Greater Cleveland Regional Transit Authority

PRE-PROPOSAL CONFERENCE 10:00 AM – Monday, December 02, 2013

ON-CALL SCHEDULE AND COST CONTROL SERVICES

RFP NO. 2013-194

SUMMARY OF THE MEETING

The following is an edited summary (not a formal written response) of the Pre-Bid Conference for this Project. This summary is being made available to all interested parties for informational purposes only:

I. Introduction

• Jonathan Laule, RTA Contract Administrator

• Kathleen McGervey, Project Manager

• Helen Bates, Procurement Support

II. Procurement Overview: Summary of Project: The Schedule & Cost Control On-Call Services Consultant (OCS) will assist the Authority in monitoring and will be responsible for determining the accuracy, completeness and the impact of past and potential issues associated with the contractor’s schedule. The master look ahead and monthly schedule updates shall be reviewed for both cost and time impacts. The OCS is also responsible for assisting the GCRTA Resident Engineer (RE) in the change order process by providing independent estimates and review of contractor cost proposals as needed. The OCS will also assist the RE in the review of contractor invoices. Finally, the OCS will assist in project closeout to assure that change orders and the final contract sum have been resolved in a complete and accurate manner.

• The value of this project is not to exceed $200,000.

• The DBE percentage goal for this project is: 15% • Contact Mr. Jonathan Laule via e-mail: jlaule@gcrta.org regarding any questions on

this procurement.

• Due Date: Friday, December 27, 2013.

• The Evaluation and Ranking of proposals was reviewed.

• The Brooks Act is being used for the selection process.

o 2 step selection process

Evaluate written technical proposal and select interviewees

Interview and select the most technically qualified firm

III. Technical Overview:

• The consultant will also assist the Project Manager in cost control and scheduling of

projects. • The consultant will assist with reviewing schedule, monthly updates and change

orders on the larger projects.

IV. Affirmative Action and DBE Requirements • The RTA Office of Business Development is a federally mandated program. The

RTA Disadvantaged Business Enterprise (DBE) Program is a part of the State of Ohio’s Unified Certification Program for all DBE’s certified within the State.

• If you are DBE firm who is not certified, you can obtain an application from the RTA

Office of Business Development. It takes 90-120 days for RTA to process a certification.

• There are three ways to obtain a list of certified DBE’s:

(1) RTA’s list, which can be obtained from the RTA’s website (www.riderta.com) (2) Unified Certification Program website www.ohioucp.org.

• Any questions regarding Affirmative Action or DBE requirements should be directed

to Carl Kirkland: CKirkland@gcrta.org. All questions should be directed to Jonathan Laule in writing, no later than the close of business Tuesday, December 17, 2013.

Greater Cleveland Regional Transit Authority

REQUEST FOR PROPOSAL

PROJECT NO. 15.45

ON-CALL SCHEDULE AND COST CONTROL SERVICES

RFP NO. 2013-194

Due Date: FRIDAY, DECEMBER 27, 2013 2:30 P.M., OFFICIAL TIME

November 25, 2013 Prospective Proposers: Re: PROJECT 15.45 – ON-CALL SCHEDULE AND COST CONTROL 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 fifteen percent (15%): Proposals for this procurement will be received until 2:30 PM, Official Time, FRIDAY, DECEMBER 27, 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 Carl Kirkland, Office of Business Development & Employment Opportunity at 216-781-4229 (phone), 216-781-4752 (fax) and via e-mail: CKirkland@gcrta.org. A pre-proposal conference will be held at 10:00 AM, Official Time, Monday, December 02, 2013. All communication regarding this procurement, including requests for clarification, shall be directed to Jonathan Laule, Contract Administrator (216) 781-4049 and via email jlaule@gcrta.org. All necessary instructions are included in this RFP and should be followed with care. Sincerely, Frank J. Polivka Director of Procurement FJP: Attachment

