrees Fahrenheit with a chance of precipitation)

To confirm if weather conditions might be affecting rail operations, the Contractor may

call either the Control Center Supervisor at 216-566-5114 or 216-566-5115 or the Load Dispatcher at 216-566-5135.

D. Any unexpected effects upon the operations of scheduled/unscheduled train movements

shall be immediately called into the Control Center Supervisor at 216-566-5114 or 566-5115.

E. The Contractor must receive the proper outage permit prior to lifting of any bridge span,

or other such material, over GCRTA tracks. GCRTA Rail personnel shall be present in the area to ensure a safe and clear area after span lift. Demolition work shall stop when trains pass through a demolition area or trains shall be stopped at a safe distance if imminent danger is shown.

F. All work over GCRTA tracks shall be done with the overhead power off unless

authorized by both District Director-Rail and Director of E&PD or their designates. If any Contractor or Utility requires the de-energization of the overhead power to the Catenary System, a power outage permit must be approved per the above methods.

3.2 RESUMPTION OF REVENUE SERVICE A. The track must be returned to the Authority one-half hour before the start of scheduled

revenue service at that location. At the completion of the week night shift and at the completion of weekend work, the Contractor is to inspect and subsequently release the work zone back to the Authority for resumption of revenue service. This will require the Contractor to adhere to the following procedures:

1. Prior to release of a work zone, the Contractor is to clear his equipment, manpower

and materials from the right-of-way, an area defined as at least 10 feet from the centerline of each track.

2. The Contractor, along with the Engineer, will inspect the entire work zone to assure

that the work completed complies with the requirements of the Authority for the


resumption of revenue service within the work zone. The construction, at a minimum, must comply with FRA Class 4 Safety Standards for track or compliance with these construction tolerances.

3. Other requirements may be imposed by the Authority based on AREA construction

tolerances, procedures and/or practices. Imposition of slow orders and other means can be requested by the Contractor in order to assure the resumption of safe revenue operations.

4. When each item above has been completed, the Engineer shall notify the

appropriate Control Center Supervisor of the release of the work zone back to the Authority.

5. At the completion of each night shift and weekend work, the Contractor must inspect

work site and release it to RTA in an aesthetically pleasing manner as determined by the Engineer.

B. The Contractor must comply with the provisions of these General Requirements as

representing an integral part of his legal obligation under this contract. 3.3 TEMPORARY FALSEWORK AND PROTECTIVE STRUCTURES A. In order to protect GCRTA traffic (passengers, personnel and property) against harm

and damage from falling material and debris during any demolition or construction overhead, the Contractor shall furnish and erect an electrically insulated rigid temporary structure under the spans that are directly over the GCRTA tracks.

B. The flooring and siding of the temporary structure shall have no cracks or openings

through which material particles may fall. As a minimum, one layer of 3/4-inch plywood with lapped joints or an equivalent design shall be placed between the lower flanges of the structural steel beams above the track bed and the shoulders of the GCRTA tracks.

C. The temporary falsework shall be suitable for attachment of the live catenary wire

system, and all signal, power and communication cables. The falsework shall be removed by Contractor when work is completed.

D. Details of the temporary falsework and protective structures including the proposed

temporary under clearances to the GCRTA tracks, shall be prepared by a professional engineer for approval by the GCRTA Director of E&PD prior to starting any demolition or construction work.

E. This protective work shall be performed at the Contractor's cost.

F. Before starting the work of erecting the temporary falsework, the Contractor must have a special meeting with the Project Manager for the purpose of developing a plan for making arrangements to move, protect and reattach the fiber optic cable. Before any such work is started, the Control Center Supervisor will be notified at:


Control Center Supervisor, West Office Phone (216) 566-5114 Control Center Supervisor, East Office Phone (216) 566-5115 3.4 SPECIAL GCRTA REQUIREMENTS A. Rules for work performed within ten (10) feet of the GCRTA overhead propulsion power

cables: 1. Some of the work contemplated by this agreement may be performed within ten (10)

feet of the overhead propulsion power cables (catenary lines) providing 600-volt D.C. power to the GCRTA Rapid Transit.

2. In order to provide continual public transit service to meet the needs of the riding

public, the Authority desires to keep to a minimum any power outages that may adversely affect regularly scheduled public transit on the GCRTA Rapid Transit.

3. Overhead propulsion power cables (600-volts D.C.) shall always be considered

energized. The Contractor must not assume the power is shut-off until actually confirmed by GCRTA on a daily basis that shutdown has actually been accomplished. Despite power shut-off, the overhead propulsion cables are always to be considered hot.

4. All work shall be performed in accordance with rules, regulations, procedures and

safe practices of the GCRTA, OSHA and all other governmental agencies having jurisdiction over this project, including, but not limited to, applicable OSHA regulations pertaining to work performed within proximity of energized conductors. (29 CFR)

5. It is the responsibility of the Contractor to know and comply with all governmental

regulations pertaining to work performed in proximity to electrical power cables providing 600-volts D.C. (29 CFR)

6. It is the Contractor's responsibility to provide qualified persons who meet all

governmental standards, including, but not limited to, OSHA standards that enable them to perform the scope of work within proximity of overhead propulsion power cables providing 600 volts D.C.

7. The Contractor and/or individual employees of the Contractor shall be required to

present evidence upon demand that they have been trained and are otherwise properly qualified to perform work required by this agreement in accordance with applicable OSHA regulations or any other governmental regulations or standards required by this agreement.

8. The Contractor shall provide GCRTA with a safety program plan that shall address,

in part, the need to perform work within 10 feet of overhead power propulsion lines providing 600-volts D.C.


B. GCRTA aerial lines on GCRTA property may be relocated by GCRTA personnel if

required. The Contractor shall use all precautions necessary to see that the lines are not disturbed during the construction stage and shall cooperate with GCRTA in relocation of these lines. The cost of all wire relocation shall be paid for through a Force Account funded by the organization responsible for the project.

C. No equipment or material shall be suspended or erected above, within 16.0 feet

vertically above top of rail or higher based on existing catenary heights, or within 7.5 feet horizontally from the center of the track over which trains are operating, unless otherwise approved by GCRTA's Director of E&PD in advance.

D. Track ballast must be protected from contamination during demolition and construction.

Signal equipment must also be protected. The Contractor must furnish details at least 30 days well in advance of starting the work for approval on how they plan to protect both items.

E. No excavation, removal of existing pier foundations or constructing new foundations

adjacent to GCRTA tracks is permitted without approval of GCRTA. Sheeting may be required to prevent undermining of tracks. If sheeting is required, it is the responsibility of the Contractor to provide and install such sheeting. Proposed sheeting shall be prepared by a Professional Engineer for approval by GCRTA Director of E&PD prior to starting any excavation or demolition work.

F. If proposed construction is in the vicinity of a rapid station, pedestrian traffic to the

GCRTA station shall be maintained at all times by the Contractor. Structurally sound fencing, barricades, and/or shelters shall be provided to protect GCRTA users at the station entrances and platforms. The Contractor shall submit details of the protection system for GCRTA's Director of E&PD's approval before demolition is started.

G. No construction activity shall take place within GCRTA construction clearance limits

while track is active except with flaggers and the proper Outage Permit. During complete shutdown, Contractor is cautioned to the possibility of track utilization by RTA work trains and other service equipment.

H. No at-grade crossing of GCRTA tracks is permitted by vehicles or equipment, without

prior approval of the District Director-Rail or his designate. I. The Contractor shall provide, install, erect and maintain suitable lighting and protections

for safe and efficient progress and for any work that is to be performed after daylight hours.

J. Flaggers shall be provided by the Contractor, either through companies who supply

certified flaggers (obtain list from GCRTA) or by training and certifying its own employees through GCRTA. For flagging procedures, flagger training, and set-up of work zones, see Section 015020 - Standard Rail Flagging Procedures.


K. Any violation of GCRTA construction restrictions by the Contractor may result in immediate shutdown of construction activities until the violation is corrected.

L. These procedures are applicable whenever any personal or equipment of any Contractor

are on Authority rail property and/or more specifically, within a distance of 10 feet from the centerline of each track, including any and all work performed over tracks and work being performed on overhead (highway) structures.

Part 4 - Measurement and Payment 4.1 GENERAL A. No separate measurement or payment will be made for work required under this section. END OF SECTION 015010

STANDARD RAIL FLAGGING PROCEDURES Project 15.14 015020-1 July 2011

SECTION 015020 - STANDARD RAIL FLAGGING PROCEDURES Part 1 - General 1.1 INTRODUCTION

A. These procedures are applicable whenever any personnel or equipment of any contractor, subcontractor or consultant (hereinafter called Contractor) are on GCRTA Rail Right-of-Way. Special care is required when within an operating envelope around the tracks, the outer limit being a vertical plane located a distance of 10 feet from the centerline of each track, including any and all work performed over tracks including work being performed on overhead highway structures.

B. Contractors are responsible to know and comply with all Rail Operations Rule Book

safety rules and procedures, including the following:

1. On-site personnel shall wear safety shoes, hardhats, safety glasses, and lime green reflective safety vests at all times.

2. Before crossing any tracks, STOP, LISTEN and LOOK for trains or vehicles

approaching from either direction. Do not cross tracks unless you have time to walk normally, and do not take chances that would make a misstep serious. Do not step on the head of the rail. Never cross the track within switches, which can be operated at any time.

3. Do not walk on tracks except when absolutely necessary. When walking alongside

the tracks, face the normal direction of traffic. 4. Consider all tracks as operating tracks and be on the alert for trains operating in

either direction on any track at any time. 5. As a train approaches, move to a position of at least 10 feet from the centerline of

the track and look towards the train. When standing beside the tracks in a confined space, be sure that you have allowed sufficient space for the train to pass safely without touching your body, clothing, or any other object you may have in your possession.

6. Do not step into the first 20 feet of the track area behind a stopped train. Always

maintain a safe distance from the train, which could begin moving in either direction at any time.

7. The overhead wires of the 600-volt catenary system should always be considered

as energized. Do not work closer to the wires than allowed under OSHA regulations and other applicable codes and standards.

C. Personnel deemed as unsuitable by GCRTA shall be removed immediately by the

Contractor and will be barred from the GCRTA premises.


1.2 RESPONSIBILITY A. Contractor is responsible for compliance with all elements of these procedures, including

all training, drug testing, certification and re-certification. B. Contractors are responsible for all employee wages associated with the training,

certification, re-certification and use as Flaggers. C. GCRTA will not be responsible for "no shows," late arrivals or delays to Contractor due

to the failure to comply with the current Rail Operations Rule Book, or the certification and use of Flaggers.

D. A Work Zone and/or Single Tracking request may be denied or revoked for failure of the

Contractor to comply with these requirements. E. Failure of the Contractor to have qualified Flaggers will be grounds for the Authority to

have the Contractor cease operations until such personnel are available. Claims for lost wages and productivity will not be honored.

F. The Contractor will provide a Work Zone Plan that depicts the location and layout of all

protective equipment and flag personnel. The plan shall be based on the typical drawings following this section (see diagrams on pages 01502 - Figure1 through 015020 - Figure 13).

Part 2 - Products 2.1 REQUIRED EQUIPMENT A. The required equipment listed below shall be provided by the Contractor to the Flaggers

at the beginning of each shift of work. The Contractor will remain responsible for ensuring that all work tools and equipment are available to each Flagger.

B. Clothing worn by the Flaggers shall be compatible with the weather conditions. Shorts,

tennis shoes and other inappropriate clothing will not be allowed. Clothing shall not be loose fitting; safety boots with hard arch shank and toes are required for Flaggers and must be worn at all times. In accordance with OSHA 1910.136, safety shoes must comply with “ANSI Z41-1991, American National Standard for Personal Protection-Protective Footwear” and carry an Electrical Hazard (EH) Rating. Shoes that comply with these requirements will have “ANSI Z41” and “EH” printed on the label inside each shoe.

C. Whereas Flaggers are Contractor’s employees, GCRTA retains certain jurisdiction over

flag personnel. Flaggers must be trained and certified by GCRTA. No persons shall perform flag duties unless so qualified. The Contractor has all other jurisdiction, including wages, employment benefits, and day-to-day supervision.


D. Each Flagger must carry the following prescribed and Authority approved materials and equipment as listed below. The Contractor shall provide this material and equipment. The Contractor shall have spare expendable materials such as air canisters and flashlight batteries available at all times.

1. A GCRTA approved, lime green, reflective safety vest and safety shoes MUST BE

WORN AT ALL TIMES WHILE ON DUTY. 2. Flags - One red and one yellow. Flag shall be a minimum of 17” square on a 24”

wood handle. 3. Flashlight - For night, tunnel and underground operations. Flashlight shall be

powered by a minimum of two “D” cells and be clearly visible from a minimum distance of 500 feet.

4. Whistle 5. Air horn with spare full canister. Note: Air horn can only be used when

temperatures are above +20 degrees F. The horn shall be equal to Falcon Commander4 (Branchburg, NJ) with Falcon MRN 422 canister.

6. Signs - One orange “W” and one green “R” (Resume), both made with reflective

material. Each sign shall be placed in a clearly visible position (to the train operator) and should be within eight feet of the centerline of the track the Flagger is protecting. Signs shall be a minimum of twelve inches wide and eleven inches high on ½” plywood or aluminum highway sign stock. “W” letter shall be a minimum of six inches in height. Letter “R” shall be a minimum of six inches high. If highway cones are used for mounting, they shall be safety orange, twenty-four inches in height, with a heavy base plate with a minimum size of fourteen inches square. In windy conditions, a more secure mounting may be required. (See Appendix 1 - Trackside Signs, pages 015020 - Figure 14 through 015020 - Figure15)

7. Note pad and pen 8. Hardhat to be worn at all times. 9. ANSI Z-87 Safety Glasses shall be worn at all times. 10. GCRTA supplied radios issued to the Contractor shall be carried by Flaggers. The

radios shall be used for the passing of information to the flagmen regarding the operations of trains, as well as emergency situations.

11. Portable Trip Arms and Trip Stops as shown and required in the Work Zone

Diagrams. Trip arm fabrication plans provided upon request to the Engineer.

a. Portable Trip Arm – the trip arm can be raised and lowered. b. Portable Trip Stop – the trip arm can not be raised and lowered.


E. Prior to the start of flagging operations, the Contractor must inspect and replace all

defective, lost or stolen equipment. A daily check of all flagging materials and devices must be performed by the Contractor. A checklist shall be maintained and signed by the Contractor for inspection by GCRTA or its designated Representatives of the devices and a test of each to ensure they are working.

F. In addition to the equipment listed above, the GCRTA Rail District personnel will furnish

and install Protracker Devices for the Contractors. These devices are designed to warn workers of approaching rail traffic. The Protracker devices are to be considered as a secondary warning device to flag personnel. The Protracker device locations are as shown on the Work Zone plans.

Part 3 - Execution 3.1 WORK ZONES A. A Work Zone is a section of track protected by the use of warning signs and one or more

Flaggers through which trains operate (see diagram, 015020 - Figure 1 through 015020 - Figure 9, and including 015020 - Figure 10 and 015020 - Figure 11, in Non Cab Controlled Territory). It provides protection for work crews, passengers, trains, equipment, tools and property. Any work performed by a Contractor on or within 10 feet of GCRTA tracks must utilize a Work Zone and accompanying Flagger(s). If right-of-way occupancy will be outside of the 10-foot envelope of each track, but encroachment of equipment, materials or workers is possible, then one or more Flag Person will still be required.

B. GCRTA may, at its own discretion, require additional Flaggers if specific situations

warrant the additional Flaggers (such as poor visibility, extremely loud equipment, around curves, etc.) The cost of additional Flaggers will be borne by the Contractor.

C. Contractors must follow contractual and the current Rail Operations Rule Book

provisions for requesting a Work Zone on/or adjacent to the tracks. They must report their location and Work Zone limits to the Control Center Supervisor (CCS) for permission to set up the Work Zone.

D. Only the Control Center Supervisor may authorize the Contractor to set up a Work Zone. 3.2 PREPARING FOR THE WORK ZONE A. The Contractor shall contact the West (Red Line: Airport to E. 29th interlocking and

Waterfront Line) or East (Red Line: E. 29th to Windermere and the Shaker Lines) Control Center Supervisor (CCS) by radio daily before the start of work to inform the Control Center Supervisor of the work location, the nature of the work to be done and any other pertinent information. The Control Center can be reached at the following numbers: Control Center Supervisor West 216-566-5114, and Control Center Supervisor East 216-566-5115. In the event the Control Center Supervisor cannot be contacted, the Central Communications may be called at 216-566-5135. For Work


Zones within the Central Rail Storage Facility at E. 55th Street contact Yard Control at 216-566-5250.

B. The Contractor must have an approved Rail Right-of-Way Occupancy Permit before the

Work Zone is set up. The Control Center Supervisor (CCS) will announce the specific type of Work Zone on the radio with the start and end points to all Operators before the Work Zone is set up. The Contractor is responsible for ensuring that the Work Zone is set up properly.

1. The Crew Leader will notify the control Center Supervisor by radio after the Work

Zone setup is complete and that the work is commencing under a specific type of Work Zone. The Control Center Supervisor will acknowledge that the specific type of Work Zone has been set up.

C. The Contractor will be responsible for obtaining, removing and maintaining all the

required signs for the Work Zone. Each Contractor will be responsible for providing transport of their Flaggers to each work site.

D. The Contractor shall designate a person who shall be in charge of its flagging operation

(herein after referred to as the Flagging Supervisor). A Flagging Supervisor can only flag in the case of an emergency or to relieve a Flagger for a short period of time.

E. The Flagging Supervisor shall ensure the proper placement of the signs and Flagger(s)

as required and as shown on Work Zone diagrams. F. The Flagging Supervisor must send a Flagger sufficient distance ahead against traffic to

act as a lookout while the Work Zone is being set up. G. The Contractor is responsible for having Flaggers at the project site and will specify

when meal and other breaks are to be taken. Flaggers are NOT PERMITTED UNDER ANY CIRCUMSTANCES to leave their assignment without a replacement. Leaving a Work Zone without flag protection may result in serious injury and in project shutdown.

H. If a Flagger leaves the Work Zone without a replacement, the workers must immediately

leave the right-of-way, close the Work Zone, and advise the CCS immediately by telephone or radio.

I. The Contractor is responsible to ensure that the Flagger has all required equipment in

serviceable condition and that the Flagger and all other work crew members are wearing approved hardhats, safety glasses, safety shoes, lime green safety vests, and other required personal protective equipment. Failure to comply will be cause for project shutdown.

J. The Flagging Supervisor will adjust the Work Zone dimensions or number of Flaggers

whenever necessary to ensure adequate visibility of the Flagger to both the train operators and work crew. In certain locations, clear visibility from the orange warning, “W”, sign to the work area may not be available due to curves or obstructions. In these cases, additional Flaggers are required. The Contractor will position the Flagger at


locations so that the first Flagger has clear sight of the orange warning sign, and the second Flagger is between the first Flagger and the work crew and has clear sight of both the first Flagger and the work crew. The second Flagger's duty will then be to relay (repeat) signals given by the first Flagger to and from the work crew. In all cases, a minimum 200-foot distance from the first Flagger to the Work Zone will be maintained.

K. When visibility is less than 1,000 feet (due to fog or other conditions), the Contractor

shall close the Work Zone, vacate the right-of-way, and report clear to the CCS in accordance with the requirements in the GCRTA Rail Operating Rule Book.

L. When setting up the Work Zone, position the Flagging Supervisor at the work site. The

Flagger will then test the whistle and air horn. If the work crew cannot easily hear the whistle, the air horn shall be used along with the whistle. Test of whistle and air horn must be documented on Checklist, per section 2.1E.

M. After the Contractor has set up the approved Work Zone, the Flagger should stand, if

possible, approximately 3 to 4 feet to the side of the outer rail of the track, continually watching for oncoming trains.

N. The use of personal radios, cell phones and/or headphones, or similar devices, is

prohibited while performing flagging duties. O. Signals are to be given by the use of flags when outside during daylight hours. Always

give signals at right angle to the track while facing the oncoming train and standing between three and four feet from the outer rail. Flags of prescribed color must be used. The flag signals are:

1. Stop – move the red flag back and forth in a horizontal motion at waist level. 2. Proceed – swing the yellow flag up and down in a vertical motion, with the flag away

from the Flagger's body. P. A flashlight is used in place of the flags during hours of darkness, when the Flagger's

location is in a tunnel or other similar dark area, and when daylight signals cannot be plainly seen. The procedures are the same as flag signals, with the exception being that the movement of the light indicates the signal given.

Q. In the case of single tracking, a Flagger must be positioned at each end of the Work

Zone facing the direction of oncoming traffic. Work Zone shall be signed for both directions.

R. Any time the Work Zone is to be vacated for more than 20 minutes, the Work Zone is to

be removed (see Part 3.3-A1, B2, C2, and D1). 3.3 HOW THE DIFFERENT WORK ZONES FUNCTION A. Single Track Work Zone


Definition: A Single Track Work Zone is required when the track cannot be cleared of personnel, material, and equipment within 30 seconds of approaching rail traffic.

1. Crew Leader calls Control Center Supervisor by radio requesting a Single Track Work Zone, giving the Control Center Supervisor starting and ending points using crossover locations.

2. After Control Center Supervisor grants permission and makes the announcement of

the Single Track Work Zone from Points A to B on the radio, the Crew Leader will send a flag person 1,000 feet in each direction to act as lookouts while the Single Track Work Zone is being set up.

3. The GCRTA Rail District personnel shall provide and install the Protracker train

detection transmitters 800 feet in advance of the Work Zone on the track to remain in service on both sides of the Work Zone. The contractor must keep the Protracker in a position to warn the workers and flag personnel.

a. The Crew Leader will notify the control Center Supervisor by radio after the

Single Track Work Zone setup is complete and that the work is commencing under a One Track Work Zone. The Control Center Supervisor will acknowledge that the Single Track Work Zone has been set up.

4. On the track used by trains, set up the X Restricted Speed Zone signs 200 feet in

advance of the Work Zone in both directions. Refer to Diagrams in Section C of 01502.

5. Set up orange W-signs 700 feet in advance of Work Zone on the track used by

trains. Refer to Diagrams in Section C of 015020. 6. Install portable trip stops adjacent to the W-signs on the track not used by trains

(track out of service). Refer to Diagrams in Section C of 015020. 7. Install crossties 500 feet in advance of the Work Zone on the track that is to be

worked on. Refer to Diagrams in Section C of 015020. 8. Set up green R-signs and trip arms 200 feet beyond the exiting ends of the Work

Zone on the track used by trains. Refer to Diagrams in Section C of 015020. 9. Station a flag person at each speed sign, in a position of safety and visibility,

adjacent to the track to control all approaching train movements on any track. 10. Crew Leader will notify Control Center Supervisor after the Work Zone setup is

completed. a. Curvature or grade restricts visibility; additional flag person(s) are required.

(See diagrams 015020 - Figure 3, Figure 5, and Figure 7)


11. When a train is approaching the Work Zone, the flag person shall display the red flag and sound horn to notify the work crew of approaching train.

a. If the operator does not show any signs of recognizing the signal, the flag

person will alert the work crew immediately using a continuous blast of the whistle, air horn or any other method.

12. After train has come to a complete stop and work crew has cleared right-of-way, the

flag person will lower the trip arm and then display yellow flag, allowing train to proceed through Work Zone at Restricted Speed.

13. When the train has passed the R-sign, the flag person will reset the trip arm and the

operator may return to normal operation. A1. Removal of a Single Track Work Zone 1. The Crew Leader ensures that all equipment, tools and materials are removed from

the work area. 2. Workers shall clear the work area. 3. The trip stops and cross ties are to be removed by the Contractor. 4. The Protracker devices are to be removed by the GCRTA Rail District personnel

and the removal of the Protrackers will be verified by the Contractor prior to the removal of the Work Zone.

5. Trackside signs, trip arms, and trip stops will be removed by a worker with a flag

person providing protection and notification of approaching trains. 6. Once all workers, devices, equipment, signs and flag personnel are clear of the

track to a safe location, the Crew Leader will contact the Control Center Supervisor by radio to inform him that the Single Track Work Zone has been removed and the track is clear.

7. The Control Center Supervisor will acknowledge the Crew Leader and make a radio

announcement that the Single Track Work Zone is removed and the track is clear. B. One-Track Work Zone Definition: Work can be done on one track only, which includes 10 feet from the

centerline of the track on the field side of the track. Workers and equipment may not be in the devil strip (area between tracks) or on the adjacent track or Right-of-Way. The Work Zone must be cleared within 30 seconds of approaching rail traffic.

B1. Set Up of a One-Track Work Zone


1. Crew Leader calls Control Center Supervisor requesting a One-Track Work Zone, giving the Control Center Supervisor starting and ending points A and B.

2. After permission is given by the Control Center Supervisor, and after the

announcement has been made by the CCS that a One Track Work Zone is in affect from Point A to Point B on the radio, Crew Leader will send a flag person in each direction, 1,000 feet each, to act as lookouts while the Work Zone is being set up.


detection transmitters 800 feet in advance of the Work Zone on the track that has the One Track Work Zone. The Contractor must keep the Protracker in a position to warn the workers and flag personnel.

a. The Crew Leader will notify the control Center Supervisor by radio after the One

Track Work Zone setup is complete and that the work is commencing under a One Track Work Zone. The Control Center Supervisor will acknowledge that the One Track Work Zone has been set up.

4. Set up the X Restricted Speed Zone signs 200 feet in advance of the Work Zone in

both directions. (See Diagram on page 015020 - Figure 2.) 5. Set up orange W-signs 700 feet in advance of the Work Zone in both directions. 6. Set up green R-signs 200 feet past the Work Zone in both directions. 7. Station a flag person and trip arm at the speed sign on the track to be worked on. 8. After the Work Zone setup is completed, notify Control Center Supervisor that work

will commence. 9. When a train is on approach, flag person shall display the red flag and sound horn

to notify the work crew of an approaching train. 10. The crew is to clear the right-of-way. a. If the operator does not show any signs of recognizing the signal, the flag

person will alert the work crew immediately using a continuous blast of the whistle, the air horn or any other method.

11. After train has come to a complete stop and work crew has cleared right-of-way, the

flag person will lower the trip arm and display yellow flag, allowing train to proceed through Work Zone at Restricted Speed.


operator may return to normal operation. B2. Removal of a One-Track Work Zone


1. The Crew Leader ensures that all equipment, tools and materials are removed from the work area.

2. Workers shall clear the work area. 3. The Protracker devices are to be removed by the GCRTA Rail District personnel


4. Trackside signs and trip arms will be removed by a worker with a flag person

providing protection and notification of approaching trains. 5. Once all workers, devices, equipment, signs, and flag personnel are clear of the

track to a safe location, the Crew Leader will contact the Control Center Supervisor to inform him that the One-Track Work Zone has been removed and the track is clear.


announcement that the One-Track Work Zone has been removed and the track is clear.

C. Two-Track Work Zone Definition: Work can be performed within 10 feet of the centerline of both tracks and

includes the devil strip (area between the tracks). C1. Set Up of a Two Track Work Zone 1. Crew Leader calls Control Center Supervisor by radio requesting a Two-Track Work

Zone, giving the Control Center Supervisor starting and ending points using catenary numbers.

2. After Control Center Supervisor grants permission and makes the announcement of

the Two Track Work Zone on the radio, the Crew Leader will send a flag person 1,000 feet in each direction to act as lookouts while the Work Zone is being set up.


detection transmitters 800 feet in advance of the Work Zone on both tracks. The GCRTA will also provide the Protracker warning device. The Contractor must keep the Protracker in a position to warn the workers and flag personnel so they will be able to hear it. a. The Crew Leader will notify the control Center Supervisor by radio after the Two

Track Work Zone setup is complete and that the work is commencing under a Two Track Work Zone. The Control Center Supervisor will acknowledge that the Two Track Work Zone has been set up.


4. Set up the X Restricted Speed Zone signs 200 feet in advance of the Work Zone in both directions. Refer to Diagrams of Section C in 015020.

5. Set up orange W-signs 700 feet in advance of the Work Zone in both directions.

Refer to Diagrams of Section C in 015020. 6. Set up green R-signs 200 feet past the Work Zone in both directions. Refer to

Diagrams of Section C in 015020. 7. Station a flag person and trip arm at each speed sign, in a position of safety and

visibility, adjacent to the track to signal all approaching train movements on any track.

8. Crew Leader will notify Control Center Supervisor after the Work Zone setup is

completed. a. When curvature or grade restricts visibility, additional flag person(s) are

required. (015020 - Figure 3, Figure 5, and Figure 7.) 9. When the train is on approach, flag person shall display the red flag and sound horn

to notify the work crew of approaching train. 10. The crew is to clear the right-of-way. a. If the operator does not show any signs of recognizing the signal, the flag

person will alert the work crew immediately using a continuous blast of the whistle, air horn or any other method.

11. After the train has come to a complete stop and work crew has cleared right-of-way,

flag person will lower the trip arm and display yellow flag, allowing train to proceed through Work Zone at Restricted Speed.


operator may return to normal operation. C2. Removal of a Two-Track Work Zone 1. The Crew Leader ensures that all equipment, tools and materials are removed from

the work area. 2. Workers shall clear the work area. 3. The Protracker devices are to be removed by the GCRTA Rail District personnel


4. Trackside signs and trip arms will be removed by a worker with a flag person

providing protection and notification of approaching trains.


5. Once all workers, devices, equipment, signs and flag personnel are clear of the

track to a safe location, the Crew Leader will contact the Control Center Supervisor by radio to inform him that the Two-Track Work Zone has been removed and the tracks are clear.


announcement that the Two-Track Work Zone is removed and the tracks are clear. D. Total Shutdown Work Zone Definition: A Total Shutdown closes the rail line between two points. This includes both

track and overhead power. All rail traffic is excluded between these two points. D1. Setting up a Total Shutdown Work Zone 1. The Crew Leader contacts the CCS via radio and requests permission to Occupy

the Track from point A to point B. 2. Location of personnel and equipment between point A and B is given to the CCS. 3. The CCS gives permission to the PIC to occupy the track and the CCS notifies the

Operators that the Total Shutdown Work Zone is in affect from Point A to Point B. 4. The Crew Leader acknowledges that the track has been released from the CCS and

given to the Crew Leader and will notify the CCS when trip stops and cross ties will be installed. (015020 - Figure 8) Under conditions when the track is to be removed during the shutdown, derails may be used instead of cross ties.

5. The Line Department executes the power outage procedures. Barricades and

ground straps are applied. This ends with the Power Outage Form signed and acknowledging that power has been turned off.


detection transmitters 800 feet in advance of the Work Zone. The GCRTA will also provide the Protracker warning device. The Contractor must keep the Protracker in a position to warn the workers and flag personnel so they will be able to hear it.

7. The Crew Leader informs the CCS that the trip stops and cross ties have been

installed. Trip stop is placed 200 feet in advance of the cross ties on both tracks on both ends of the work location.

8. Rail traffic moving into the total shutdown Work Zone limits need to request

permission of the Crew Leader and granted by the Crew Leader, not the CCS. Trip stops and derails will then be removed by the Contractor. Personnel and equipment will be cleared for the safe passage through the work limits.


9. In certain locations, switches are clamped by the GCRTA Signal Department (SD) so that movements cannot be sent into the total shutdown work zone area. The CCS informed by the SD that the clamps are in place.

D2. Removal of a Total Shutdown Work Zone 1. The Crew Leader will verify that the track is in a condition to be returned to revenue

service. 2. The Crew Leader will verify that personnel and equipment have been removed from

the track. 3. The Crew Leader will verify that the trip stops and cross ties have been removed

from the track. 4. The Crew Leader will contact the CCS and inform them that the track is being

returned to the CCS from point A to point B, and that all personnel, equipment, and material are clear of the track. All trip stops and crossties have been removed from the track. Track is returned to the CCS.

5. Service Quality Rail Supervisor, along with the Crew Leader and Contractor,

will inspect the Total Shutdown Work Zone to verify that the Protracker, cross ties, and trip stops have been removed from the track for the resumption of rail service.

6. The Protracker devices are to be removed by the GCRTA Rail District personnel


7. The power outage form is signed acknowledging that the personnel, equipment, and

material are removed from the track. 8. Line Department begins the re-energization of the overhead power. Ground straps

and barricades are removed. Locks are removed from devices. 9. Central Communications transmits via radio that the overhead power is being

restored in the total shutdown work zone area. Power is restored. 10. If installed, clamps are removed from the switches by the RTA Signal Department to

allow movement on the track. CCS informed by the RTA Signal Department that the clamps have been removed from the switches.

3.4 WORKERS NOT GOVERNED BY WORK ZONES

A. MOVING INSPECTION ZONE

Definition: A Moving Inspection Zone is to be used for inspection of the right-of-way, with no work being performed. Up to four Inspectors are allowed.


1. Under special conditions, when a Work Zone is not required as approved by the

Engineer in advance, and an inspection is to be performed on or within 10 feet of the track, the following procedures will apply: Work Zone Signs are not required. (See Diagram 015020 - Figure 1)

a. The Flagging Supervisor will be responsible for the group following these

procedures and requirements. 1) One flagman is required with one up to two Inspectors. 2) Two flagmen are required when there are three or more Inspectors.

b. All Inspectors and Flagmen must wear an approved safety vest, hardhat, safety

glasses, safety shoes, and other required personal protective equipment. c. The inspection should always move towards approaching traffic. d. The Inspection Group will notify by radio the East or West Control Center

Supervisor (CCS) of the location and limits, the work being performed, and any other pertinent information regarding work activities. The Inspection Group must have the approval of the Control Center Supervisor and will wait until a Moving Inspection Zone has been announced before the inspection can begin. Extra caution is required when depending solely on a Moving Inspection Zone without having Work Zone signs in place.

e. Facing approaching trains; a Flagger will be positioned 200 feet ahead of the

Inspection Group. This Flagger must have all required equipment in serviceable condition. Because there are no Work Zone signs, trip arms, trip stops, and Protrackers, the use of the air horn/whistle is extremely important.

f. As work may progress along the track, the Flagger must remain 200 feet ahead

of the Inspection Group at all times. g. As the train approaches, follow the procedures listed in section 3.3 A, B, & C. h. Trains will slow to 15 mph on both tracks while moving through the Moving

Inspection Zone. i. When the inspection is completed, the Inspection Group will notify the Control

Center Supervisor by radio that the track is clear through the limits of the Moving Work Zone and the Moving Work Zone can be cancelled.

j. The Control Center Supervisor will acknowledge this and make an

announcement to all trains that the Moving Inspection Zone is cancelled. 3.6 PIGGYBACK WORK ZONE


Definition: A Piggyback Work Zone is a group of Work Zones within a Work Zone Limit that has been established by the Primary Work Zone. Piggyback work zones shall only be permitted under a Total Shutdown Work Zone or Single Track Work Zone.

A. The Primary Work Zone Person In Charge (PIC) will contact the ICC and request permission to set up the Work Zone. (See Diagram 015020 – C9)

B. Additional Work Zones may be established within the Primary Work Zone Limits with the

permission of the Primary Work Zone PIC.

1. Each Work Zone that is within the Primary Work Zone Limit is responsible to set up and provide the appropriate signs and equipment for their Work Zone per sections as per sections 3.3A, B, and C.

2. Communication and coordination must be established and maintained between all

Work Zones within the Piggyback Work Zone Limits. 3. Work time within the Piggyback Work Zone is limited to the time granted to the

Primary Work Zone.

C. Removal of the Piggyback Work Zones

1. All Work Zones within the Work Zone Limit must report to the PIC that they have removed their Work Zone and that all work has been completed and that they are clear of the Right-of-Way.

2. All Work Zones must be clear of the Right-of-Way when and if the Primary Work

Zone has completed their work and has cleared the Right-of-Way. 3.7 SPECIAL PROCEDURES A. Any orders, instructions or procedures that are found to be confusing, contradictory,

unsafe, or difficult to follow must be brought to the attention of the Flagging Supervisor. Any object waved violently by anyone on or near the tracks must be treated as a signal to stop.

B. In any instance where a train operator does not comply with the provisions governing

Work Zones, Slow Orders, and especially flag or flashlight signals, the Flagger should note that train's car number, block number, direction, time and location. This information must be recorded and reported immediately to the Engineer and the CCS.

C. During all signaling procedures, whether stationary or moving, always avoid working or

traveling in the median area between the eastbound and westbound tracks. This area, commonly known as the "devil strip," is extremely dangerous. Under certain circumstances, i.e., two trains passing, there is no way to escape and, in many cases, insufficient space for a person to occupy. If work or travel in the devil strip is required;


an individual should be extremely alert to approaching trains and/or work equipment on any track in any direction, as in many cases there is insufficient space between two trains for a person to occupy. The sound and/or distraction of one train can easily drown out the sound of or distract attention from the other approaching train.

D. Walking or standing between or directly on the rails is to be avoided at all times. E. Special precaution is to be taken where GCRTA right-of-way is bound by other railroads'

tracks adjacent to the GCRTA right-of-way. 3.8 FLAGGER TRAINING AND CERTIFICATION A. Each Contractor is required to hire its own employees and/or temporaries to perform the

duties of Flaggers. These employees shall be given a training session on flagging techniques and procedures by the GCRTA. These training sessions shall be supplemented with actual in-field training. The training sessions will be 8 hours total per person. The Contractor shall follow the procedures explained in the attached “Program A” for Certification and “Program B” for Recertification.

B. Each employee is to bring his own equipment to the training sessions. All alcohol and

drug testing results must be completed and accepted by GCRTA prior to the first class. C. Training classes are conducted periodically by the GCRTA, as needed, to maintain the

availability of sufficient flagging personnel. Contractors should contact the GCRTA regarding the availability of classes.

D. Additionally, all Contractors should have their superintendents, foremen, and other

supervisory field personnel trained in flagging procedures and the current GCRTA Rail Operations Rule Book prior to the beginning of construction, and Supervision certified on the Flagging Procedures.

E. Only trained personnel of the Contractor will be certified for the prescribed time period

and issued a GCRTA Flagger certification card. Flagging Supervisors will have their cards annotated by the GCRTA to show they are “Supervisors”.

F. Certification cards, valid annually, will be issued by the Training Department to each

Flagger who successfully completes GCRTA Flagging Training. The certification card will also serve as verification of identity and contain the following: Name, ID number, date of expiration, and signature of training supervisor.

G. All Flaggers are required, when flagging, to carry the GCRTA Flagger certification card

and a driver's license or state issued identification card. H. The GCRTA will retain a certified flagging personnel list. Flaggers must be recertified

annually before their certification expires. 3.9 DRUG AND ALCOHOL TESTING


A. All flagging personnel must submit to and pass a drug screen performed by a laboratory that is certified by Heath and Human Services (HHS) under the National Laboratory Certification Program prior to an offer of employment for this service.

B. The Contractor must certify at least one week before the start of training that the

Flaggers are drug-free and fit for work. All costs associated with the testing will be the Contractor’s responsibility.

C. The Contractor shall use appropriate selection criteria and candidate screening per 49

CFR Part 40 specifically §40.25 before employing person to performing flagging services.

D. The Contractor will ensure that all Flaggers meet all U.S. Department of Transportation

and Federal Transit Administration regulations including criminal record check and satisfactory completion of a periodic drug/alcohol screen.

E. In addition to pre-employment drug screening, such tests shall be conducted for

Flaggers as defined in 49 CFR Part 655 under the following circumstances: 1. Through the random selection testing process. 2. As soon as practical following involvement in any accident as defined by §655.44

where his/her actions, in-actions or activities may have contributed to the accident or cannot be discounted as contributing to the accident.

3. At any time when there is reasonable suspicion of an employee drug/alcohol use as

follows:

a. When a supervisor or company official has reasonable suspicion based on personal, observable and articulable, abnormal behavior by an employee, including appearance, behavior, speech, or breath odor, which objectively indicates drug or alcohol impairment.

b. Direct observation of an employee for drug use or possession by any

supervisor.

F. If the Contractor has a “second chance” policy, testing must also be performed prior to return to work after rehabilitation and also follow up testing as described by the Substance Abuse Professional.

G. If there is evidence that an on-duty Flagger is under the influence of drugs and/or

alcohol, the Flagger will be removed immediately from service and the Engineer and/or GCRTA Transit Police summoned.

H. The Contractor shall provide GCRTA with a copy of their written Substance Abuse Policy

which complies with the Department of Transportation Regulation 49 CFR Part 40 “Procedures for Transportation Workplace Drug and Alcohol Testing Programs” and 49


CFR Part 655 “Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations”.

I. The Contractor shall provide GCRTA’s Occupational Health Department with a monthly

report of the number of tests conducted in each of the above categories and the results. All testing shall be conducted pursuant to applicable Federal and State requirements, including but not limited to those set forth in 49 CFR Part 40.

J. The Contractor shall complete the annual Management Information System (MIS) report

per Federal Transit Administration (FTA) Regulation 49 CFR Part 655 and provide the report to GCRTA’s Occupational Health Department prior to March 10th of each year of the contract.

K. The Contractor will provide GCRTA’s Occupational Health Department with verification

of employee and supervisor training in Substance Abuse and policy distribution in accordance to 49 CFR 655, as well as identifying a drug and alcohol program manager.