REQUEST FOR PROPOSAL RFP 2013-194

PROJECT 15.45

ON-CALL SCHEDULE AND COST CONTROL SERVICES - 2014

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

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

On Call Schedule and Project 15.45 2 Control Services 2014

I – SCHEDULE & COST CONTROL

ON CALL SERVICES-2014

I. PART ONE - PROJECT DESCRIPTION The Schedule & Cost Control On Call Services Consultant (OCS) will assist the Authority in monitoring and will be responsible for determining the accuracy, completeness and the impact of past and potential issues associated with the contractor’s schedule. The master, look ahead and monthly schedule updates shall be reviewed for both cost and time impacts. The OCS is also responsible for assisting the GCRTA Resident Engineer (RE) in the change order process by providing independent estimates and review of contractor cost proposals as needed. The OCS will also assist the RE in the review of contractor invoices. Finally, the OCS will assist in project closeout to assure that change orders and the final contract sum have been resolved in a complete and accurate manner. This is a Task Order contract to a $200,000 maximum. A. The OCS must become familiar with the following GCRTA Manuals:

1. The GCRTA’s Construction Management Manual (CMM), which describes organizations and responsibilities, and provides standard procedures to be used for the efficient management and control of a project during its construction phase.

2. GCRTA’s General and Supplementary General Conditions of Contract for Construction.

3. GCRTA’s Project Specific Technical Specifications.

4. GCRTA’s Project Specific Procedures Manual. B. The OCS and Sub-Consultants shall be registered to do business in Ohio and

possess all required Ohio licenses. The personnel involved in this project shall have a minimum of five years experience in performing the required technical/management services and they shall be Ohio-registered in their respective professions. GCRTA will have the authority to reject any personnel and to approve any replacements during the course of the work. OCS shall submit the qualifications of personnel for approval. . C. The job responsibilities and duties of the OCS staff shall include, but are not limited

to the following:

1. As assigned by Task Order, review and provide comments regarding the approval of the Master Project Schedule. Monitor adherence to each construction contractor's schedules. Submit monthly reports to the RE and Project Manager (PM) regarding cost and schedule adherences.

On Call Schedule and Project 15.45 3 Control Services 2014

2. Provide monthly schedule update review and report recommendations for approval status to RE and PM.

3. Upon the contractor's submittal, review the monthly progress payment applications, indicate necessary revisions, and forward the payment application to the RE.

4. Participate in meetings involving scheduling, change orders and associated cost impacts with contractors as requested.

5. Provide information and work with the Project Manager and/or Resident Engineer

to track schedule and cost issues related to construction contracts.

6. Maintain, update and submit monthly report regarding the Project Schedule, Cost Control Schedule and Progress to the PM and RE.

7. Advise regarding the implementation of construction contract time or cost

changes, progress documentation, and progress payments for each construction contract.

8. Provide analysis, preparation, and justification of proposed change requests for

the GCRTA's approval and execution; including independent cost estimates and review of contractor estimates.

9. Participate in the claims and dispute resolution processes, as explained in Task

E of this RFP.

10. Provide construction contract closeout services, etc. as detailed in Task F of this RFP.

11. Ensure that the actual labor, equipment and materials used by a contractor on

change order work is properly documented.

12. Provide classroom hands on training of RTA Engineering staff in the application and use of Expedition software for managing construction projects. RTA training facilities including computer terminals are available.

II PART TWO – SCOPE OF SERVICES REQUIRED 2. SCOPE OF WORK

The services of the OCS are required during the Construction Phase as detailed below. The OCS shall be familiar with Primavera scheduling software and Expedition, as well as Microsoft Office software including Project.

On Call Schedule and Project 15.45 4 Control Services 2014

2.1 PROJECT TASKS A. The following projects are contemplated for providing the listed services:

1. Project 24P – Little Italy-University Circle Station:

Construction is slated to start late 2013. The bid price for construction is $11,114,000. The scope of the project includes relation of a bridge, realignment of tracks, construction of platform and head house, stairways, lighting, elevators, and walkways.

2. Project 24J-Brookpark Station Reconstruction

Work includes the reconstruction of the station. Work also includes a new platform and canopies, as well as lighting and site improvements. The estimated construction contract cost is $10,000,000.