L. The Contractor will be subject to record audits for compliance with the Substance Abuse

regulations. Drug and alcohol test results will be maintained in a confidential, separate file and retained according to the recordkeeping guidelines as outlined in §655.71. Failure to comply with DOT and/or FTA Substance Abuse regulations could result in the delay of payment for services or the termination of the contract.

Part 4 - Measurement and Payment 4.1 GENERAL A. No separate measurement or payment will be made for work required under this section. END OF SECTION 015020

Project 15.14 015020-A1 July 2011

FLAGGER TRAINING AND CERTIFICATION

PROGRAM A - INITIAL CERTIFICATION A. New Flaggers:

1. The Contractor will be associated with a collection site that can perform DOT drug collections. All drug specimens will be sent to a laboratory that is certified under the Department of Health and Human Services (HHS) by the Substance Abuse and Mental Health Services Administration (SAMHSA). The contractor will retain the services of a Medical Review Officer who will review all drug test results.

2. At the Contractor’s expense, all new Flaggers will be sent for DOT pre-employment

drug testing. The Contractor will receive all test results and will maintain records per DOT Regulation 49 CFR Part 40. All new Flaggers must have negative drug test results to be eligible for Flagger training.

3. A "GCRTA Drug and Alcohol Eligibility List Form" will be faxed to GCRTA’s

Occupational Health Department at (216) 771-4490 listing the following information: (See page 015020-A5 for copy of form)

a. The full name of the candidate

b. An identification number (either Social Security number or Driver’s License

number) c. Date of the drug test d. Results of the test e. The Project number, Project name and name of GCRTA’s Project Manager f. The name of the company representative responsible for the Drug & Alcohol

Program g. The signature of the company representative and date of GCRTA notification h. On the form check the appropriate initial certification or recertification box.

4. GCRTA’s Occupational Health Department will communicate with the GCRTA

Project Manager to provide the necessary information and to proceed with the request to schedule flag training.

5. Contractor shall also fax a notarized "Request for Flag Training and/or Rulebook C

Training Form" to the GCRTA Project Manager or Director of Project Development & Engineering, Fax No. (216) 771-4424, requesting training for the Flaggers. The form must contain the following information: (See page 015020-A4 for copy of form)

Project 15.14 015020-A2 July 2011

a. Contractor must fill out all contact information at the top of the form.

b. List the names of eligible candidates. Any Contractor who issues a false list of candidates may be deemed non-responsive for future GCRTA Projects.

c. Contractor must specify training class desired. Note: New Flaggers require Certification Training (classroom and in the field) and then must be recertified (classroom only) every 12 months.

d. Form must be notarized in section provided at bottom and faxed to Engineering and Project Development department to start the process.

e. Original notarized form must be mailed to address provided at the bottom of the form.

6. The GCRTA Project Manager or Director of Project Development & Engineering will

contact the Training Department to request a training date. The Contractor will be advised of the scheduled date and location of training via e-mail.

7. A maximum of three (3) Flaggers per trainer can be certified in the field at any one GCRTA Flagger training session.

8. The training will last 8 hours and includes both classroom and in the field on-the-job training.

9. The trainees must show up for the training session at the proper time. Tardiness will not be permitted. Tardy students will be released at the discretion of the Training Supervisor.

10. Trainees must come to class with appropriate equipment for both classroom and

field training. These include: Work safety shoes, air horn, whistle, red and yellow flags, flashlights or lantern, lime green reflective vest, hardhat and appropriate clothing for weather.

11. After the classroom and field training, the successful candidates shall be certified by

the GCRTA Training Supervisor and issued an ID card.

12. The Training Supervisor will also issue a letter to the Contractor with a copy to the GCRTA Project Manager and the Director of Project Development & Engineering indicating the names of certified Flaggers and the expiration date of the certification.

13. The Flagger must carry the ID card together with an Ohio ID or driver's license

whenever he/she is on GCRTA property performing his/her flagging duties.

14. GCRTA certification is valid for a period of 12 months. After this period, the Flagger must be recertified.

15. The GCRTA certification does not warrant a free bus or train ride to the Flagger.

16. There will be periodic/random checks on the performance and physical conditions of

the Flaggers by GCRTA staff and/or their agents.

Project 15.14 015020-A3 July 2011

17. Any Flaggers who are found to violate the flagging rules outlined in the Flagging Procedures will be removed from the project, and/or their agent(s).

18. A Flagger discharged for violation of the rules (maximum of two violations) will be

barred from GCRTA projects and denied future certifications. All such violations must be reported to the Director of Project Development & Engineering in writing.

Project 15.14 015020-A4 July 2011

REQUEST FOR FLAG TRAINING AND/OR RULEBOOK C TRAINING FORM

FAX TO: Marge Mitsionis, GCRTA Engineering and Project Development Dept. GCRTA Fax No: (216) 771-4424

_________________________, _____________________, ______________________________ (Company Name) (Contact Person) (E-Mail Address & Telephone #)

_____________________________, _________________, ______________________________ (RTA Project Name) (RTA Project No.) (RTA Project Manager) The contracting company (as indicated above) requests that a training session be scheduled for our flag personnel, supervisory personnel and/or operators who have negative urine, drug and alcohol results and are 18 years of age or older. Note: New Flaggers require Certification Training (classroom and in the field) and then must be recertifed (classroom only) every 12 months.

___Specify Training Class(s) Desired___ ____Flag Training____ Eligible Candidates Certification Recertif. Rule Book C

1. ______________________________ _______ _______ __________ 2. ______________________________ _______ _______ __________ 3. ______________________________ _______ _______ __________ 4. ______________________________ _______ _______ __________ 5. ______________________________ _______ _______ __________ 6. ______________________________ _______ _______ __________ 7. ______________________________ _______ _______ __________ ___________________________ ________________ Company President Date (Notary Stamp) ___________________________ ________________ Notary Date

PLEASE SEND ORIGINAL NOTARIZED FORM VIA U.S. MAIL TO: GCRTA, ENGINEERING &PROJECT DEVELOPMENT DEPT.

1240 W. 6th Street, Cleveland, Ohio 44113-1331

Project 15.14 015020-A5 July 2011

GCRTA DRUG AND ALCOHOL ELIGIBILITY LIST FORM GCRTA Project Title: __________ GCRTA Project No.: __ _ GCRTA Project Manager: ____ ___________ Contracting Company: _ __ Company Contact Name: _____ Phone #: _ E-Mail Address:__________________________ Proj Start Date: __ Completion Date: ______ Flagger Name

ID number

Date of testing

Pre- employment

Random

Post Accident

Reasonable Suspicion

Test Results

Certi- fication

Recerti- fication

FAX FORM TO GCRTA OCCUPATIONAL HEALTH @ (216) 771-4490 Submitted by: Title: Date:

Project l5.14 01502-B1 October 24, 2007

FLAGGER TRAINING RECERTIFICATION

PROGRAM B - RECERTIFICATION A. Recertification: 1. A Flagger must be re-certified every twelve months. B. Procedure for Recertification: 1. As prerequisites for recertification, follow steps in Program A-2 (with

modifications as noted below), A-3 and A-5 as listed in Program A. Check the recertification box on the GCRTA Drug and Alcohol Eligibility List Form. A two (2) hour classroom training for recertification is offered by the GCRTA Training Department.

2. The Contractor will provide a "GCRTA Drug and Alcohol Eligibility List Form"

as noted in A-showing evidence of DOT random drug/alcohol testing within the last 30 days or the Flagger will be sent for DOT pre-employment testing. The report will be faxed to GCRTA’s Occupational Health Department at least one week before the recertification training class is attended.

3. The candidate for recertification must be equipped as in Program A above. 4. Candidates who successfully complete the two (2) hour classroom training

will be recertified and can be deployed immediately. Recertification is valid for a period of 12 consecutive months.

5. Program A - Paragraphs 13 through 18 also apply. 6. Candidates with more than 12 months of inactivity must go through Program

A above and be certified.

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Note: For size of signs, see Section 2.1.D.6 on Page 3 ofTechnical Specification 01502.


Restricted SpeedA speed not to exceed fifteen (15) miles per hour, controllingmovement of any rail vehicle to permit stopping within one half therange of vision short of another train, broken rail, improperlyaligned switch, derails set in the derailing position, any signalrequiring a stop, motor vehicles at grade crossings, or otherobstruction.Red X on a Yellow Background

X

Note: For size of signs, see Section 2.1.D.6 on Page 3 ofTechnical Specification 01502.


THIS PAGE IS INTENTIONALLY BLANK.

PART THREE - INSTRUCTIONS TO PROPOSERS

RFP No. 2013-111 3-1 Inst 1104

PART THREE – INSTRUCTIONS TO PROPOSERS

I. GENERAL INFORMATION A. Brooks Act

This procurement shall be conducted in accordance with the requirements of 40 USC Sec. 541-544 (the Brooks Act). Under this procedure, a proposer submits only a Technical Proposal outlining its qualifications and experience applicable to the solicitation. No cost data is provided. Following the technical evaluation process described in Part IV, the highest-rated firm is requested to submit a pricing proposal, which is then evaluated and negotiated. Should the parties fail to reach an agreement on acceptable price and contract terms, the Authority may reject the proposal of the highest-ranked firm, and request a pricing proposal from the next-ranked firm. The process continues until a pricing agreement is reached or the Authority determines it must cancel the solicitation. If a proposal is rejected, negotiations cannot be resumed with that proposer.

B. Confidential Information Proposers which include in their proposals data that they do not wish disclosed to the public for any purpose or used by the Authority except in conjunction with this solicitation, shall:

1. Mark the title page with the following legend: This proposal includes data that shall not be duplicated, used, or disclosed in whole or in part, for any other purpose other than in conjunction with this solicitation. If, however, a contract is awarded the proposer partly as a result of this data, the Authority shall have the right to duplicate, use or disclose such data to the extent provided in said contract. This restriction does not limit the Authority’s right to use such data if it is obtained from another source without restriction. The data subject to this restriction are contained in pages (insert identification of pages).

2. Mark each page or sheet identified on the title page legend: Use or disclosure of data contained on this page (sheet) is subject to the restrictions on the title page of this proposal.

Please note that the Authority will use its best efforts to comply with and enforce such restrictions. However, the Authority is subject to the Ohio Public Records Law (Sec. 149.43, Ohio Revised Code), which may limit its ability to protect such data.

C. Entity It is important that the proposer clearly identify its legal structure. While the term "joint venture" is a term of art in the design field, the proposer must distinguish between a true joint venture, established as a legal entity, and a team effort in which one firm is the prime contracting party.

D. Amendment to Solicitation Any amendment or modification to this Request for Proposals shall be by addendum issued by the Director of Procurement. Any such addendum shall be acknowledged

RFP No. 2013-111 3-2 Inst 1104

by each offeror as part of the proposal, on the forms provided. All terms and conditions shall remain unchanged.

E. Reservation of Rights The Authority reserves the right to reject any and all proposals; to award a contract on the basis of an initial pricing proposal without negotiations; and to cancel this solicitation at any time.

F. Protests 1. Interested parties aggrieved by this solicitation or the award of any resulting

contract may file a written protest with the Director of Procurement of GCRTA. The Director of Procurement of GCRTA will consider all protests submitted before proposal opening, post-proposal opening, or after award.

2. The protest must include at least the following information: a) Name, address and telephone number of protester b) A statement of the relief is requested c) Identification of the solicitation under protest d) A detailed statement of the legal and factual grounds of protest including

reference to relevant document. to relevant documents 3. The Director of Procurement shall render a decision in writing within fifteen (15)

working days from receipt of the written protest and shall provide notice of such decision to all interested parties.

4. Protests Prior to Receipt of Proposals. Protests addressing the adequacy of this RFP, including any inequity or inadequacy in the Scope of Services, the Instructions to Proposers, and the Evaluation Criteria, must be filed at the Procurement Department no later than five (5) working days before the date proposals are to be received. Thereafter, such issues are deemed waived by all interested parties. Notice of protest and the basis, therefore, will be given to all parties that have requested the RFP. The proposal due date will be extended, unless the Director of Procurement determines that:

a) The items or services to be procured are urgently required; or b) Delivery or performance will be unduly delayed by failure to make the

award promptly, or c) Failure to make prompt award will otherwise cause undue harm to the

Authority or the Federal government

5. Protests After Proposal Receipt. Following completion of proposal evaluations and prior to award of contract, a proposer or subcontractor with a substantial economic interest in the award may submit a protest against the award. Such protest would generally address inequities in the evaluation process. Such protest must be filed within three (3) working days of the posting of a Recommendation of Award at the offices of the Authority's Department of Procurement. If the Director of Procurement decides that a protest lacks merit or that the award is to be made during the rendering of a protest, a written notice of the decision to proceed with the award will be given to the protestor and, as appropriate, to others concerned.

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6. Protests After Award. Notice of Protest against award must be filed at the

Procurement Department within five (5) working days immediately following the award. The sole basis for such protest is that the award was made in violation of the procedures of the Authority's Board of Trustees. The awardee will be furnished with the Notice of Protest and the basis thereof. When it appears likely that an award may be invalidated or that a delay in receiving the supplies or services is not prejudicial to the Authority's interest, the Director of Procurement may suspend performance by the awardee on a no-cost basis.

7. Protest to FTA. Under certain circumstances, a protest may be made to the Federal Transit Administration (FTA) in accordance with FTA Circular 4220.1F. These circumstances are generally limited to failure of a grantee to have a protest procedure, or failure to follow the grantee's written procedure.

G. Conflict of Interest Both the state of Ohio (O.R.C. Chapter 102 and Sections 2921.42, 2921.421 and 2921.43) and the Federal Transit Administration (49 CFR 18, Sec. 18.36(b)(3) and guidance identified in Vol. 66, No. 4 of the Federal Register, January 5, 2001, at pp. 1185-1186) have established definitions of conflict of interest. Generally, a firm will not be eligible for award hereunder if (1) an employee is or has been employed by the Authority in a capacity involving this project or related activities; or (2) if the firm has, by earlier employment, been in a position to affect the development of the project or the scope and requirements of this solicitation. The firm awarded this contract will not be eligible for award of future work on this project resulting from its efforts hereunder.

H. Pre-Proposal Conference The pre-proposal conference for this procurement will be held at 10:00 AM, MONDAY, JUNE 24, 2013 at the:

Greater Cleveland Regional Transit Authority 1240 West 6th Street Conference Room 5D Cleveland, OH 44113

II. SUBMITTAL OF TECHNICAL PROPOSAL A. Number of Copies

Proposers are requested to submit one original and eight (8) copies of the Technical Proposal.

Greater Cleveland Regional Transit Authority 1240 West 6th Street Fifth Floor – Procurement Department Cleveland, OH 44113

Attention: Jonathan Laule, Contract Administrator

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B. Date, Time and Place for Submittal of Proposals Proposals must be received by the Procurement Department of the Greater Cleveland Regional Transit Authority no later than 2:30 PM., official time, WEDNESDAY, JULY 17, 2013. The date and time may be amended by addenda issued by the Director of Procurement or his designee. Boxes or bulk packages of proposals should clearly indicate the name and RFP number, and delivered to:

Greater Cleveland Regional Transit Authority Procurement Department, 5th Floor 1240 West 6th Street Cleveland, Ohio 44113 - 1331

Hand delivered proposals shall be deposited with the Procurement Department Receptionist.

III. GUIDELINES FOR RESPONSE A. Format

In the interest of an equitable and expedient review process, proposers are requested to use a standard form and order of Proposal. The format shall be an 8-1/2" x 11" size booklet with a continuous plastic ring binder on one long edge, which will allow the pages to open fully and lay flat. No foldout sheets may be used. Contents will be organized as set forth in this Part.

B. Presentation The information requested is intended to provide the Authority with a basis upon which it can make an informed selection. Proposers should organize their presentations to facilitate the Authority’s understanding of the relevance and significance of information to the interests expressed in the evaluation criteria.

Accordingly, succinct, focused presentations of proposal information are sought. Graphics should be limited to those that contribute to the Authority’s understanding of a firm/design team’s proposal.

IV. CONTENTS OF PROPOSAL A. Front Cover

Each proposal should contain a front cover entitled as follows:

PROJECT 15.14 – ON-CALL ARCHITECTURAL/ENGINEERING SERVICES RFP No. 2013-111

Name of entity offering proposal

B. Transmittal Letter Each proposal should contain a transmittal letter identifying the firm or entity making the proposal and provide the name, address, and telephone number of the person who will represent the proposer(s) in negotiating with GCRTA. The letter should be addressed to:

RFP No. 2013-111 3-5 Inst 1104

Greater Cleveland Regional Transit Authority Procurement Department 5th Floor 1240 West 6th Street Cleveland, Ohio 44113-1331

Attention: Jonathan Laule, Contract Administrator

C. Business Information For Proposed Team 1. Identify the business entity with which the Authority will be contracting if the

proposer is selected. If the entity is a joint venture, identify the legal structure and members of the joint venture.

2. Provide a listing of other firms, which are a part of the proposer's team. 3. Provide the information set forth below for the prime entity.

a) Proposer’s Affidavit; the form is provided in Part Six, Forms, of this RFP. b) At least one banking reference.

4. Provide a statement establishing the lead entity's general authority to do business and to practice as a design professional (as applicable) in Ohio. Firms providing architectural and/or engineering services must address their ability to practice as design professionals in Ohio

D. Technical Capabilities of Team 1. General

Based upon the project description and scope of work, the proposal should address the disciplines and expertise required to perform the necessary services.

2. Submittal The following information is requested: a) A table of organization for the team showing:

(1) The relationship of the various members of the team to the prime consultant and to each other.

(2) The services to be performed/disciplines provided by each member of the design team.

b) A general plan for staffing the work, showing: (1) The key management and/or technical personnel for each

member of the design team, and their function on the project. (2) Current assignments of the key personnel, as well as the status

and schedule of these project assignments. c) A brief statement of recent relevant experience of each member of the

team with similar projects of comparable size and scope for similar facilities. The project references should include: (1) Project Owner (including address and name and phone number of

contact person).

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(2) A brief description of the project, indicating duration, size (project cost) and team member's role in the project and the project's relevance to this project.

(3) Participation of firm’s key personnel in the project. E. Project Understanding

The following information is requested to establish that the team has an appropriate understanding of the intent of this project:

1. A brief discussion of the major considerations involved in performing the requested scope of services.

2. A discussion of projects previously performed by one or more members of the team, which presented similar considerations. This discussion should include a discussion of the approaches taken and the result thereof.

3. A project schedule indicating the scheduling of major design tasks (generally the activities in the Work Effort Estimate form).

F. Procedures The proposer should describe its approach to the work effort involved to perform the project scope, indicating how the proposed methodology will benefit the Authority. This presentation should address the entity's general design philosophy and its application to the specifics of this project.

G. Audit The Contractor and all subcontractors will be required to maintain for three (3) years after close-out, accurate records of time expended and costs incurred in performing the contract, and to permit audit of all pertinent records by Federal, State, or GCRTA representatives.

GCRTA shall have the right to examine all books, records, documents and other data (including computations and projects) related to negotiating, pricing or performing modifications in order to evaluate the accuracy, completeness and currency of the cost or pricing data. The Consultant shall make available at its office, at all reasonable times, the materials described above for examination, auditing or reproduction until three years after final payment under the contract.

If this contract is completely or partially terminated, the records relating to the work terminated shall be made available for three years after any resulting final termination settlement. Records pertaining to appeals under the Disputes clause or litigation or the settlement of claims arising or relating to the performance of the contract shall be made available until disposition of such appeals, litigations, or claims.

The Consultant shall insert a clause containing all the provisions of this clause, including this paragraph, in all subcontracts over $10,000 under the contract, altering the clause only as necessary to properly identify the consulting parties and the consulting office under the GCRTA prime contract.

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H. Key Personnel GCRTA will have the Authority to reject any personnel and to approve any replacements in key personnel during the course of the work. Any replacements without the Authority's approval may not be reimbursed.

I. Required Forms The successful proposer will be required to complete the following forms prior to award; for convenience it is suggested that they be included in the Technical Proposal. These forms are included in this RFP:

1. Acknowledgment of Addenda 2. Delinquent Personal Property Tax Statement 3. Certificate on the Restrictions on Lobbying 4. Certification Regarding Debarment, Proposed Debarment and Other

Responsibility Matters 5. Certificate of Procurement Integrity 6. Forms Pertaining to Affirmative Action and Disadvantaged Business Enterprise

Participation. J. Indemnification and Insurance

To the fullest extent permitted by law, Consultant shall, at its sole cost and expense, indemnify, defend and satisfy all judgments, and hold the Authority, including its Trustees, officers, employees, agents, servants and representatives, harmless from and against any and all claims, actions, and judgments, costs, penalties, liabilities, damages, losses and expenses, including but not limited to personal injury, death, property damage, attorney's fees and worker's compensation benefits arising out of or resulting from the liability, damage, loss or expense is caused in hold or in part by the negligence or professional error or omission of the Consultant or any person directly or indirectly employed by it, including but not limited to subcontractors of every tier and their employees. Such obligation not negate, abridge or otherwise diminish or limit any right or obligation of indemnity which otherwise exist as to any party or person described in this paragraph.

K. Insurance The Consultant shall purchase and maintain for the life of this contract the following minimum insurance coverages. The Consultant shall also be responsible for assuring that each of its sub consultants and anyone employed directly or indirectly by any Consultant or sub consultants provide adequate insurance for the work performed or products supplied by it.

To the extent that any sub consultant will perform services of a personal or professional nature, for which the performer of the services must maintain insurance, Consultant agrees to assure that these same insurance requirements will be imposed upon sub consultants, in amounts agreed upon between the Consultant and GCRTA prior to retaining the sub consultant:

RFP No. 2013-111 3-8 Inst 1104

a. Commercial General Liability Insurance in the amount of $2,000,000 combined

single limit each occurrence and annual aggregate for bodily injury and or property damage. Policy to include:

• Contractual liability coverage insuring the “hold harmless’ provision set forth in

Section 2.4.1 hereof. • Said policy shall be written on an “occurrence” basis.

b. Automobile Liability Insurance in the amount of $2,000,000 combined single limit

each accident for bodily injury and /or property damage. Said policy shall apply to all owned, leased, hired and non-owned vehicles used in connection with the work.

c. Statutory Workers’ Compensation coverage in compliance with all applicable state

workers’ compensation laws to cover all employees furnishing labor under the terms of this contract and under the control of the Contractor. Employers’ Liability coverage in the amount of $1,000,000 per accident / $1,000,000 per employee for disease will also be included, either under the Workers’ Compensation policy or under the Commercial General Liability policy (Stop Gap) referenced under (a.) above. In Ohio: a copy of a certificate of premium payment from the Industrial commission and Bureau of WC, or a copy of the Certificate of Employer’s Right to Pay Compensation Directly.

d. Professional Liability / Errors & Omissions Insurance in the amount of $2 million per

claim. The definition of wrongful acts must be applicable to the work performed hereunder. As this insurance is written on a claims-made basis, the policy must be maintained for a minimum of two years following completion of the work.

e. Railroad Protective Liability insurance naming GCRTA as an insured and having

limits of no less than $2 million per occurrence and $6 million in the aggregate to cover bodily injury liability, property damage liability and physical damage to property. Alternative: In many instances, it is possible for an organization to address this exposure by an endorsement to its commercial general liability policy if it is not in the construction business per se or if it does not customarily work in proximity of a railroad right-of-way. The applicable endorsement is CG 24 17 – Contractual Liability – Railroads. A copy of the endorsement must be attached to the required Certificate of Insurance.

f. General Requirements: The contractor shall not commence work herein until it has

obtained the required insurance and has received written approval of such insurance by the Authority. It shall furnish evidence of such insurance in the form of a certificate (Acord or similar form). The certificate shall provide the following:

In the event the insurance should be changed or cancelled, such change or

cancellation shall not be effective until 30 days after the Authority has received written notice of such change or cancellation from the insurance company. Such notice shall be mailed by certified mail, return receipt requested, to the Authority care of the Director of Procurement.

RFP No. 2013-111 3-9 Inst 1104

Name the Authority as an additional insured for liability coverages under (a.) and (b.) above for claims arising out of operations in conjunction with the contract

Contain a waiver of subrogation in favor of the Authority.

Specific reference to the subject contract

Specific reference to all deductibles & Self Insured Retentions (SIR)

An insurance company having less than a A- X rating by The A. M. Best Company will not be considered acceptable. All certificates are subject to acceptance by the Authority. The Authority shall be entitled to receive a full copy of the insurance policy(ies) upon request and reserves the right to review financial statements & approve any deductibles or SIR.

g. Approval by the Authority: Approval of the insurance by the Authority shall not

relieve or decrease the liability of the contractor hereunder. It is to be understood that the Authority does not in any way represent that the insurance or the limits of insurance specified herein are sufficient or adequate to protect the Contractor’s interests or liabilities.

h. In the event Contractor neglects, refuses or fails to provide the insurance required

under the Contract documents, or if such insurance is canceled for any reason, the owner shall have the right but not the duty to procure the same, and cost thereof shall be deducted from moneys then due or thereafter to become due to Contractor.

V. Affirmative Action/Disadvantaged Business Enterprise (DBE) Participation Section

A. Nondiscrimination, Affirmative Action and DBE Participation In accordance with the provisions of this solicitation, the Authority will determine if an otherwise eligible offeror is responsible with regard to the Affirmative Action and Disadvantaged Business Enterprise (DBE) requirements contained herein. Accordingly, offerors are required to furnish information demonstrating satisfaction of the Affirmative Action and DBE requirements of this solicitation within two (2) calendar days after request by the Authority.

1. Affirmative Action a) Equal Employment Opportunity Information. The selected contractor

shall not discriminate on the basis of race, color, national origin or sex in the performance of a RTA contract. An Employer Information Report Equal Employment Opportunity (EEO-1) form is enclosed in this package. This form must be completed and submitted by the offeror as Enclosure A-1.

b) Non-Discrimination Affidavit. The solicitation also asks for all offerors to submit a notarized Non-Discrimination Affidavit assuring non-discrimination practices in its employment practices. It must be submitted as Enclosure A-2.

c) Employment Practices Goals. GCRTA has an Affirmative Action Plan to ensure equality of opportunity in employment practices by firms contracting for goods and services with the Authority. All non-construction contractors are required to submit Enclosure A-3 indicating the company’s employment goals for this RTA project. Offerors can contact the local offices of the Office of Contract Compliance at 216-522-7360 or the Department of Labor Statistics at 216-522-3852 to determine the project goals for the utilization of minorities and females having requisite skills that is in relation to their presence in the labor market area.

To ensure that the goals are being achieved, the contractor must submit an updated EEO-1 form every six months. For construction projects, the contractor is required to submit Monthly Utilization Report (Schedule 19B-3) with every progress report or request for payment. These submittals are required to monitor the contractor’s commitment to the 16% minority and 7% woman goals set for federally funded construction projects according to Executive Order 11246 as amended.

2. Affirmative Action Plan. If Contractors and first tier subcontractors have an

award price $50,000 or more and employ 50 or more persons, then those contractors are required to submit, in lieu of the form in Enclosure A-3, an Affirmative Action Employment plan for the project. This plan should include the following: a) An Equal Employment Policy Statement for the employment of minorities

and women. This statement must show how and to whom it is circulated, both internally (within your company) and externally (all sources used for

RFP No. 2013-111 3-11 Inst 1104

recruitment), and must name the person responsible for the implementation of these policies.

b) Information showing the current utilization of minorities, women and handicapped persons.

c) Goals and Timetables for hiring minorities and women for the duration of this contract, including: (1) Total employees expected to be employed in each job category

(use job categories shown on EEO-1 form). (2) Group employees (by ethnicity and gender categories) expected

to be employed in each job category. (3) Labor market availability group information - availability of

minorities and women in the specific industry or tasks involved on this project. With the exception of construction contractors, use this form to establish the goals required below. (Contact State Employment Office to get this information.)

(4) Number of expected job opportunities. If none expected, goals as required must still be established to allow for unexpected hiring.

(5) Goals - number and percent of minorities and women to be reached. Unless otherwise notified, the goals for construction contractors are 16% for minorities and 7% for women during the performance of the contract. A description of the method to be used for recruiting employees for the tasks of this project. These efforts must be substantiated by written documentation. Describe the method used to evaluate the program.

B. Disadvantaged Business Enterprise (DBE) policy and procedures The Authority is committed to encouraging participation by Disadvantaged Business Enterprises (DBE) in contracts let by the Authority. It is the policy of the United States Department of Transportation, as adopted by the Authority, that socially and economically disadvantaged business enterprises, as defined at Title 49, Code of Federal Regulations, Part 26, shall be afforded an equal opportunity in the performance of the Authority’s contracts or subsequent subcontracts resulting from Federal Regulations, Part 26, shall be afforded an equal opportunity in the performance of the Authority’s contracts or subsequent subcontracts resulting from this solicitation. In this regard, the offerors shall take all necessary and reasonable steps in accordance with 49 CFR Part 26, and the Authority’s DBE Program to ensure that the DBE obligation is met. The selected contractor shall not discriminate on the basis of race, color, national origin or sex in the performance of a resulting DOT-assisted contract.

1. Definitions a) "Disadvantaged business enterprise (DBE)" means a small business

concern, which is at least 51 percent owned by one or more socially and economically disadvantaged persons or, in the case of a publicly owned business, at least 51 percent of the stock of which is owned by one or more socially and economically disadvantaged individuals and whose management and daily business operation are controlled by one or more of the socially and economically disadvantaged individuals who own it.

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b) “Socially and economically disadvantaged persons” mean citizens of the United States (or lawfully admitted permanent residents) who meet the criteria set forth in 49 C.F.R. Section 26.5.

c) “Certified DBE” is a socially and economically disadvantaged firm that submitted a certification application and the appropriate forms to and received subsequent approval from the RTA Office of Business Development.

2. Contract goals and DBE participation The GCRTA has established a contract specific DBE goal of nineteen percent (19%) for the work to be performed under this solicitation.

In order to meet the DBE requirements of 49 CFR Part 26, disadvantaged business enterprises will be afforded an opportunity to participate, to an extent reflective of their availability in the community, in the performance of contracts financed in whole or part with Federal funds under this agreement. Consequently, GCRTA determines a DBE participation goal in contracts with potential subcontracting opportunities. This DBE goal will remain applicable to the total contract dollar amount including any modifications.

As noted earlier in the Instructions, offerors are required to disclose their proposed level of DBE participation (expressed as a percentage of the proposed bid price) in the space designated on the solicitation response.

The transit vehicle manufacturers are exempt from the requirements outlined Attachment B, but must, as a condition for participating, show evidence of FTA certification.

3. DBE firm eligibility. The DBE entities utilized toward the DBE participation goal on a contract should be certified by the Authority’s Office of Business Development. The firms eligible for inclusion in the contractor’s DBE plan must be certified under the classification code associated with the particular work scope that the firm is assigned to perform on this project prior to bid submission or the determination of best and final offer in an RFP process. Consult the DBE

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Directory at www.riderta.com or the Office of Business Development (OBD) of the Authority for assistance in ascertaining certified status of DBEs.

4. Counting DBE Participation. When a DBE participates in a contract, you count only the value of the work actually performed by the DBE toward DBE goals. a) Count the entire amount of that portion of a construction contract (or other

contract not covered by Paragraph (A)(2) of this section) that is performed by the DBE’s own forces. Include the cost of supplies and materials obtained by the DBE for the work of the contract, including supplies purchased or equipment leased by the DBE (except supplies and equipment the DBE subcontractor purchases or leases from the prime contractor its affiliate).

b) Count the entire amount of fees or commissions charged by a DBE firm for providing a bona fide service, such as professional, technical, consultant, or managerial services, or for providing bonds or insurance specifically required for the performance of a DOT-assisted contract, toward DBE goals, provided you determine the feat be reasonable and not excessive as compared with fees customarily allowed for similar services.

c) When a DBE subcontracts part of the work of its contract to another firm, the value of the subcontracted work may be counted toward DBE goals only if the DBEs subcontractor is itself a DBE. Work that a DBE subcontracts to a non-DBE firm does not count toward DBE goals. (1) When a DBE performs as a participant in a joint venture, count a

portion of the total dollar value of the contract equal to the distinct, clearly defined portion of the work of the contract that the DBE performs with its own forces toward DBE goals.

(2) Count expenditures to a DBE contractor toward DBE goals only if the DBE is performing a commercially useful function on that contract.

A DBE performs a commercially useful function when it is responsible for execution of the work of the contract and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a commercially useful function, the DBE must also be responsible, with respect to materials and supplies used on the contract, for negotiating price, determining quality and quantity, ordering the material, and installing (when applicable) and paying for the material itself. To determine whether a DBE is performing a commercially useful function, you must evaluate the amount of work subcontracted, industry practices, whether the amount the firm is to be paid under the contract is commensurate with the work it is actually performing, the DBE credit claimed for its performance of the work, and other relevant factors. A DBE does not perform a commercially function if its role is limited to that of an extra participant in a transaction, contract, or project through which funds are passed in order to obtain the appearance of DBE participation.

5. To determine whether a DBE trucking company is performing a commercially useful function:

http://www.riderta.com/

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a) The DBE must be responsible for the management and supervision of the

entire trucking operation for which it is responsible on a particular contract, and there cannot be a contrived arrangement for the purpose of meeting the DBE goals.

b) The DBE must itself own and operate at least one fully licensed, insured, and operational truck used on the contract.

c) The DBE receives credit for the total value of the transportation services it provides on the contract using the trucks it owns, insures, and operates using the drivers it employs.

d) The DBE may lease trucks from another DBE firm, including an owner-operator who is certified as a DBE. The DBE who leases the trucks from another DBE receives credit for the total value of the transportation services the lessee DBE provides on the contract.

e) The DBE may also lease trucks from a non-DBE firm, including an owner-operator. The DBE who leases trucks from a non-DBE is entitled to credit only for the fee or commission it receives as a result of the lease arrangement. The DBE does not receive credit for the total value of the transportation services provided by the lessee, since these services are not provided by the DBE.

6. If the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of the materials or supplies toward the DBE goal. A manufacturer is a firm that operates or maintains a factory or establishment that produces, on the premises, the materials, supplies, articles, or equipment required under the contract and of the general character described by the specifications.

7. Sixty percent of the total dollar value will be counted in the case of a DBE regular dealer that is not a manufacturer, provided that the DBE regular dealer performs a commercially useful function in the supply process to include brokers, etc in accordance with 49 CFR 26.55 Paragraph 2b. To be a regular dealer:

a) the firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question.

b) a person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone, or asphalt without owning, operating, or maintaining a place of business; if the person both owns and operates distribution equipment for long-term lease agreement and not on an ad hoc or contract by contract basis.

c) packagers, brokers, manufacturers’, representatives, or other persons who arrange or expedite transactions are not regular dealers within the meaning of this paragraph.

d) With respect to materials or supplies purchased from a DBE which is neither a manufacturer nor a regular dealer, count the entire amount of fees or commissions charged for the delivery of materials or supplies required toward DBE goals, provided you determine the fees to be reasonable and not excessive as compared with fees customarily allowed

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for similar services. Do not count any portion of the cost of the materials and supplies themselves toward DBE goals.

C. Solicitation DBE Requirements, Terms And Conditions In addition to any other requirements contained in this solicitation, the following DBE Program requirements must be satisfied and include a representation that:

• The Offeror has met the goal established by the Authority for this procurement, or

• The Offeror has made a good faith effort to attain the level of DBE participation sought by the Authority for this procurement

Each offeror must include a statement in Enclosure B-1 for non-construction solicitations or in the designated area of the construction bid the level of DBE participation attained through such effort. This submittal is regarded as a matter of responsiveness. Failure to make these submittals will serve to disqualify the bid or proposal as non-responsive to this solicitation.

1. DBE Participation Plan Each offeror should also prepare a complete DBE Participation Plan that sets forth the extent of DBE involvement in this procurement and will be considered in determining Offeror’s responsibility.

DBE participation plans shall include the following minimum information:

a) DBE Participation Schedule, (Enclosure B-2) which includes:

(1) Names and addresses of the DBE entities that will participate in the contract;

(2) The dollar amount of the participation of each named DBE;

(3) A description of the work each named DBE will perform;

(4) Letter of Intent (Enclosure B-3) from each DBE whose participation is proposed for the performance of this contract as a subcontractor or joint venture partner.

The following standards shall be applied in assessing the responsibility of the DBE plan submitted:

• Whether the participation plan contains capable currently certified DBE firms.

• Whether the firms listed in the plan are performing a commercially useful function.

• Whether the listed firms are sharing monetary benefit in proportion to their share of the work of the project.

• Whether the plan exhibits a likelihood of goal attainment.

• Whether the prime/sub relationships are firm, i.e., whether conditional subcontractors have been entered.

2. Good Faith Efforts If the DBE goal is not met, the Offeror must submit the good faith efforts it made to include DBE participation in the contract prior to bid submission or submission of the best and final offer on a proposal. The documentation of the efforts is outlined below.

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The standard by which the Authority will determine whether the efforts made by an offeror were good faith efforts is whether such efforts, made prior to bid submission or submission of the best and final offer on a proposal, could reasonably be expected to produce sufficient DBE participation to meet the goals set for this procurement. The Authority may consider all efforts advanced by the offeror as well as the following:

a) Did the offeror attend any scheduled pre-solicitation or pre-proposal meetings to inform DBEs of contracting and subcontracting opportunities?

b) Did the offeror advertise in general circulation, trade association and minority-focus media concerning the subcontracting opportunities? If so, show documentation of the publications and when advertised.

c) Did the offeror provide written notice to a reasonable number of specific DBEs that their interest in the contract was being solicited, in sufficient time to allow the DBEs to participate effectively? If so, provide proof or a record of the solicitation(s).

d) Did the offeror follow up with the DBE firms interested in participating? If so, show documentation of which DBEs contacted and when the follow up occurred.

e) Did the offeror select portions of work to be done by DBEs (including dividing contracts into economically feasible units to facilitate participation)?

f) Did the offeror provide adequate information about plans, specifications,

and/or contracting requirements?

g) Did the offeror negotiate in good faith with interested DBEs, not rejecting DBEs as unqualified without sound reasons? Please indicate the DBEs that you attempted to contract with and the reasons for rejections.

h) Did the offeror make efforts to provide assistance to obtain bonding, lines of credit, or insurance (if applicable)?

i) Did the offeror effectively use the services of available minority and female organizations, contractors’ groups, state and local offices, etc., that have knowledge of available DBE firms or the names or organizations to locate such firms? If so, show documentation of these efforts, the organizations and the contact persons.

3. DBE Modifications and Substitutions. The contractor must receive the

approval of GCRTA Office of Business Development before termination or making substitution for any subcontractors listed in its DBE plan.

This provision applies to all modifications and substitutions under any contract resulting from this solicitation. The contractor will be required to comply with this provision to the extent needed to achieve the DBE goals agreed to at the time of contract award.

a) If a prime contractor wishes to terminate or substitute a DBE subcontractor listed as fulfilling its contract goal, and then performs the work of the terminated DBE subcontractor with its own forces, an affiliate,

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a non-DBE subcontractor or with another DBE subcontractor, it must submit written documentation prior to the termination or substitution of the DBE subcontractor to the Office of Business Development. This will include any changes to items of work, material, services, or DBE firms that differ from those identified on the Intent to Perform form(s) on file. The Contractor must provide any and all documentation and information as may be requested with respect to the requested change.

b) The contractor’s documentation shall include the specific reasons for the proposed change. Specific reasons that are acceptable include, but are not limited to: the DBE was not able to perform; the DBE was unable to produce acceptable work; and/or the DBE has submitted an unreasonable escalation in price. In the case of a DBE subcontractor being substituted by another DBE subcontractor, the contractor should include the name, address, certification number and principal office of the proposed DBE firm. After careful review, the Office of Business Development will approve or disapprove the change.

c) If the change involves a subcontractor substitution, the contractor must make good faith effort to replace one DBE with another DBE. The substitute DBE firm must be certified by the RTA in order for the contractor to receive credit toward fulfilling its DBE participation goal for the contract. In the event that the contractor is unable to contract with another DBE firm, good faith effort documentation must be provided to the Office of Business Development describing the unsuccessful attempts to locate a substitute DBE. In all situations, the contractor may not terminate or substitute a DBE subcontractor without the prior written consent.

d) The contractor must submit a new Intent to Perform form for the substitute DBE firm(s) with the request for change to verify that the new DBE firm(s) is certified by the RTA. The contractor shall provide a copy of the executed subcontract agreement with the proposed DBE firm to the Office of Business Development within five (5) business days of its receipt of the substitution approval.

e) If the change involves a modification, the contractor must submit, if applicable, the Intent to Perform form specified for contract modifications for any DBE subcontractor affected by this change. This form may be obtained from the Office of Business Development or see Enclosure B-3.

f) If the contractor does not comply with this provision, the Authority may elect to apply contract remedies as defined in 49 CFR Part 26, or other contract remedies, as appropriate. Additionally, the Office of Business Development may recommend that the profits from the terminated portion of the DBE subcontract be forfeited by the Contractor.

The Authority may at any time prior to award seek clarification or additional information bearing upon offeror responsibility in respect of DBE involvement with this procurement. If sought, such information must be strictly confined to matters of offeror responsibility and must be received by the Authority within two (2) days of the date request is made.