3. Project 24R-East 116th Street Station:

This project includes the replacement of the station. Construction is slated to start in 2015 at an estimated cost of $3,776,000.

4. Project 24S-Lee Van Aken Station Rehabilitation:

This project includes the replacement of the station. Construction is slated to start in 2014 at a project cost of $4,000,000.

5. Other projects as requested: Additional tasks may be initiated as needed by the Authority.

B. Task Order Procedure

A task order is defined as a written directive to the OCS to perform work as delineated for a specific project. The notice shall include the duration for the OCS 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 OCS service required for each project.

For each proposed Task order, GCRTA's Contract Administrator (CA) will provide the OCS with a scope of work. The OCS 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 OCS and the GCRTA regarding hours and personnel included in the OCS 's response to the task order request, a Notice to Proceed for the task order shall be issued by the CA. All task orders are subject to the terms and conditions of the contract.

On Call Schedule and Project 15.45 5 Control Services 2014

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 CA to the OCS. The notice shall specify the nature and extent of the reduction. The OCS shall be fully compensated for work already performed under the task order prior to receipt of the reduction notification.

C. Task orders will include the following information: 1. Effective order date (if mailed, the date on the order will be the effective

date). 2. Contract and task order number 3. Description and reference to Scope of Services and Supplements as

required. 4. Negotiated price with discipline identification 5. Schedule and identification of deliverables. 6. 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 that may not be completed within the contract term shall require a contract extension.

D. The task schedule outline is as follows: 1. Within 5 days after a task order is given, the OCS shall submit a detailed

performance schedule to demonstrate how the key milestone will be met. 2. The OCS shall perform the work in accordance with the key project

milestones agreed to for each task order. The project milestones will be those detailed in the project documents issued for bid.

3. The OCS shall update milestones and detailed performance schedules for

GCRTA's approval when modifications to the work make it necessary. The OCS shall perform the work in accordance with the approved updated schedule.

E. Pricing Pricing for work performed will be according to the following guidelines: 1. Pricing shall be based on the negotiated price 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. The work hours will be used to

On Call Schedule and Project 15.45 6 Control Services 2014

verify understanding of the project only. Negotiated labor rates shall be used for the base term of the contract.

2. Direct costs such as materials, supplies or subcontract services will be

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

3. Personnel with appropriate experience and credentials, at agreement-

specified rates shall perform the work.

F. Billing and Payment

Applications for payment shall be prepared and submitted with four original notarized copies on GCRTA forms provided including the following information: 1. Contract, purchase order number and task order numbers. 2. Description of services 3. Task Order Summary Sheet for all task orders. 4. Individual invoice sheets for each Task Order 5. Personnel, hours and rates tabulation including extended and grand totals

for labor. 6. 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.

H. Schedules, Meetings and Reports

Schedules shall be submitted in accordance with the task order requirements. Meetings between the CM and the OCS will be held as needed to review progress and resolve any performance problems that may have arisen. 1. Qualification of Staff: Provide services of personnel with training and

experience performing the required services in the construction of industrial and utility work applicable to the listed projects and capability to use Expedition document control. Submit qualification of proposed staff. Maintain continuity of assignment during the construction period to take advantage of familiarity gained with the project.

2.2 CONSTRUCTION PHASE TASKS

A. Schedule Maintenance

Review the maintenance and submittals of Project Master Schedule and CPM Schedule, during the construction phase.

On Call Schedule and Project 15.45 7 Control Services 2014

All contractor construction schedules shall be in Primavera format. The OCS, as directed by GCRTA staff, shall create Primavera schedules based on information provided in spreadsheet format, in addition to providing general scheduling support.

The OCS shall also thoroughly review the CPM schedule submitted by the General Contractor of each construction contract. The CPM schedule must be reviewed for practicality, feasibility and realistic logic and activity durations. The contractor’s CPM schedule shall also be consistent with the schedule attached with the bid document.

GCRTA may, for certain projects, solicit bids for four separate trades (General, Plumbing, HVAC and Electrical), in addition to bids for the overall work. If any construction solicitation results in awards to multiple prime contractors, the coordination of the different prime contractors for the various construction activities, within the same construction contract, is the responsibility of the OCS. The OCS shall review the CPM schedules of each prime contractor.

For both single prime and multiple prime construction contracts, the OCS shall update this consolidated CPM schedule, as required to show current conditions and revisions required by actual status of work. The OCS shall notify the Authority of potential schedule slippage and recommend preventive action to avoid delays or an increase in construction cost.

B. Document Control

The OCS may be asked to maintain the following records:

1. Correspondence files, job meeting reports, shop drawings and sample submissions, shop drawing log, submittal log, reproductions or original contract documents including all addenda, change orders, field orders, Request for Information (RFI), additional drawings issued subsequent to execution of the contract, AE clarifications and interpretations, progress reports and other project related documents.

2. All records, deficiencies and corrective actions, deficiency logs, files, photos,

videotapes created and collected during construction. All items shall be clearly labeled, identified, and turned over to the GCRTA at the completion of each construction contract.

C. Contractor’s Progress Payments

The OCS is responsible for reviewing the formal progress payment requests submitted by each prime contractor for each construction contract. This review shall generally consist of an independent evaluation of the progress of each payment item and comparison with the contractor's calculations. If agreement on progress of the work and resulting payment cannot be reached, the OCS will revise and recalculate the payment request value. The OCS will also review each payment request for mathematical errors, appropriate retention or other deductions, and the required support documentation per the construction contract. The OCS will sign the payment request indicating approval and forward

On Call Schedule and Project 15.45 8 Control Services 2014

it, with explanation of any deductions or adjustments, to the RE within five working days of receipt from the contractor. The RE will then approve the invoice and transmit the same to Accounting for payment, and will send a copy of the approved invoice to Procurement Department.

Final payment is made to the contractor when all contractual obligations are completed and accepted, all outstanding change orders, claims, liens and disputes resolved, and all closeout submissions received and accepted by the GCRTA per the contract documents. The RE and the Contract Administrator will approve the final payment request only after all of the above requirements are satisfactorily completed. All retainage will be released with the final payment.

D. Construction Contract Change Orders

During the course of the contract, conditions or circumstances may arise that lead to a formal change to the work. Article 12 of the General Conditions of the construction contract documents establishes what constitutes changes in the work and the procedures for formally incorporating the changes to the contract.

The GCRTA's Contract Administrator is responsible for the negotiations, preparation and issuance of change orders with technical/analytical input from the RE and the OCS. The Resident Engineer shall be aware of the contract provisions regarding changes and shall act promptly to implement procedures as soon as the potential for a change arises. The Resident Engineer will review each formal notification of changed conditions from the Contract, and will make specific written recommendations to the DPM CON and the Contract Administrator. Each potential and actual change shall be fully documented by the RE. As soon as the potential for a change is identified, the RE will establish a file in which all relevant documentation will be collected. This will include contract provisions, drawings, specifications, estimates, photographs/video recordings, reports, and all related correspondence. This file shall also contain all records relating to the cost and/or potential time impacts. A log of each Proposed Change Order (PCO) will be maintained by the RE using a unique identifying number. A brief description, current status, and estimated or actual cost and/or time implications will also be annotated in this log.

When the Contract Administrator and the RE determine that there is a legitimate basis for a change, the Contract Administrator will request a change proposal from the construction contractor. Then the construction contractor will submit a Proposed Change Order with both cost and schedule implications of the change.

In the mean time, the CM shall independently prepare and submit a scope of work, necessary detailed construction drawings, engineer’s estimate of the cost and a statement about the time impacts, for this proposed change. If there are substantial differences between the contractor’s proposal and the independent estimate, the Contract Administrator will lead the negotiations with the contractor, GCRTA RE and the OCS. The negotiations on each change will be coordinated and recorded by the RE. This record will include proposals made by both parties regarding projected cost and time, and the settlement agreed to on both cost and time. The complete record of negotiations will be included with the proposed change order when it is forwarded to the CA for formal approval.