RFP No. 2013-111 3-18 Inst 1104

In the event a contract is awarded, the DBE Participation Plan submitted by the successful offeror and the terms, conditions and requirements contained in this solicitation shall become an integral part of the contract, binding said offeror to full and faithful performance in accordance with said plan.

4. Contract Compliance – DBE Payment Compliance Report and Site Visits a) During the performance of any resulting contract and for a period of up to

three (3) years following completion of the contract work the Authority may initiate reviews for compliance with the requirements of the Authority's Prompt Payment Policy, DBE Program and the successful contractor’s DBE Participation Plan. Such reviews will involve the review of monthly invoices, the Payment Compliance Report forms, desk audits and/or onsite reviews.

b) Concurrently with the submission of the invoice or each request for a progress payment under this contract, the contractor shall provide on the Payment Compliance Report form (Enclosure B-4 a breakdown of the amounts paid to date to subcontractors identified by the contractor to participate on this contract. As provided elsewhere in this solicitation document, the Authority may withhold all or part of any progress payment otherwise due the contractor if the contractor fails to submit the Payment Compliance Report form and/or make prompt payments according to RTA procurement procedures to all its subcontractors, suppliers, materialmen or laborers.

Any award resulting from this procurement shall be and is conditioned upon the attainment of the aforesaid goals or the satisfactory showing of good faith efforts to attain said goals.

Where a contractor is found by the Authority to have failed to comply with the requirements of the DBE Program or the contractor’s DBE Participation Plan, the contractor will be required to take corrective action. If corrective action is not promptly taken by the offending contractor, the following sanctions may be imposed (singly, in any combination, and in addition to any other remedies provided by law or equity):

a) The Authority may withhold all further payments under the contract.

b) The contractor may be ordered to stop work.

c) The contract may be terminated for breach.

d) Suspension or debarment proceedings may be commenced in accordance with 49 CFR, Part 29.

e) The Director of Procurement may find the defaulting contractor non-responsible in respect to other solicitations for a stated period of time.

f) The contract payments may be reduced by an amount equal to that designated in the DBE plan for DBE participation.

g) The relevant performance bond(s) may be enforced.

RFP No. 2013-111 3-19 Inst 1104

5. Nonsegregated Facilities Certificate. For construction contracts, the offeror and each of its subcontractors of any tier prior to receiving award of contract whose price will be $10,000 or greater, must file with GCRTA a Nonsegregated Facilities Certificate on the form supplied with these materials (See Pre-Award Data Form). The Offeror must submit its certificates as Enclosure B-4 of its Pre-Award Data submitted. The subcontractor's certificate must accompany the Post-Award submission described earlier in the Instructions.

PART FOUR – PROCUREMENT PROCEDURES

PART FOUR – PROCUREMENT PROCEDURES

I. Procedures

The selection of a Construction Support firm for the project services set forth in this RFP shall be made according to the requirements of the "Brooks Act" and the Oho Revised Code (ORC) Sections 9.33 and 9.332.

These procedures generally require evaluation and ranking of firms/design teams on the basis of the technical proposal. The Authority shall offer the entity with the highest ranked proposal the opportunity to submit a price proposal and negotiate a contract.

A. Initial Procedures 1. The Authority shall form a Proposal Evaluation Committee that shall

evaluate and rank the qualifications of the proposals submitted. The evaluation criteria are set forth below.

2. Firms shall submit the technical proposal in the form requested Part III Instructions to Proposals.

B. Preliminary Ranking of Proposals and Presentations 1. The Proposal Evaluation Committee shall evaluate and preliminary rank

the technical proposals submitted: thereby, establishing a Zone of Consideration that will determine which proposers will be invited to make presentations to the Procurement Evaluation Committee.

2. The evaluation of proposed DBE participation at this state of the process is necessarily limited to evidence of good faith efforts to achieve the level of DBE participation set forth in the project goal, given the absence of pricing information by which to ascertain actual compliance with the project goal. a) This evaluation will be conducted by the Authority's Office of

Business Development, which will look at the inclusion of DBEs in the design team and the allocation of hours to these DBEs.

b) The Authority reserves the right to request additional information regarding the proposer's good faith efforts during this part of the evaluation of proposals.

c) Evidence of good faith efforts satisfactory to the Authority must be provided in order for a proposer to be issued an invitation to make a presentation to the Procurement Evaluation Committee. However, a preliminary determination that good faith efforts have been made is subject to confirmation in the price proposal.

3. Those proposers invited to make presentations will then be notified and informed of the schedule, time, allotments, agenda/guidelines and other specifics for the presentation.

C. Selection and Negotiation 1. After the conclusion of all of the interviews with the invited proposers, the

Project Evaluation Committee will evaluate the proposals and prepare a final ranking of the firms interviewed.

2. The Authority will then initiate contract negotiations with the highest ranked proposer by providing a draft contract and requesting a price proposal for performance of the project services under the terms of the proposed agreement. The price proposal will include a presentation of the proposed level of DBE participation.

3. The Authority's Office of Business Development shall review the presentation of proposed DBE participation and request, as it deems necessary, additional information regarding the proposer's good faith efforts. A determination that the proposer has conformed with the Authority's DBE policy is a prerequisite for reaching the agreement with the proposer.

4. If the Authority and the highest-ranked proposer can reach an agreement, an award shall be formally made to conclude this procurement. Award of a contract will depend on the successful negotiation of: a) The work effort to be provided, in hours, for various categories of

personnel. b) Staffing commitments. c) Contract Price, including the components thereof, and other

matters concerning compensation. d) Acceptance of obligations of procurement clauses and other

requirements imposed by the grant funding from the Federal Transit Administration.

e) Terms of contract. f) Compliance with requirements for Affirmative Action. g) Conformance with the Authority's policy for DBE utilization. h) Any other matters at issue.

5. If such an agreement cannot be reached within a reasonable time, as determined by the Authority, it shall terminate negotiations with the highest ranked proposer. The Authority shall then solicit a price proposal from and initiate negotiations with the second ranked proposer. This procedure will be repeated with additional proposers in order of their respective rankings until an award can be made.

6. The Authority reserves the right to award a contract or reject all proposals.

II. Evaluation and Ranking of Proposals The criteria with which the Authority will evaluate the submitted proposals is set forth

A. Project Manager 15 points B. Assigned Staff 35 points C. Past Performance 20 points D. Project Approach 20 points E. Location of Majority of Work 10 points F. DBE Participation Yes/No

TOTAL POINTS 100

Discussion A. Project Manager

The proposed Project Manager shall, using a points system, be evaluated based on the current statement of qualifications/RFP response and any performance data already on file with GCRTA, together with statements submitted by other agencies regarding the proposed Project Manager. The Selection Committee may contact project references listed as necessary to conduct the evaluation. The evaluation will result in a score being assessed for this category with the highest ranked project manager receiving the maximum number of points.

B. Assigned Staff The experience and strength of the assigned staff, including the subconsultant staff, should be ranked and scored as noted for Project Manager above, with higher point values assigned on most relevant project experience. The selection committee may contact project references listed, as necessary to conduct the evaluation.

C. Past Performance The Consultant’s past performance on similar projects shall be evaluated using the points system and a score assessed. The allocation of points to this category should take into consideration the complexity of the projects and ay sub-factors identified in the RFP. The Selection Committee may contact project references listed, as necessary to conduct the evaluation.

D. Project Approach This criterion measures the degree to which the proposal demonstrates a comprehensive and accurate portrayal of the Consultant’s understanding of the project. Included in this degree to which the Consultant articulates the existing and potential design challenges of the project and their approach completing the project.

E. Location of the Majority of the Work Points will be assigned based upon the location where the majority of the work is proposed to be performed as follows: 10 points > 50% of work performed within Cuyahoga County 5 points > 50% of work performed within Cuyahoga County and adjacent counties 0 points > 50% of work performed outside of Cuyahoga County and adjacent counties.

Contract Negotiations Award of a contract will depend on the successful negotiation of:

A. The work effort to be provided, in hours, for various categories of personnel.

B. The hourly salaries of various categories of personnel. Company overhead and profit are negotiable and subject to government audit (GCRTA Federal, State).

C. Staffing commitments (Project Team and Subcontractors).

D. Other Direct Costs (miscellaneous costs, travel, etc.). E. Work Schedule. F. Any other matters at issue. Award will also be contingent upon acceptance of the announced terms of the contract and compliance with all requirements for Affirmative Action, DBE and other required assurances.

PART FIVE – SAMPLE CONTRACT

A/E T&Cs Page 1 of 10 Rev. May 2012

PROJECT 15.14 – ON-CALL ARCHITECTURAL/ENGINEERING SERVICES RFP 2013-111

THIS AGREEMENT, entered into as of the ____ day of ___________________, 2012, by and between ______________ (hereinafter called “Consultant”), whose business address is _________ and the Greater Cleveland Regional Transit Authority, (hereinafter called “GCRTA” or the “Authority”) having an office at 1240 West 6th Street, Cleveland, Ohio 44113, acting pursuant to Resolution No. ______. WITNESSETH THAT: Contract with Consultant. The Authority hereby agrees to engage the Consultant, and the Consultant agrees to provide said services hereinafter set forth in conformity with its professional standard and with regard to all applicable Federal, State, and Local laws to which the Authority and the Consultant and their respective employees are subject. Scope of Services The Consultant shall do, perform, and carry out in a satisfactory, proper, and timely manner the rendering of services (hereinafter called the "Services") set forth in the attached Scope of Services (Attachment A), and the Project Schedule, Attachment C, both of which are incorporated by reference hereto and made a part of this contract in accordance with the following terms and conditions:

a) Schedule of Compensation (Attachment B), Schedule of Performance (Attachment C), and Schedule of Insurance (Attachment D) all of which are attached hereto and incorporated herein by this reference.

b) The Consultant shall report not less than monthly, if requested, the progress of the

Services. The Consultant shall, at the request of the Authority, be available to report to the Authority's staff, Board of Trustees, or any committee thereof, progress reports, recommendations and any other information prepared, developed, obtained or related to the Services or the subject matter thereof.

c) It is specifically understood and agreed that time is of material concern. A breach of

the time of performance is a breach of this Contract.

d) The Consultant shall perform its Services under the direction of the Authority's Project Manager or his/her designee, to whom it shall address all reports and submittals.

Key Personnel.

e) The Consultant shall utilize personnel suitable and appropriate to the subject matter of the Contract and the specific portion of the Services involved. The Consultant shall provide key personnel, in accordance with Attachment “B” of this Agreement. Changes in these assignments, with respect to either person or position, shall not be made without the prior written approval by the Authority. Personnel so employed shall be considered employees of the Consultant; or a sub Consultant, as appropriate; under no circumstances shall any such personnel be considered employees of the Authority or as having any contractual relationship therewith.


f) None of the Services hereunder shall be subcontracted without the prior written

consent of the Authority. In each instance, the Authority must approve any sub Consultant and its contract with the Consultant. Absent such approval, the Authority shall not compensate Consultant for Services performed by a sub Consultant.

g) Consultant represents and warrants that neither it nor its personnel to be employed

hereunder are under obligation to any other individual, firm or other entity, which would conflict with or impair their ability to fully perform their services and other obligations hereunder. Consultant further represents and warrants that, if it or any of its personnel to be employed hereunder possess trade secrets or other confidential information of any other individual, firm or other entity under obligation of non-disclosure, they shall perform their services and other obligations hereunder in full compliance with the terms of such obligation.

Time of Performance. The term of this contract shall be identified in the Notice To Proceed, in accordance with the Request for Proposal Scope of Services and Consultant’s Schedule of Performance. In task order contracts, the term of performance will be stated when the first task order is issued. The services of the Consultant are to commence upon the effective date of this Agreement and shall be undertaken and completed in accordance with the schedule established in Attachment C, or any modification thereof agreed upon by the parties hereto. These services shall continue until all tasks have been completed and finally accepted by The Authority. The total performance schedule as described in Attachment C will begin with Notice to Proceed to the Consultant. Any extension of this Contract or Services performed after the end of such term may be authorized in writing only by the General Manager of the Authority, or his/her designee.

Compensation and Method of Payment.

a. The Authority agrees to pay the Consultant an amount not to exceed three

hundred thousand & 00/100 dollars ($300,000.00) for performance of the contract, on the basis set forth in Attachment B hereto. This contract type is Firm-fixed-Price (FFP).

b. Payments hereunder will only be made upon invoices properly submitted in

accordance with this Contract. Invoices shall be submitted monthly for Services performed or costs incurred during the preceding month.

c. Each invoice submitted shall identify the purchase order issued for this contract.

Each invoice shall be supported by a statement of services rendered by the Consultant, identifying the specific services performed, the time involved, the classification of the individual or group performing the Services, and the rate(s) associated therewith.

d. Final payment shall be made by the Authority only upon satisfactory completion

of each and every obligation of the Consultant hereunder and the submittal of all necessary and appropriate documentation required hereunder.


e. Payments will generally be made within thirty (30) days following approval of the invoice. Such approval or payment shall not constitute acceptance or approval of the product and/or services invoiced. Late payments shall accrue no interest.

f. Payment will only be made for services accepted. For services accepted for

which acceptance is later revoked prior to payment, the payment will be withheld until defects in the nonconforming services are cured and accepted. In the case of serial deliveries and serial invoicing, GCRTA reserves the right to deduct overpayments from current invoice amounts.

g. The Consultant agrees to pay each sub consultant under this contract for

satisfactory performance of its contract no later than ten (10) calendar days from receipt of each payment the Consultant receives from the Authority. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval from the Contracting Officer.

Terms of Agreement. The effective date of this Agreement shall be the date of its execution by the Authority. The services of The Consultant are to commence upon the effective date of the Notice to Proceed and shall be undertaken and completed when and in the sequence required to accomplish the tasks described in the Scope of Services. These services shall continue until all tasks have been completed and accepted by the Authority.

Limitation of Costs. The parties agree that the services hereunder, as presently contemplated, will not cost the Authority more than the amount specified in Paragraph 6(a) above. The Consultant shall notify the Authority in writing whenever the total billings reach eighty-five percent (85%) of the total contract price or any discrete portion thereof; or when the estimated total cost for the performance of this contract, exclusive of any fee, will be either greater or substantially less than had been previously estimated. As part of the notification, the Consultant shall provide the Authority with a revised estimate of the total cost of performing this contract. Design Within Funding Limits. The Consultant shall design the project in an effort to comply with the budget specified in the Request for Proposal, as may be amended. Consultant shall, at each phase of the design effort, keep the Authority informed of the cost estimate and impact of any proposed alteration of the design. Indemnification and Insurance.

a. To the fullest extent permitted by law and to the extent of Consultant's negligence, the Consultant shall, at its sole cost and expense, indemnify, defend, satisfy all judgments, and hold harmless the Authority and its agents, representatives, and employees from and against all claims, actions, judgments, costs, penalties, liabilities, damages, losses and expenses, including but not limited to attorney's fees and worker's compensation benefits arising out of or resulting from the performance of this contract, providing that any such claim, action, judgment, cost, penalty, liability, damage, loss or expense is caused in whole or in part by the negligence or professional errors or omission of the Consultant or any person or entity directly or indirectly employed by it. Such obligation shall not be construed to negate, abridge, or otherwise diminish any other right or obligation of indemnity which would otherwise exist as to any party or person described in this paragraph.


b. The Consultant shall obtain at its own expense the insurance specified in Attachment D hereto, and shall maintain said insurance in full force and effect at all times during the term of this Contract, including any extensions thereof.

c. The Consultant shall comply in all respects with the Ohio law known as the

Workers Compensation Act, and with comparable laws of other jurisdictions in which work is performed. The Consultant shall pay into the State Insurance Fund necessary premiums required to cover all employees furnishing labor under this Contract and under control of the Consultant. The Consultant shall relieve the Authority from any costs due to accidents or other liabilities under this Act.

d. The Consultant shall not commence performance hereunder until it has obtained

all required insurances and furnished satisfactory evidence thereof to the Authority. Consultant shall provide the Authority's Director of Procurement with no less than fifteen (15) days written notice prior to any cancellation or alteration of such policy or coverage. All such policies shall be obtained from companies duly licensed to provide such insurance in the State of Ohio, and having a A-X or better policy holders rating by the A.M. Best and Company, Incorporated.

e. Approval of such insurance by the Authority shall not relieve or decrease the

liability of the Consultant hereunder. The Authority does not in any manner represent that the coverages or limits provided hereunder are sufficient or adequate to protect the Consultant's interests or liabilities.

Notice to Proceed. The Authority shall furnish the Consultant with written direction to commence performance hereunder entitled "Notice to Proceed" within ten (10) days after receipt of the required evidence of insurance and such other documentation as the Consultant may be required to provide prior to commencement of performance. The Authority shall not be responsible for any services performed or costs incurred prior to issuance of such Notice to Proceed. Contract Changes. The Contract shall not be amended or modified except by written agreement of the parties. Termination for Default. Should the Consultant through negligent action or inaction fail to perform its Services hereunder in accordance with accepted professional standards or in any manner imperil the Authority's right and ability to successfully pursue the subject matter of this Contract through negligent action or actions, or breach any duty hereunder, and fail to remedy such failure or breach in a timely manner as directed by the Authority, the Authority may terminate this Contract and pursue the Consultant responsible for any and all costs and liabilities arising as a direct or proximate result of such failure. If the Consultant fails to perform the services within the time specified herein or any extension thereof; or if the Consultant fails to perform any of the other provisions of this contract, or so fails to make progress as to endanger performance of this contract in accordance with its terms, and in either of these two circumstances does not cure such failure within a period of ten (10) days after receiving such notice from GCRTA; thereafter, the GCRTA may have the work completed and pursue the Consultant for any resulting cost to the GCRTA.


Termination for Convenience. The performance of work under this contract may be terminated by the Authority in accordance with this clause in whole, or from time to time in part, whenever the Authority shall determine that such termination is for the convenience of the GCRTA. Termination shall be effected by delivery to the Consultant of a notice of termination specifying the extent to which performance of work under the contract is terminated, and the effective date thereof. In the event of a termination for convenience, the Authority reserves the right to take possession of all drawings, in any stage of completion, licensed or not, and reserves the ability to complete said drawings by an Ohio Registered/Licensed A/E firm as selected by the Authority. In the event of such termination, the contract sum will be equitably adjusted by paying the Consultant its reasonably incurred costs for services (including overhead and profit) provided through the date of termination not to exceed the full amount of Compensation. Rights Upon Breach. In addition to any rights reserved to GCRTA hereunder, the rights of the parties hereto shall be governed by the law of the State of Ohio. It is agreed that the rules therein shall have equal application to the delivery of services required by this agreement. Confidentiality/Sensitive Security Information. The Consultant shall hold as confidential all information and data transmitted to it by, through or on behalf of the Authority, and shall not disclose such information or data in whole or in part to any third party except as may be specifically directed or approved by the Authority's General Manager or his designee. Each consultant and subconsultant must protect “sensitive security information” made available as a result of this Agreement, in accordance with 49 U.S.C. 40119(b) and implementing DOT regulations. Prohibited Interest. No officer, member or employee of the GCRTA and no members of its governing body, and no other public office or employee of the governing body of the locality or localities included within the GCRTA, during his or her tenure, shall have any interest, direct or indirect, in this solicitation, any Contract negotiated subsequently, or the proceeds thereof. Assignment. The Consultant shall not assign, transfer, convey, sublet or otherwise dispose of the Contract or its right, title or interest in or to the same or any part thereof without prior written consent of the GCRTA endorsed thereon or attached thereto, and any such attempt at assignment shall be void. Compliance with Laws and Regulations/Federal Assistance. All services furnished pursuant to the specifications shall be in provided consistent with Consultants professional standard of care and with regard to the laws and regulations of the United States and State of Ohio. Consultant shall, if requested by the GCRTA, supply certification and evidence of such compliance. This Contract may be supported in part by Federal assistance under grants made by the Department of Transportation, Federal Transit Administration, pursuant to the Urban Mass Transportation Administration Act of 1964 and amendments (49 U.S.C. 1601 et seq.) and Surface Transportation Assistance Acts of 1982 and 1987, as may be amended. When so funded this Contract shall be subject to all rules and regulations promulgated pursuant thereto. Disadvantaged Business Enterprises. In connection with the performance of this Agreement, the Consultant will cooperate with the Authority in meeting its commitments and goals with regard to the utilization of disadvantaged


business enterprises, and will use its best efforts to insure that disadvantaged business enterprises be afforded an opportunity to participate, to an extent reflective of their availability in the community in the performance of contracts financed in whole or in part with Federal funds under this agreement. Consequently, the DBE requirements of 49 CFR, Part 26, apply to this agreement. In evidence of this assurance, a DBE Participation Plan concerning the engagement of disadvantaged business enterprises, executed by the Consultant, is attached hereto as part of Attachment “E”. Covenant Against Contingent Fees. The Consultant warrants that no person or selling agencies has been employed or retained to solicit or secure this Contract upon an agreement or understanding for a commission or bonafide established commercial or selling agencies maintained by the Consultant for the purpose of securing business. For breach or violation of this warranty, the Authority shall have the right to annul this Contract without liability or at its discretion, to deduct from the Contract price, or otherwise recover the full amount or such commission, percentage, brokerage, or contingent fees. Restrictions on Lobbying. This contract is subject to the provisions of Section 319, Public Law 101-121 (31 U.S.C.) 1352. For Contracts in excess of $100,000 Consultant must sign a lobbying certification form. Audits and Inspection. The Consultant shall maintain books, records, documents, and other evidence directly pertinent to the performance of the Work under this Contract in accordance with generally accepted accounting principles and practices consistently applied and Federal Acquisition Regulations, Parts 30 and 31. The Consultant shall also maintain the financial information and data used by it in the preparation or support of the cost submissions required for this Contract, or any change order or claim, and a copy of the cost summary submitted to the Authority. The Authority, the U.S. government, and the State government or their authorized representative shall have access at all times during normal business hours to such books, records, documents, and other evidence for the purpose of inspection, audit, and copying. The Consultant will provide facilities or such access and inspection. The rights granted the Authority and the government under this provision shall remain in full force and effect for three (3) years after termination of this Contract for whatever reasons and shall extend to any subConsultants performing work valued in excess of ten thousand & 00/100 dollars ($10,000.00). Integrated Agreement. This Contract, including the attachments referenced herein, constitutes the entire agreement of the parties. No prior agreements or understandings, or oral modifications or representations are enforceable hereunder unless reduced to written form, signed by both parties, and incorporated herein by amendment prior to performance of the affected Services. Governing Law and Jurisdiction. This Contract shall be governed by, interpreted, and adjudicated in accordance with the laws of the United States, State of Ohio, and Courts of Cuyahoga County, as appropriate, notwithstanding any provisions of such laws relating to jurisdiction. Should any part or parts of this Contract be held unenforceable by any court of competent jurisdiction, such determination shall not affect the remainder thereof and the balance of this Contract shall remain in full force and effect.


Non-Discrimination. Consultant agrees that it will not discriminate against any employee or applicant for employment because of race, color, creed, national origin, sex, age or disability in accordance with the following Federal Statutes and regulations, and any other implementing regulations issued pursuant to the: Civil Rights Act as amended, Titles VI (42 U.S.C. 2000d) and VII (42 U.S.C. 2000e); Age Discrimination Act of 1975, as amended (42 U.S.C. 6102); Age Discrimination in Employment Act of 1967 as amended, (29 U.S.C. 623); Americans with Disabilities Act of 1990, as amended, (42 U.S.C. 12132 and 42 U.S.C. Sec. 12112) and implementing regulations (29 C.F.R. Part 1630), Federal transit law (49 U.S.C. 5332); Executive Order 11246, as amended by Executive Order 11375 (42 U.S.C. 2000e note) and implementing regulations (41 C.F.R. Parts 60 et seq.). The Consultant also agrees to include these requirements in each subcontract financed in whole or in part with Federal assistance provided by the Federal Transit Administration. Environmental Indemnity. Contractor agrees for itself, its officers, employees and agents that it will hold harmless, indemnify and defend GCRTA, its Board, Officers, and employees from and against all claims, demands, findings, judgments, orders, or actions arising out of or in any way connected with the services provided to GCRTA under this contract, including without limitation, all activities associated with the loading, transport, unloading and disposal of any and all substances under the purview of any law, rule, order or ordinance, promulgated for the protection of the environment such as and without limiting the foregoing, CERCLA, SARA, RCRA, TSCA, SDNA, Clean Air Act, Clean Water Act, Right to Know Laws, and the state equivalents of each of the foregoing. Contractor further agrees that the defense guaranteed hereby shall be provided by a lawyer or firm or firms selected by GCRTA. Recycled Products/Energy Conservation. Consultant agrees to comply with the requirements of Section 6002 of the Resource Conservation and Recovery Act, as amended (42 U.S.C. 6962), including but not limited to the regulatory provisions of 40 CFR Part 247, and Executive Order 12873, as they apply to the subject matter of this Contract. Consultant further agrees to comply with applicable mandatory energy efficiency standards and policies of applicable state energy conservation plans issued in accordance with 42 USC Sections 6321 et seq. Clean Air Act and Clean Water Act. Where the price of this procurement exceeds one hundred thousand dollars ($100,000.00), Consultant agrees to comply with the requirements of the Clean Water Act and the Clean Air Act, 33 U.S.C. 1251 et seq. and 42 U.S.C. 7401 seq., respectively. Consultant agrees to report and require each subcontractor at any tier to report any violation of these requirements resulting from any implementation activity of a subcontractor or itself to FTA and the appropriate U.S. EPA Regional Office. Buy America. Consultant acknowledges and agrees that it will design in accordance with “Buy America Requirements” located at 49 CFR Part 661. Fly America. Consultant acknowledges that to the extent this contract is federally funded, Owner will not participate in the costs of international air transportation of any persons involved in or property acquired for work under this contract, unless such air transportation is provided by U.S. flag air


carriers if available, in accordance with the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. 40118), as amended, and implementing regulations. Safety Belt Use. Pursuant to Federal Executive Order No. 13043, Consultant is encouraged to adopt and promote on-the-job seat belt use for its employees and other personnel operating vehicles involved in the project. Patents. Consultant shall pay all royalties and license fees attributable to the use of goods, materials, equipment or processes used to perform its obligations hereunder. Consultant agrees to defend against and hold harmless the GCRTA from all claims of infringement. Copyrighted Material. The Greater Cleveland Regional Transit Authority, for its own internal use only, may copy or reproduce, in whole or in part, any manuals, catalogs, process sheets, technical reports, engineering drawings, standards and specifications and associated lists, related information and any other documentation required for GCRTA internal use. Subject to any Federal rights as outlined in 49 CFR section 18.34 and 49 CFR Section 19.36, computer software may not be reproduced or copied without the express written consent of the owner of the copyright. Shipments. Should equipment, materials or commodities provided hereunder be transported by ocean vessel, Consultant shall comply with the requirements of PL 109-304 and 46 CFR Part 381 regarding the use of privately owned U.S. Flag commercial vessels. Should equipment, materials or commodities provided hereunder be transported by air carrier, Consultant shall comply with 41 CFR Sections 301-10.131 through 301-10.143. No Obligation by the Federal Government. Consultant and GCRTA agree that, notwithstanding any concurrence by the Federal Government in or approval of the solicitation or award of the underlying Contract, absent the express written consent of the Federal Government, the Federal Government is not a party to this Contract and shall not be subject to any obligations or liabilities to the GCRTA, the Consultant or any other party pertaining to any matter resulting from the underlying Contract; Consultant further agrees to include this clause, without modification, in any subcontract issued hereunder. Program Fraud and False or Fraudulent Statements or Related Acts. Consultant agrees that the provisions of the Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. Sec 3801 et seq. and U.S. DOT regulations, “Program Fraud Civil Remedies,” 49 C.F.R. Part 31 apply to its actions and those of its subcontractor(s) pertaining to this Contract; Consultant further agrees to include this clause without modification, in any subcontract issued hereunder. Reporting of Fraudulent/Improper Acts. If Contractor suspects or has knowledge of unethical, improper and/or fraudulent acts by GCRTA personnel, including but not limited to conflicts of interest, bribery, fraud, waste, abuse, extortion, and kickbacks, the Contractor shall contact the GCRTA Executive Director of Internal Audit on the GCRTA Fraud Hotline (216-781-4080). Documents and Records (Paper and Electronic). Documents and records, including electronic records, created and maintained by the Contractor under this Contract may be subject to the


Ohio Public Records Act, Ohio Rev. Code § 149.43 et seq. The Contractor shall maintain all documents and records related to this Contract, including electronic records, in accordance with GCRTA’s records retention policy and schedule. Under that policy, contracts are retained for fifteen (15) years. Prior to destruction of any documents or records related to this Contract, the Contractor shall comply with the provisions of GCRTA’s records retention policy relating to destruction of records. To the extent that the Contractor becomes aware of actual or potential litigation related to this Contract, the Contractor shall immediately notify the Authority’s Deputy General Manager for Legal Affairs. The Contractor shall preserve any and all records, including electronic records, created or maintained under this contract until advised by the GCRTA Legal Department, in writing, that they are no longer needed. Any suspension issued under this paragraph shall supersede any previously or subsequently established destruction schedule for such records. Compliance with Laws and Regulations. All services furnished by Consultant shall be prepared in accordance with its professional standard of care and with regard to the regulations of the State of Ohio, County of Cuyahoga, and City within which the work under this Agreement and the corresponding construction will take place. Consultant shall, if requested by GCRTA, supply certification and evidence of such compliance. Required Provisions Deemed Inserted. Each and every clause required by Federal or State statute or regulation to be inserted into this Contract is deemed to be inserted herein and this Contract shall be read and enforced as though it were included herein. If through mistake or otherwise any such provision is not inserted, or it not correctly inserted, then upon the application of either party the Agreement shall forthwith be amended to make such insertion or correction.


IN WITNESS WHEREOF, Consultant and the Authority have executed this Contract at Cleveland, Ohio, as of the date first written above: ATTEST: __________________________________

CONSULTANT __________________________________ Authorized Signature

__________________________________

Title ATTEST: __________________________________

GREATER CLEVELAND REGIONAL TRANSIT AUTHORITY __________________________________ Joseph A. Calabrese, CEO General Manager/Secretary-Treasurer

APPROVED AS TO LEGAL FORM:

By________________________________ Sheryl King Benford, General Counsel Deputy General Manager for Legal Affairs

PART SIX – REQUIRED FORMS

RFP No. 2013-111

Rev. 9/99

ATTACHMENT A

REQUIREMENTS CONCERNING EEO & AFFIRMATIVE ACTION (FOR NON-CONSTRUCTION CONTRACTS AND SUBCONTRACTS)

The GCRTA Office of Small Business and Employment Opportunity is eager to assist you in fully completing the requirements of this Notice and the Authority’s Equal Employment Opportunity Program. If you have any questions, please call the Office of Small Business and Employment Opportunity 216-566-5002. Please read carefully all of the information attached.

Proposers are cautioned, however, that oral representations may not be relied upon. Such representations must be confirmed by specific writing issued by the Director of Procurement as an addendum or as a clarification of this solicitation document.

The Affirmative Action Plan for equal employment opportunity is the Greater Cleveland Regional Transit Authority's (GCRTA) written commitment to undertake specifically planned action to ensure equality of opportunity in employment practices by firms contracting for goods and services with GCRTA.

As required by the Instruction, the following information must be submitted with your bid:

I. Form EEO-1 - Enclosure A-1

Equal Employment Data Forms showing the current utilization of minorities and women by job category within your organization.

II. Non-discrimination - Enclosure A-2

Affidavit assuring non-discrimination in employment practices.

III. Employment Practices - Enclosure A-3

All Proposers/Proposers and their first tier subcontractors or subconsultants proposing a contract hereunder in an amount of $l0,000 or more must complete Enclosure A-3. If the proposer or any of its first tier subcontractors or subconsultants employ more than 50 persons and will be entering into a contract hereunder in an amount of $50,000 or more, then an Affirmative Action Plan for employment of minorities and women must be submitted when called for by GCRTA.

IV. Requirements Concerning the Submission of an Affirmative Action Plan Enclosure A-4 (For Non-Construction Contractors)

If requested, provide an Affirmative Action Plan(s) in accordance with the guidelines set forth on Enclosure A-4.

V. Requirements on Prime and Sub-Contractors – Enclosure A-5

All Contractors and their subcontractors bidding on a contract must complete Enclosure A-5.

RFP No. 2013-111 Page 1 of 2

NSN 7540-00-180-6384 Rev. 9/99

Joint Reporting Committee

• Equal Employment Opportunity Commission

• Office of Federal Contract Compliance Programs (Labor)

ENCLOSURE A-1 EQUAL EMPLOYMENT OPPORTUNITY

EMPLOYER INFORMATION REPORT EEO - 1 FOR

THE GREATER CLEVELAND REGIONAL TRANSIT AUTHORITY

Standard Form100

Section A--TYPE OF REPORT Refer to instructions for number and types of reports to be filed.

1. Indicate by marking in the appropriate box the type of reporting unit for which this copy of the form is submitted (MARK ONLY ONE BOX)

1. Single Establishment Employer Report Multi-establishment Employer

2. Consolidated Report (Required)

3. Headquarters Unit Report (Required)

4. Individual Establishment Report (submit one for each establishment with 50 or more employees).

5. Special Report 2. Total number of reports being filed by this Company (Answer on Consolidated Report only). ______________________________

Section B--COMPANY IDENTIFICATION (To be answered by all employers) 1. Parent Company

OFFICE USE ONLY

a. Name of parent company (owns or controls establishment in item 2) omit if same as label

a.

Name of Receiving Office Address (Number and Street b.

City or Town County State Zip Code b. Employee Identification No.

2. Establishment for which this report is filed (Omit if same as label) OFFICE USE ONLY

a. Name of establishment c..

Address (Number and street) City or Town County State Zip Code d.

b. Employer Identification No. Omit if same as label e.

Section C--EMPLOYERS WHO ARE REQUIRED TO FILE (To be answered by all employers)

Yes No 1. Does the entire company have at least 100 employees in the payroll period for which you are reporting?

Yes No 2. Is your company affiliated through common ownership and/or centralized management with other entities in an enterprise with a total employment of l00 or more?

Yes No 3 . Does the company or any of its establishments (a) have 50 or more, employees AND (b) is not exempt as provided by 41 CFR 60-l.5 AND either (1) is a prime government contractor or first tier subcontractor, and has a contract subcontract, or purchase order amounting to S50,000 or more or (2) serves as a depository of Government funds in any amount or is a financial institution which is an issuing and paying agent for U S Savings Bonds and Savings Notes?

If the response to question C - 3 is yes, please enter your Dun and Bradstreet identification number (if you have one)

Yes No 4 Does the company receive financial assistance from the Small Business Administration (SBA)?

RFP No. 2013-111 ENCLOSURE A-1

Page 2 of 2

Rev. 9/99

Section D - EMPLOYMENT DATA Employment at this establishment - Report all permanent full time or part-time employees including apprentices and on-the job trainees unless specifically excluded as set forth in the instructions. Enter the appropriate figures on all lines and in all columns. Blank spaces will be considered as zeros. NUMBER OF EMPLOYEES

Overall Male Female

JOB CATEGORIES Totals

Sum Of Col B

Thru K

White (Not of Hispanic Origin)

Black (Not of Hispanic Origin)

Hispanic Asian or Pacific

Islander

American Indian or Alaskan Native

White (Not of Hispanic Origin)

Black (Not of Hispanic Origin)

Hispanic Asian or Pacific

Islander

American Indian or Alaskan Native

Officials and Managers 1

Professionals 2 Technicians 3 Sales Workers 4 Office and Clerical 5

Craft Workers (Skilled) 6

Operatives (Semi Skilled) 7

Laborers (Unskilled) 8

Service Workers 9 TOTAL 10 Total employment reported in previous EE0-1 report 11

(The trainees below should also be included in the figures for the appropriate occupational categories above) Formal on-the-

White collar 12 job trainees

Production 13 NOTE: Omit questions 1 and 2 on the Consolidated Report

1. Date(s) of payroll period used: 2. Does this establishment employ apprentices? 1. Yes 2. No

Section E--ESTABLISHMENT INFORMATION (Omit on the Consolidated Report) 1. Is this the location of the establishment the same as that

reported last year? 2. Is the major business activity at this establishment the same

as that reported last year?

Office 1 Yes 2 No 3 No Report 1 Yes 2 No 3 No Report Use Only

3. What is the major activity of this establishment? (Be specific, i e, manufacturing steel castings, retail grocer, wholesale plumbing supplies, title insurance, etc. Include the specific type of product or type of service provided, as well as the principal business or industrial activity.)

Section F--REMARKS Use this item to give any identification data appearing on last report which differs from that given above explain major

changes in composition or reporting units and other pertinent information

NOTE: The section below must be completed and signed by your company Section G--CERTIFICATION (See Instructions G)

Check one

1 All reports are accurate and were prepared in accordance with the instructions (check on consolidated only) 2 This report is accurate and was prepared in accordance with the instructions

Name of Certifying Official

Title Signature Date

Name of person to contact regarding this report (Type or print)

Address (Number and Street)

Tittle

City and State Zip Code Telephone Area Code Number Extension

All reports and information obtained from individual reports will be kept confidential as required by Section 709(e) of Title Vll WILLFULLY FALSE STATEMENTS IN THIS REPORT ARE PUNISHABLE BY LAW, U S CODE TITLE 18, SECTION 1001

RFP No. 2013-111 Page 1 of 2

Rev. 9/99

ENCLOSURE A-2 NONDISCRIMINATION AFFIDAVIT

STATE OF ____________________) ) SS COUNTY OF __________________)

______________________________________, being first duly sworn deposes and says:

1. That he/she is the _________________(President or other authorized official of Company, or Partnership, a Corporation or Partnership organized and existing under and by virtue of the laws of the State of _____________________ on whose behalf he/she makes this affidavit (hereinafter "Contractor").

2. That Contractor does not and will not discriminate in its employment practices because of race, religion, color, sex, national origin, handicapped persons or Vietnam-Era Veterans.

3. That Contractor further understands this contract, purchase order or agreement is subject to the Urban Mass Transportation Act of 1964, as amended (49 U.S.C. 1601, et seq.) and Exec. Order. 11246, as amended, and the Affirmative Action Policy of GCRTA, and shall be subject to all rules and/or regulations issued pursuant thereto regarding nondiscrimination in federally-assisted programs of the United States Department of Transportation.

4. That Contractor agrees to be bound to the obligations imposed by said act, executive ordinance and policy.

5. That Contractor agrees that during the performance of any contract resulting from this bid/proposal:

a. The Contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to the following: employment, upgrading, demotion, or transfer, recruitment or rates of pay or other forms of compensation; and selection for training, including apprenticeships. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the GCRTA setting forth the provisions of this nondiscrimination clause.

b. The Contractor will, in all solicitations or advertisements for employees placed by or an behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin.

c. The Contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contact or understanding, a notice to be provided by the GCRTA advising the said labor union or worker’s' representative of the Contractor’s commitments under this Section 202 of Executive Order 11246 of September 24, 1965, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.

d. The Contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, as amended by Executive Order 11375, and with the rules, regulations, and relevant orders of the Secretary of Labor.

e. The Contractor will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the GCRTA and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders.

RFP No. 2013-111 ENCLOSURE A-2

Page 2 of 2

Rev. 9/99

f. In the event of the Contractor’s noncompliance with the nondiscrimination clauses of this agreement or with such rules, regulations or orders, this agreement may be canceled, terminated, or suspended in whole or in part, and the Contractor may be declared ineligible for further government contracts of Federally assisted contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, as amended, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 25, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law.

g. The Contractor will include a citation to 41 CFR 60-1(b) and (c) and the provisions of Paragraphs (a) through (g) herein, in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, as amended by Executive Order 11375, so that such provisions shall be binding upon each subcontractor or vendor. The Contractor will take such action with respect to any subcontract or purchase order as the Secretary of Labor may direct as a means of enforcing such provisions, including sanctions for noncompliance, provided, however, that in the event a Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the Urban Mass Transportation Administration, the Contractor may request the United States to enter into such litigation to protect the interests of the United States.

__________________________________________ Company or Partnership

__________________________________________ (President or other official title)

Subscribed and sworn to before me, this _______ day of ____________________ , 20___.

_________________________________________ Notary Public in and for the County of ____________________

State of _______________.

My commission expires on the ___________ day of ________________ , 20____.

(Seal)

(TO BE SUBMITTED WITH BID)

RFP No. 2013-111

Rev. 9/99

ENCLOSURE A-3 EMPLOYMENT PRACTICES

(FOR NON-CONSTRUCTION CONTRACTORS ONLY)

To Be Prepared By:

Non-construction Prime Contractors and first tier subcontractors or suppliers with a contract greater than $10,000.

Solicitation No. ________________________________________________

Name of Project ________________________________________________

Location of Workforce ________________________________________________

Prime Contractor ________________________________________________

Subcontractor ________________________________________________

In keeping with GCRTA policy of nondiscrimination in employment practices, the ________________________________________ has set as a one year goal for the utilization of (Name of Company) minorities and females having requisite skills equal to be number and percentage that is in relation to their presence in the labor market area used, which is _____ % for minorities and _____ % for females. The ____________________________________ , by its ___________________ assures the GCRTA that good faith efforts will be used to achieve said goals. The good faith efforts proposed are described in the attached narrative. (If more than 50 employees and a contract of $50,000 or more is contemplated, an Affirmative Action Plan per Enclosure A-4 is supplied in lieu of this narrative and is submitted when called for by the GCRTA.)

________________________________________________ Signature and Title of Company Official (Contractor)

________________________________________________ Signature and Title of Company Official (Subcontractor)

RFP No. 2013-111

Rev. 9/99

ENCLOSURE A-4 REQUIREMENTS CONCERNING THE SUBMISSION OF AN

AFFIRMATIVE ACTION PLAN (FOR NON-CONSTRUCTION CONTRACTORS)

Where the non-construction prime contractor or subcontractor has 50 or more employees and is participating in contracts with the GCRTA which exceed $50,000, an Affirmative Action Plan must be submitted to the GCRTA Office of Small Business and Employment Opportunity when called for.

At a minimum, in accordance with the RFP the following information must be provided in your Affirmative Action Plan:

I. Equal employment policy statement for the employment of minorities and women.

A. How and to whom was policy statement circulated?

1. Internally (within your company)

2. Externally (all sources used for recruitment).

B. Who is or will be responsible for the implementation of these policies?

II. Goals and Timetables for hiring minorities and women for the next year, or duration of this contract, whichever is greater, including:

A. Total employees expected to be employed in each job category (use job categories shown on EEO-1 form).

B. Group employees (Blacks, Hispanics, women, etc.) in each job category.

C. Labor market availability group information - availability of minoritie/s and women. With the exception of Construction Contractors, use this information to establish the goals required in Item "e" (contact State employment office to get this information).

D. Number of expected job opportunities. If not expected, goals as required in Item "e" must still be established to allow for unexpected hiring.

E. Goals number and percent of minorities and women to be reached.

F. If goals are not reached within the period specified, when called for you must justify the reasons for not meeting the goals by demonstrating the good faith efforts used to meet the goals.

III. Development and Execution of Program

A. Method to be used for recruiting job applicants.

1. Recruiting efforts should be directed towards schools, colleges, universities, newspapers, radio, state employment offices, churches, social and employment agencies and other sources appropriate for your needs, i.e., labor unions.

2. These efforts when called for, must be substantiated by written documentation.

B. Method used for evaluating program.

RFP No. 2013-111

ENCLOSURE A-5 REQUIREMENTS CONCERNING PRIME AND SUB-CONTRACTORS

Contract No.: ___________ Project Name: ________________________________ In accordance with FTA Federal Regulation 49 CFR, Part 26.11, the Office of Business Development is required to create and maintain a bidders lists on all Prime and Sub-Contractors that seek to participate on Greater Cleveland Regional Transit Authority (GCRTA) Federally assisted contracts. Please complete this information in its entirety.

PRIME CONTRACTOR (This information must be provided on the Prime bidder on this Project)

Name of Firm: ___________________________________________ Certified DBE Non-DBE Mailing Address: _______________________________________________________________ City/State/Zip Code: ____________________________________________________________ Contact: ___________________________ Phone No. ______________Fax No. ____________ Date Business Established (Month, Day and Year): ___________________________________ Gross Sales in Dollars Last FY: Less than $500,000 $500,000 - $1 million $1 million - $2 million $2 million - $5 million Over $5 million

SUB-CONTRACTOR(S) (This information must be provided for all sub-contractor(s) proposed to work on this Project)

Name of Firm Certified DBE

Yes No Year Firm

Established Approximate Annual

Gross Sales

I certify the above information contained in this document is true and accurate as of the stated date. I understand FALSE or misleading statements may disqualify the firm from participation on GCRTA’s Federally assisted contracts. ____________________________ ____________________________ _______________ Title of Person Authorized to Sign Signature Date

RFP No. 2013-111

Rev. 9/99

ATTACHMENT B

DISADVANTAGED BUSINESS ENTERPRISE UTILIZATION

DEPARTMENT OF TRANSPORTATION POLICY

It is the policy of the Department of Transportation that socially and economically disadvantaged and women's business enterprises (DBEs), as defined at Title 49, Code of Federal Regulations, Part 23 and 26, shall have the maximum opportunity to participate in the performance of contracts financed in whole or in part with Federal funds. Consequently, the DBE requirements of 49 CFR, Part 23 and 26, shall apply to any agreement resulting from this procurement.

Participants in this procurement agree to ensure that DBEs, as defined at 49 CFR, Part 23 and 26, have the maximum opportunity to participate in the performance of contracts and subcontracts financed in whole or in part with federal funds. In this regard, the Proposers shall take all necessary and reasonable steps in accordance with 49 CFR, Part 23 and 26, and GCRTA’s DBE Program to ensure that DBEs have the maximum opportunity to compete for the performance of contracts. Neither the Proposers nor the selected contractor shall discriminate on the basis of race, color, national origin or sex in the performance of a resulting DOT-assisted contract.

I. OVERALL GOALS

The term "disadvantaged business" means a small business concern, which is at least 51 percent owned by one or more socially and economically disadvantaged persons or, in the case of a publicly owned business, at least 51 percent of the stock of which is owned by one or more socially and economically disadvantaged individuals and whose management and daily business operation are controlled by one or more of the socially and economically disadvantaged individuals who own it.

“socially and economically disadvantaged individuals” means a citizen of the United States (or lawfully admitted permanent resident) who meets the criteria set forth in 49 C.F.R. Section 26.5. The GCRTA annually sets overall DBE goals for work to be performed under GCRTA contracts, including construction activity procurement of common goods and services, and personal service contracts. While the expected percentage of certified DBE utilization may vary from contract to contract due to the availability of DBEs in any given line of work, the GCRTA believes that overall goals to be realistically obtainable over time with the assistance of the federal government, the business community and DBE organizations.

In order to meet Federal requirements and to provide for maximum participation of certified DBEs, the GCRTA specifies a percentage of participation goal in contracts with subcontracting opportunities (the percentage may be zero).

The transit vehicle manufacturers are exempt from the requirements, Terms and Conditions of this Attachment B, but must, as a condition for bidding, show evidence of FTA certification.

II. CONTRACT GOALS

The GCRTA has specified a DBE goal of nineteen (19%) percent for the work to be performed under this contract.

A. When a DBE participates in a contract, you count only the value of the work actually performed by the DBE toward DBE goals.

1. Count the entire amount of that portion of a construction contract (or other contract not covered by Paragraph (A)(2) of this section) that is performed by the DBE’s own forces. Include the cost of supplies and materials obtained by the DBE for the work of the contract, including supplies purchased or equipment leased by the DBE (except supplies and equipment the DBE subcontractor purchases or leases from the prime contractor its affiliate).

RFP No. 2013-111

2. Count the entire amount of fees or commissions charged by a DBE firm for providing a bona fide service, such as professional, technical, consultant, or managerial services, or for providing bonds or insurance specifically required for the performance of a DOT-assisted contract, toward DBE goals, provided you determine the fee t be reasonable and not excessive as compared with fees customarily allowed for similar services.

3. When a DBE subcontracts part of the work of its contract to another firm, the

value of the subcontracted work may be counted toward DBE goals only if the DBE’s subcontractor is itself a DBE. Work that a DBE subcontracts to a non-DBE firm does not count toward DBE goals.

a) When a DBE performs as a participant in a joint venture, count a portion of the total dollar value of the contract equal to the distinct, clearly defined portion of the work of the contract that the DBE performs with its own forces toward DBE goals.

b) Count expenditures to a DBE contractor toward DBE goals only if the DBE is performing a commercially useful function on that contract.

4. A DBE performs a commercially useful function when it is responsible for execution of the work of the contract and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a commercially useful function, the DBE must also be responsible, with respect to materials and supplies used on the contract, for negotiating price, determining quality and quantity, ordering the material, and installing (when applicable) and paying for the material itself. To determine whether a DBE is performing a commercially useful function, you must evaluate the amount of work subcontracted, industry practices, whether the amount the firm is to be paid under the contract is commensurate with the work it is actually performing and the DBE credit claimed for its performance of the work, and of the relevant factors DBE does not perform a commercially if its role is limited to that of an extra participant in a transaction, contract, or project through which funds are passed in order to :

a) To be a regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question.

b) A person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone, or asphalt without owning, operating, or maintaining a place of business; if the person both owns and operates distribution equipment for long-term lease agreement and not on an ad hoc or contract by contract basis.

c) Packagers, brokers, manufacturers’, representatives, or other persons who arrange or expedite transactions are not regular dealers within the meaning of this paragraph.

d) With respect to materials or supplies purchased from a DBE which is neither a manufacturer nor a regular dealer, count the entire amount of fees or commissions charged for the delivery of materials or supplies required on a job site, toward DBE goals, provided you determine the fees to be reasonable and not excessive as compared with fees customarily allowed for similar services. Do not count any portion of the cost of the materials and supplies themselves toward DBE goals.

RFP No. 2013-111

Sixty percent of the total dollar value will be counted in the case of a DBE supplier that is not a manufacturer, provided that the DBE supplier performs a commercially useful function in the supply process to include brokers etc in accordance with 49 CFR 26.55 Paragraph 2b.

III. BIDDING REQUIREMENTS, TERMS AND CONDITIONS A. In addition to any other requirements contained in this Invitation to Bid or Request for

Proposal, the following DBE Program requirements must be satisfied, bid must include a representation that:

1. The Proposer has met the goal established by the Authority for this procurement, or

2. The Proposer has made a good faith effort to attain the level of DBE participation sought by the Authority for this procurement

Each Proposer must include a statement in attachment B-1 of the level of DBE participation attained through such effort. This submittal is regarded as a matter of bid responsiveness. Failure to make these submittals will serve to disqualify the bid as non-responsive to this Invitation to Bid.

B. Each Proposer should also prepare a complete DBE Participation Plan that sets forth the extent of DBE involvement in this procurement, these materials are to be provided upon request, and will be considered in determining Proposer responsibility.

C. DBE participation plans shall include the following minimum information: 1. DBE Participation Schedule, (Attachment B-3) which includes:

a) Names and addresses of the DBE entities that will participate in the contract;

b) The dollar amount of the participation of each named DBE; c) A description of the work each named DBE will perform; d) Verification of Certification attachment B-2 and Letter of Intent

(Attachment B-4) from each DBE whose participation is proposed for the performance of this contract as a subcontractor or joint venture partner.

2. If the DBE goal is not met, the Proposer must document in attachment B-5

entitled Greater Cleveland RTA Office of Small Business Evaluation Form Good Faith Effort Documentation the good faith efforts it made to include DBE participation in the contract. . The documentation of the efforts is discussed in greater detail in paragraph 6 of this Section.

3. The following standards shall be applied in assessing the responsibility of the

DBE plan submitted:

a) Whether the participation plan contains capable currently certified DBE firms.

b) Whether the firms listed in the plan are performing a commercially useful function

c) Whether the listed firms are sharing monetary benefit in proportion to their share of the work of the project.

d) Whether the plan exhibits a likelihood of goal attainment. e) Whether the prime/sub relationships are firm, i.e., whether conditional

subcontractors have been entered.

D. The contractor must receive the approval of GCRTA Office of Small Business before termination or making substitution for any subcontractors listed in its DBE plan.

RFP No. 2013-111

Authority certified DBE entities are eligible for inclusion in a plan. Consult the DBE Directory, which is available upon request from the Procurement Department or the Office of Small Business (OSB) of the Authority for assistance in ascertaining certified status of some DBEs. All DBE entities are eligible for certification. Applications for certification must be made on the GCRTA Office of Small Business Disadvantaged Business Enterprise Certification Application (available on request of OSB) and submitted in advance of bid date.

1. The Authority will attempt to certify proposed DBE entities prior to bid; however it will not consider request for certification not completed prior to submittal of bids.

2. Proposer should not rely upon the approval of the certification applications submitted by its proposed DBEs will be approved for participation credit for this procurement. Certification for participation credit for this procurement will not be made after bids/proposals are opened).

3. However, substitution of DBE entities appearing in a plan may be permitted where the Disadvantaged Business Enterprise Officer (DBEO) determines that such substitution will not result in an abuse of the DBE Program. The burden of demonstrating the propriety of such substitution lies with the Proposer seeking such substitution. Denial of certification is final for the pending contract. Any person denied certification may appeal such decision in accordance with the provisions of 49 CFR, Part 26, Section 28.89, which is reproduced as part of the Joint Certification Application.

E. The Authority may at any time prior to award seek clarification or additional information bearing upon Proposer responsibility in respect of DBE involvement with this procurement. If sought, such

F. Information will be strictly confined to matters of Proposer responsibility and should be received by the Authority within three (3) business days of the date request thereof is made.

The Proposer’s commitment to a specific goal for DBE utilization as detailed in its DBE Plan shall constitute a presumption that good faith efforts to meet the DBE goal by subcontracting to or undertaking to joint venture with DBE firms have been made. If the Proposer fails to meet the goal, it will carry the burden of furnishing sufficient documentation, demonstrating its good faith efforts, by utilization.

The standard by which the Authority will determine whether the efforts made by a Proposer were good faith efforts is whether such efforts could be reasonably be expected to produce sufficient DBE participation to meet the goals set for this procurement in reaching this decision, the Authority may consider all efforts advanced by the Proposer as well as the following:

1. Did the contractor attend any scheduled pre-solicitation or pre-bid meetings to inform DBEs of contracting and subcontracting opportunities?

2. Did the contractor advertise in general circulation, trade association and minority-focus media concerning the subcontracting opportunities?

3. Did the contractor provide written notice to a reasonable number of specific DBEs that their interest in the contract was being solicited, in sufficient time to allow the DBEs to participate effectively?

4 Did the contractor/supplier follow up with the DBE firms interested in participating. 5 Did the contractor/supplier select portions of work to be done by DBEs (including

dividing contracts into economically feasible units to facilitate participation)?

RFP No. 2013-111

6 Did the contractor provide adequate information about plans, specifications, and/or

contracting requirements? 7. Did the contractor negotiate in good faith with interested DBEs, not rejecting

DBEs as unqualified without sound reasons?

8. Did the contractor make efforts to provide assistance to obtain bonding, lines of credit, or insurance?

9. Did the contractor effectively use the services of available minority and female organizations, contractors’ groups, state and local offices, etc., that have knowledge of available DBE firms or the names or organizations to locate such firms?

H. In the event a contract is awarded as a result of this procurement, the DBE Participation

Plan submitted by the successful Proposer and the terms, conditions and requirements contained in this notice shall become an integral part of the contract, binding said Proposer to full and faithful performance in accordance with said plan.

I. Any award resulting from the procurement shall be and is conditioned upon the attainment of the aforesaid goals or the satisfactory showing of good faith efforts to attain said goals.

J. During the performance of any resulting contract and for a period of up to three (3) years following completion of the contract work the Authority may initiate reviews for compliance with the requirements of the Authority's DBE Program and the successful Proposer’s (hereinafter “Contractor”) DBE Participation Plan such reviews may involve review of monthly statements, desk audits and/or onsite reviews. Where a Contractor is found by the Authority to have failed to comply with the requirements of the DBE Program or the Contractor’s DBE Participation Plan, the Contractor will be required to take corrective action. If corrective action is not promptly taken by the offending Contractor, the following sanctions may be imposed (singly, in any combination, and in addition to any other remedies provided by law or equity):

1. The Authority may withhold all further payments under the contract.

2. The Contractor may be ordered to stop work

3. The contract may be terminated for breach.

4. Suspension or debarment proceedings may be commenced in accordance with 49 CFR, Part 29.

5. The Director of Procurement may find the defaulting contractor non-responsible in respect to other solicitations for a stated period of time.

6. The contract payments may be reduced by an amount equal to that designated in the DBE plan for DBE participation.

7. The relevant performance bond(s) may be enforced.

K. Agreements between a supplier/contractor and a DBE in which the latter promises not to provide subcontracting quotations to other suppliers/contractors are prohibited.

L. The Contractor will keep records and documents for three (3) years following performance of this contract to indicate compliance with this notice. Such records and, or copies thereof, will be made available at reasonable times and places for inspection by any authorized representative of the Authority and will be submitted to Authority upon request with any other compliance information which such representative may require.

RFP No. 2013-111

M. If, at any time, the Department of Transportation or RTA has reason to believe that any person or firm has willfully or knowingly provided incorrect information or made a false statement, it may refer the matter to the General Counsel of the Department of Transportation. They may initiate debarment proceedings in accordance with 41 CFR 1-1.604 and 12-1.602 and/or refer the matter to the Department of Justice under 18 U.S.C. 1001, as they deem appropriate.

N. Proposers and Contractors agree to be bound by all the requirements, terms and conditions of this notice.

O. Nothing in this notice shall be interpreted to diminish the present contract compliance review.

RFP No. 2013-111

ENCLOSURE B-1

DECLARATION OF PROPOSED DISADVANTAGED BUSINESS ENTERPRISE UTILIZATION

THIS PAGE MUST BE COMPLETED BY PRIME PROPOSER TO INDICATE THE AMOUNT (PERCENTAGE) OF DISADVANTAGED BUSINESS ENTERPRISE PARTICIPATION.

The undersigned, as a representative of the entity, ________________________________ , submitting a bid/proposal for the _______________________________________ project, hereby acknowledges that the DBE goal established for this project is _____ %.

Note: Proposer shall make one of the two certifications noted below:

1. The Proposer further represents that the proposed level of DBE participation as set forth in the enclosed Schedule of DBE participation for this project is _____ % and represents attainment of the DBE participation goal Letters of Intent confirming the proposed participation of the DBEs set forth on the Schedule of DBE Participation are attached.

2. The Proposer further represents that the proposed level of DBE participation as set forth in the enclosed Schedule of DBE participation for this project is _____ %. However, this level of DBE participation is less than the goal established for this project. The Proposer has attached:

a. the Schedule of DBE participation showing the level of DBE participation the Proposer has been able to obtain, supplemented with Letters of Intent confirming the proposed participation of the DBEs set forth on the Schedule of DBE Participation; and,

b. documentation of the Proposer’s good faith efforts to achieve the goal established for this project. This documentation shall include Certificates of DBE Unavailability for each contacted by the prime Proposer which will not be participating in performance of the contract). The documentation of the these efforts is discussed in greater detail in Section III. G of Attachment D.

______________________ Date

______________________ Representative of Proposer

______________________ Title

(TO BE SUBMITTED WITH BID)

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Rev. 9/99

ENCLOSURE B-2 DBE AFFIDAVIT

THIS PAGE TO BE COMPLETED BY DISADVANTAGED BUSINESS ENTERPRISE CONTRACTOR.

I hereby declare and affirm that I am the ________________________________________________and

duly authorized representative of the (firm of) _______________________________________________

________________________________________________(name of corporation or joint venture) whose

address is ___________________________________________________________________________

____________________________________________________________________________________

_________________________. (Telephone Number

I HEREBY DECLARE AND AFFIRM THAT I AM A DISADVANTAGED BUSINESS ENTERPRISE (DBE) AS DEFINED BY THE GREATER CLEVELAND REGIONAL TRANSIT AUTHORITY IN THE SPECIFICATIONS FOR ____________________________________________________________________________________ ____________________________________________________________________________________

(IFB number and name) AND THAT I WILL PROVIDE INFORMATION AND/OR THE CERTIFICATION TO DOCUMENT THIS FACT. I DO SOLEMNLY SWEAR OR DECLARE AND AFFIRM THAT THE CONTENTS OF THE FOREGOING STATEMENT ARE TRUE AND CORRECT, AND THAT I AM AUTHORIZED, ON BEHALF OF THE ABOVE FIRM, TO MAKE THIS AFFIDAVIT.

_____________________________________ (Affiant)

______________________________________ (Date)

State of ______________________________________________________)

) City and County of _____________________________________________ ) On this ________ day of _______________________________, _______, before me, the undersigned officer personally appeared. ____________________________________, known to me to be the person described in the foregoing Affidavit, and acknowledged that he (she) executed the same in the capacity therein stated and for the purposes therein contained. In witness thereof, I hereunto set my hand and official seal. My Commission Expires:____________________________________ ________________________________________________________

(Notary Public) (SEAL)

RFP No. 2013-111 Page 1 of 2

ENCLOSURE B-3

DISADVANTAGED BUSINESS ENTERPRISE (DBE) PARTICIPATION PLAN

Name of Prime Contractor

Name of Project

Project/Contract No Total Bid Amount

Name of DBE Address Contact Person Scope of Work Dollar Value of

Work 1.

2.

3.

4.

5.

6.

7.

Total DBE Dollars/%

The undersigned will enter into formal agreement with the DBEs listed above for work in this schedule conditioned upon the award of a contract by the Greater Cleveland Regional Transit Authority (GCRTA).

Signature of Prime Contractor Representative Phone Number Date

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ENCLOSURE B-4

LETTER OF INTENT TO PERFORM AS A SUBCONTRACTOR

Project: ________________________________ No.: ________________________________

Location: ________________________________

To: ____________________________________ Prime or General Proposer

____________________________________ Address

____________________________________ City/State

I am the ________________________ and duly authorized representative of the (firm of) ____________________________________ which intends to perform work for the above project operating as (strike out conditions that do not apply) an individual, a Company, a Corporation, organized and existing under the law of the State of ______________ , or a Proprietorship, a Partnership, or Joint Venture consisting of:

______________________________________________________________________________________

__________________________________________________________________________________

The firm that I represent is a Disadvantaged Business Enterprise (DBE) as defined by the Greater Cleveland Regional Transit Authority in the specifications for:

____________________________________________________________________________________ (IFB Name and Number)

I further represent that the firm is a Disadvantaged Business Enterprise which: is currently certified by the Greater Cleveland Regional Transit as a disadvantaged business enterprise with a certification date of ________________________________.

I will provide information and/or the certification to document the representation noted above upon your request.

The undersigned is prepared to perform the following described work in connection with the above project, (specify in appropriate detail particular work items or parts thereof to be performed): ____________________________________________________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ at the following price: _________________________________________________________________. You have projected the following commencement date for such work, and the undersigned is projecting completion of such work as follows:

Type of Work and Items Work Hours Involved Projected Commencement Date

Projected Completion Date

1. _________________ ___________________ ___________________ ___________________ 2. _________________ ___________________ ___________________ ___________________ 3. _________________ ___________________ ___________________ ___________________ 4. _________________ ___________________ ___________________ ___________________ 5. _________________ ___________________ ___________________ ___________________

RFP No. 2013-111

6. _________________ ___________________ ___________________ ___________________ I further represent that __________ percent (____%) of the dollar value of my subcontract will be performed by contractors and/or suppliers, which are not certified by the Authority as a Disadvantaged Business Enterprise. The undersigned will enter into a formal agreement for the above work with you conditioned upon your execution of a contract with the Authority.

Respectfully submitted, this

_____ day ____________, 200____

(DBE Firm Name) _______________________________ (Address) __________________________________

__________________________________

_________________________

(Signature) _______________________________ (Name Typed) _______________________________

(Title) _______________________________

(SEAL IF PROPOSER IS A CORPORATION)

(4) Original Contract Amount

CONTRACT INFORMATION

Amount

(13) Name of Firm(s)(14) Dollar Amount

Paidto each Firm

THIS PERIOD

(15) Total Subcontract

Amount for each Firm in

this contract

Title of Company Official Date Report Completed Signature, Name and Phone Number of Individual Completing Report$0 $0 $0 $0

SUBTOTAL DBE FIRMS $0

(3b) Scheduled Dateof Completion

(10) Current Contract Amount

(8b)Address and Phone #

$0

The Prime Contractor is required to submit the Payment Compliance Report and its accompanying support documentatoin with the monthly RTA Invoice indicating the payments made to the Subcontractors for the designated time period. The completed Payment Compliance Report and supporting information will be forwarded to GCRTA, 1240 West 6th St., Cleveland OH 44113

PRIME CONTRACTOR INFORMATION

GREATER CLEVELAND REGIONAL TRANSIT AUTHORITY- ENCLOSURE B-4a/SCHEDULE 19C-3aCONTRACT COMPLIANCE

PAYMENT COMPLIANCE REPORT

To: From:

$0

Total

(1b) Report No.(1a) Invoice Number:

(1c) Reporting Period:

(2) Contract No./Project No.(3a) Contract Award Date

(5) Title of Contract

(6) DBE Goal for this contract

$0.00

Change Order Summary

(8a)Name

(9) Total Dollar Amount &Dates of ModificationsChange Orders to Date

(7) Comitted DBE Goalfor this contract)

(11)Dollar Amount Paid toDate by GCRTA

(12) % of Contract Completed to Date

Change Order # Date

Comments/Explanations - Please use the reverse side of this form or attach additional sheets

TOTAL

Total Invoicesto Date

Retentionto Date

BalanceDue

SUBCONSULTANT PARTICIPATION

(16) Dollar AmountPaid to each Firm

TO DATE

$0

$0

$0 $0

$0

$0

$0

(18) Amount of ThisInvoice allocated to the

Subcontractor

$0

(17) Functions Performedby the Firm

$0SUBTOTAL NON-DBE FIRMS $0 $0 $0 $0 $0

RFP No. 2013-111

Rev. 9/99

The standard by which the Authority will determine whether the efforts made by a competitor were good faith efforts is whether such efforts could be reasonably be expected to produce sufficient DBE participation to meet the goals set for this procurement in reaching this decision, the Authority may consider all efforts advanced by the competitor as well as the following: 1. Whether the contractor attended any pre-solicitation or pre-bid meetings that were scheduled by the

recipient to inform DBEs of contracting and subcontracting opportunities; 2. Whether the contractor advertised in general circulation, trade association, and minority-focus media

concerning the subcontracting opportunities; 3. Whether the contractor provided written notice to a reasonable number of specific DBEs, that their

interest in the contract was being solicited in sufficient time to allow the DBEs to participate effectively;

4. Whether the contractor followed up initial solicitations of interest by contacting DBEs to determine

with certainty whether the DBEs were interested; 5. Whether the contractor selected portions of the work to be performed by DBEs in order to increase

the likelihood of meeting the DBE goals (including, where appropriate, breaking down contracts into economically feasible units to facilitate DBE participation);

6. Whether the contractor provided interested DBEs with adequate information about the plans,

specifications and requirements of the contract; 7. Whether the contractor negotiated in good faith with interested DBEs, not rejecting DBEs as

unqualified without sound reasons based on a thorough investigation of their capabilities. 8. Whether the contractor made efforts to assist interested DBEs in obtaining bonding, lines of credit, or

insurance required by the recipient or contractor; and 9. Whether the contractor effectively used the services of available minority community organizations;

disadvantaged contractors' groups; local, state and Federal disadvantaged business assistance offices; and other organizations that provide assistance in the recruitment and placement of DBEs.

The following standards shall be applied in assessing the responsibility of the DBE plan submitted: 1. Whether the participation plan contains capable certified DBE firms. 2. Whether the firms listed in the plan are performing a commercially useful function. 3. Whether the listed firms are sharing monetary benefit in proportion to their share of the work of the

project. 4. Whether the plan exhibits a likelihood of goal attainment. 5. Whether the prime/sub relationships are firm, i.e., whether conditional subcontractors have been

entered.

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BIDDER’S AFFIDAVIT

NOTE: Each Bidder shall furnish this affidavit, properly executed and containing all required information, with his bid. If you fail to comply, your bid may not be considered.

State of Ohio ) ) SS )

____________________________________, being first duly sworn deposes and says:

Individual only: That he is an individual doing business under the name of ____________ ________________________________________________________ at _____________________________________________________ in City of _________________________, State of ____________.

Partnership only: That he is the duly authorized representative of a partnership doing business under the name of ___________________at _________________________________________________________, in the City of __________________________, State of _____________.

Corporation only: That he is the duly authorized, qualified and acting _____________ ___________________________________________________ of _____________________________________, a corporation organized and existing under the laws of the State of _______ with its principal place of business at __________________________________________________________,and that he, said partnership or said corporation, is filing herewith a proposal or bid to the Greater Cleveland Regional Transit Authority in conformity with the foregoing specifications;

Individual only: Affiant further says that the following is a complete and accurate list of names of and addresses of all persons interested in said proposal/contract: _______________________________________________________________________________________________________________________________________________________________.

Affiant further says that he is represented by the following attorneys: ________________________________________________________________________________________________________________________ and is also represented and is also represented by the following resident agents in the City of Cleveland: ________________________________________________________________ __________________________________________________________________________________________________________.

Partnership only: Affiant further says that the following is a complete and accurate list of the names and addresses of the members of said partnership: ____________________________________________________________________________________________________________________________________________________________________________________________________________________.

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BIDDER’S AFFIDAVIT Page 2 of 3

Affiant further says that the partnership is represented by the following attorneys: _________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ and is also represented and is also represented by the following resident agents in the City of Cleveland: ________________________________________________________________ __________________________________________________________________________________________________________________________.

Corporation only Affiant further says that the following is a complete and accurate list of the officers, directors and attorneys of said corporation:

President Directors:

Vice President

Secretary

Local Manager or Agent

Attorneys

And that the following officers are duly authorized to execute contracts on behalf of said corporation _________________________________________________ ________________________________________________________________ __________________________________________________________________________________________________________.

Affiant further says that the proposal or bid filed herewith is not made in the interest of or on behalf of any undisclosed person, partnership, company, association, organization or corporation; that such bid is genuine and not collusive or sham; that said bidder has not, directly or indirectly, induced or solicited any other bidder to put in a false or sham bid, and has not directly or indirectly, colluded, conspired, connived or agreed with any bidder or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that said bidder has not in any manner, directly or indirectly sought by agreement, communication or conference with anyone to fix the bid price of said bidder or of any other bidder, or to fix any overhead, profit, or cost element of such bid price or that of any other bidder, or to secure any advantage against the Greater Cleveland Regional Transit Authority, the Board, or anyone interested in the proposed contract; that all statements contained in such bid are true, that said bidder has not, directly or indirectly, submitted his bid price or any breakdown thereof or the contents thereof or the contents thereof, or divulged information or data relative thereto, or paid or agreed to pay , directly or indirectly, any money, or other valuable consideration for assistance or aid rendered or to be rendered in procuring or attempting to procure the contract above referred to, to a corporation, partnership, company, association, organization, or to any member or agent thereof, or to any other individual, except to such person or persons as herein above disclosed to have a partnership or other financial interest with said bidder in his general business; and further that said bidder will not pay or agree to pay, directly or indirectly, any money or other valuable consideration to any corporation, partnership, company, association, organization or to any member or agent thereof, or to any other individual, for aid or assistance in securing contract above referred to in the

RFP No. 2013-111

event the same is awarded to ____________________________________________________________

____________________________________________________________________________________ (name of individual, partnership or corporation)

Further affiant saith not.

___________________________________________________ Company or Partnership

___________________________________________________ (President other official title)

Sworn to before me and subscribed in my presence this ______ day of _________________, ________.

___________________________________________________ Notary Public

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ATTACHMENT D DELINQUENT PERSONAL PROPERTY TAX STATEMENT

_______________________________________________, hereby affirms under oath, pursuant to Ohio Revised Code Section 5719.042, that at the time the bid was submitted, my company (was) (was not) charged with delinquent Personal property taxes on the General Tax List of Personal Property for Cuyahoga County, Ohio.

If such charge for delinquent personal property tax exists on the General Tax List of Personal Property for Cuyahoga, County, Ohio, the amount due and penalties and interest shall be set forth below.

A copy of this statement shall be transmitted to the Cuyahoga County Treasurer within thirty (30) days of the date it is submitted. A copy of this statement shall also be incorporated into the contract between the Greater Cleveland Regional Transit Authority and _________________________________________ and no payment shall be made with respect to any contract unless such statement has been so incorporated as a part thereof.

Delinquent Personal Property Tax $ ___________________________ (If none insert “0”)

Penalties $ ___________________________

Interest $ ___________________________

By: _____________________________________

Title: _____________________________________

Subscribed in my presence, and sworn to before me this ______ day of _______________, _______.

__________________________________________ Notary Public

My Commission Expires:

RFP No. 2013-111

ATTACHMENT E-1

BUY AMERICA CERTIFICATE COMPLIANCE

(For Bids in Excess of $100,000.00)

Certification requirement for procurement of steel or manufactured products (as defined in 49 CFR, Sections 661.3 and 661.5). Certification for Compliance with Section 165(5) of the Surface Transportation Assistance Act of 1982, as amended. The bidder hereby certifies that it will comply with the requirements of Section 165(a) of the Surface Transportation Assistance Act of 1982, as amended, and the applicable regulations in 49 CFR Part 661.

Date ___________________________________

Signature ___________________________________

Title ___________________________________

Company Name ___________________________________

RFP No. 2013-111

ATTACHMENT E-2

BUY AMERICA CERTIFICATE NON-COMPLIANCE

(For Bids in Excess of $100,000.00)

Certification requirement for procurement of steel or manufactured products (as defined in 49 CFR, Sections 661.3 and 661.5). Certification for Non-Compliance with Section 165(5) of the Surface Transportation Assistance Act of 1982, as amended. The bidder hereby certifies that it cannot comply with the requirements of Section 165(a) of the Surface Transportation Assistance Act of 1982, as amended, but it may qualify for an exception to the requirement pursuant to Section 165(b) (2) or (b) (4) of the Surface Transportation Assistance Act of 1982, as amended, and regulations in 49 CFR Part 661.7.

Date ______________________________________

Signature ______________________________________

Title ______________________________________

Company Name ______________________________________

RFP No. 2013-111 Page 1 of 2

ATTACHMENT F CERTIFICATION REGARDING DEBARMENT

PROPOSED DEBARMENT AND OTHER RESPONSIBILITY MATTERS (TO BE SUBMITTED ON BEHALF OF THE PRINCIPAL BIDDER/OFFEROR AND ALL SUBCONTRACTORS WHOSE SUBCONTRACTS

ARE REASONABLY ANTICIPATED TO EXCEED $25,000.00 IN VALUE.)

1. The undersigned Bidder/Offeror/Subcontractor ("Attester") certifies, to the best of its knowledge and belief that:

a) The Attester and/or any of its principals or subcontractors:

i) Are not presently debarred, suspended, proposed for debarment, or declared ineligible for award of contracts by any federal agency.

ii) Have not within a three-year period preceding this offer, been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state, or local) contract or subcontract; violation of federal or state antitrust statutes relating to the submission of offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; violations of tax, labor and employment, environmental, antitrust, or consumer protection laws and

iii) Are not presently indicted for, or otherwise criminally or civilly charged by a governmental entity with commission of any of the offenses enumerated in Paragraph 2 above.

iv) The Attester has not, within a three-year period preceding this offer, had one or more contracts terminated for default by any federal agency.

b) "Principals," for the purposes of this certification, means officers, directors, owners, partners, and persons having primary management or supervisory responsibilities within a business entity (e.g., general manager, plant manager, head of a subsidiary, division, or business segment, and similar positions).

c) This certification concerns a matter which may be within the jurisdiction of an agency of the United States and the making of a false, fictitious, or fraudulent certification may render the maker subject to prosecution under Section 1001, Title 18, United States Code.

2. The Attester shall provide immediate written notice to the Authority's Procurement Department if, at any time the Attester learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

3. A certification that any of the items in Paragraph A exists will not necessarily result in withholding of an award under this solicitation. However, the certification will be considered in connection with a determination of the Attester's responsibility. Failure of the Attester to furnish a certification or provide such additional information as requested by the GCRTA may render the Attester non-responsible.

4. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render, in good faith, the certification required by Paragraph 1 The knowledge and information of an Attester is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

RFP No. 2013-111 Page 2 of 2

Rev. 12/00

The certification in Paragraph 2 is a material representation of fact upon which reliance was placed when making award. If it is later determined that the Attester knowingly rendered an erroneous certification, in addition to other remedies available to the GCRTA, the Authority may terminate the contract resulting from this solicitation for default.

(IF THE ATTESTER IS UNABLE TO CERTIFY TO ANY OF THE STATEMENTS IN THIS CERTIFICATION, SUCH ATTESTER SHALL ATTACH AN EXPLANATION TO THIS CERTIFICATION.)

_____________ GCRTA IFB/No.

________________________________ Signature and Title of Authorized Official

________________________________ Company Name

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Rev. 12/00

ATTACHMENT G CERTIFICATE OF PROCUREMENT INTEGRITY

I, _____________________________________________ am the officer or employee responsible for the (Name of Certifier)

preparation of this offer or bid and hereby certify that, to the best of my knowledge and belief, with the exception of any information described I this certificate, I have no information concerning a violation or possible violation of Subsection 27(a), (b), (c), or (e) of the Office of Federal Procurement Policy Act * (41 U.S.C. 423) (hereinafter referred to as “the Act”), as implemented in the FAR, occurring during the conduct of this procurement ______________________ .

(IFB Number)

As required by Subsection 27(d)(1)(B) of the Act, I further certify that each officer, employee, agent representative, and consultant of _____________________________ who has participated personally and

(Name of Offeror) substantially in the preparation or submission of this offer has certified that he or she is familiar with, and will comply with, the requirements of Subsection 27(a) of the Act, as implemented in the FAR, and will report immediately to me any information concerning any violation or possible violation of the Act, as implemented in the FAR, pertaining to this procurement. Violations or possible violations; (Continue on plain bond paper if necessary and label Certificate of Procurement integrity Continuation Sheet. Enter “NONE” IF NONE EXISTS) _____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

________

_______________________________________________________ Signature of the Officer/ Employee Responsible for the Bid

_____________________________ Date

_______________________________________________________ Type Name of the Officer or Employee for the Offer/Bid

* Section 27 became effective on July 16, 1989.

THIS CERTIFICATION CONCERNS A MATTER WITHIN THE JURISDICTION OF AN AGENCY OF THE UNITED STATES AND THE MAKING OF A FALSE, FICTITIOUS, OR FRAUDULENT CERTIFICATION MAY RENDER THE MAKER SUBJECT TO PROSECUTION UNDER TITLE 18, UNITED STATES CODE SECTION 1001.

END OF SECTION

RFP No. 2013-111

Rev. 12/00

ATTACHMENT H CERTIFICATION OF RESTRICTIONS ON LOBBYING

(To be Submitted with Each Bid or Offer Exceeding $100,000)

The undersigned hereby certifies on behalf of ________________________________________ (Bidder) that to the best of his/her knowledge and belief: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person

for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for making lobbying contacts to an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit standard Form-LLL, "Disclosure Form to Report Lobbying”, in accordance with its instructions [as amended] by “Government Wide Guidance for New Restrictions on Lobbying”, “ 61 Fed. Reg. 1413 (1-19-16).

(3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers and that all subawardees shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance is placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31, U.S.C. §1352 (as amended by the Lobbying Disclosure Act of 1995). Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

[Note: Pursuant to 41 U.S.C. §1352(c) 1-(2)(A), any person who makes a prohibited expenditure or fails to file or amend a required certification or disclosure form shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure or failure.]

The bidder, _____________________________, certifies or affirms the truthfulness and accuracy of each statement of its certification and disclosure, if any. In addition, the bidder understands and agrees that the provisions of 31 U.S.C. A 3801, et seq., apply to this certification and disclosure, if any.

_________________________________________________ Signature of Bidder’s Authorized Official

________________________Date

_________________________________________________ Printed Name and Title

Rev. 0505

RFP No. 2013-111

SECURITY CERTIFICATION

The Greater Cleveland Regional Transit Authority (GCRTA) requires that all contractors and vendors who do work for or on behalf of the GCRTA and have access to “secured areas” conduct security checks on all of their employees. “Secured areas” are defined by the GCRTA’s Chief of Police/Director of Security and include areas such as the Root-McBride Building, bus garages, rail stations and rail right-of–way. The Authority requires that all contractors/vendors have a Security Policy that includes, but is not limited to, a criminal background check for all employees in all positions doing work for or on behalf of GCRTA and having access to GCRTA secured areas. The guidelines and standards for the Security Policy are to be determined by the contractor/vendor considering such factors as, but not limited to, contact with the public, contact with public funds, use of public materials, and access to confidential records. The contractor’s/vendor’s Security Policy should consider these factors in light of the employee’s job duties and work to be conducted for the GCRTA on a case-by-case basis. The GCRTA reserves the right to request copies of a contractor’s/vendor’s Security Policy at any time. Additionally, the GCRTA reserves the right to audit the contractor’s/vendor’s employees’ files to ensure that a security check has been conducted according to the contractor’s/vendor’s policy. Any contractor/vendor found not complying with the above requirements may be subject to having its employees removed from the GCRTA’s property until such time as a security check can be conducted. Any delay or suspension of work required under this paragraph shall not entitle the contractor/vendor to any claims for additional compensation under this contract.

By: Position: Company: Address: City: State: Zip:

RFP No. 2013-111

ADDENDA ACKNOWLEDGMENT To: Director of Procurement The Greater Cleveland Regional Transit Authority 1240 West 6th Street Cleveland, OH 44113-1331 From: ________________________________________ (NAME OF INDIVIDUAL OR FIRM) _________________________________________ (PLACE OF BUSINESS – CITY, STATE) Reference: PROJECT 15.14

On-Call Architectural/Engineering Services RFP 2013-111 The undersigned acknowledges receipt of the following addenda (list by number and Date appearing on addenda): ADDENDUM NO. DATE ADDENDUM NO. DATE _______________ _________ _______________ ___________ _______________ _________ _______________ ___________ _______________ _________ _______________ ___________ _______________ _________ _______________ ___________ _______________________ SIGNATURE _______________________ TITLE ________________________ DATE