On Call Schedule and Project 15.45 9 Control Services 2014

If an equitable agreement as to the cost and/or time consequences can not be reached, the Contract Administrator may, with concurrence of the GCRTA Director of Engineering direct the contractor to proceed with the work at issue on a not-to-exceed basis, in accordance with Article 12 of the General Conditions. The OCS shall document the actual labor, material and equipment utilized by the contractor while performing this change order work. After the work is completed, the contractor will submit a cost summary of the work on actual time and material basis for review and approval to the GCRTA through the OCS.

E. Construction Disputes and Claims

The OCS will assist in ensuring that disputes and claims are minimized and resolved in an efficient, equitable manner. The OCS shall participate in claims and disputes meetings and forward the minutes of the meetings to all the participants. The OCS must ensure that the following measures are taken to reduce the possibility of claims:

1. The contractor submits a CPM schedule for approval in accordance with

contract requirements. 2. The contractor updates and submits on a regular basis a "Look Ahead"

schedule and the complete schedule, identifying therein the manpower (crew size and crew composition), material, and equipment from the contractor and the subcontractors.

3. The contractor identifies the impacted activities and their scheduled early

and late start dates for each Request for Information (RFI), field question and clarifications.

4. The OCS shall review the contractor’s schedule and update the Project

Master Schedule as detailed in Task C2. In cases where recovery action is required, the OCS shall ensure that the contractor has planned adequate manpower, materials & equipment to ensure that contract milestones are met.

5. The OCS shall perform all tasks in a properly and timely manner, including

timely response to the contractor's notices, timely decision on the extension of time requests, prompt response to all RFIs, and timely recording of the contractor's delinquency in any scheduled activity. The OCS shall assist in resolving any disputes in a timely manner.

On Call Schedule and Project 15.45 10 Control Services 2014

F. Construction Contract Closeout Services The OCS shall provide assistance in closing out each construction contract.GCRTA’s Standard Specification Section 017000 (Division 1), Chapter

14 of GCRTA’s Construction Management Manual and Closeout Checklist are to be applied to construction contracts. These documents provide construction contract closeout requirements. Specific duties include, but are not limited to the following:

1. Closeout activities include preparation of punch list items by the RE / AE.

The punch list will include all incomplete items or items that require remedial action to complete the work as per the construction contract documents. Closeout activities also include verification that all punch list work is completed by the construction contractor, evaluating contractor claims, collecting contractor's as-built drawing information and delivering to the GCRTA, and managing contractor's delivery of stock materials and spare parts.

2. The OCS shall determine the final quantities for each item of work for

purposes of determining final payment. The OCS shall get the contractor’s concurrence on all final quantities.

PART THREE - INSTRUCTIONS TO PROPOSERS

RFP No. 2013-194 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. 2013-194 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.

RFP No. 2013-194 3-3 Inst 1104

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, December 02, 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

RFP No. 2013-194 3-4 Inst 1104

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, FRIDAY, DECEMBER 27, 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 15.45 – ON-CALL SCHEDULE AND COST CONTROL SERVICES RFP No. 2013-194

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. 2013-194 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:

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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.

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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

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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 FIFTEEN percent (15%) 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

RFP No. 2013-194 3-13 Inst 1104

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:

RFP No. 2013-194 3-14 Inst 1104

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.

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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.

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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 pointsB. Assigned Staff 35 pointsC. Past Performance 20 pointsD. Project Approach 20 pointsE. Location of Majority of Work 10 pointsF. 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 15.45 – ON-CALL SCHEDULE AND COST CONTROL SERVICES RFP 2013-194

THIS AGREEMENT, entered into as of the ____ day of ___________________, 2013, 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.

A/E T&Cs Page 2 of 10 Rev. May 2012

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 two

hundred thousand & 00/100 dollars ($200,000.00) 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.

A/E T&Cs Page 3 of 10 Rev. May 2012

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.

A/E T&Cs Page 4 of 10 Rev. May 2012

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.

A/E T&Cs Page 5 of 10 Rev. May 2012

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

A/E T&Cs Page 6 of 10 Rev. May 2012

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.

A/E T&Cs Page 7 of 10 Rev. May 2012

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

A/E T&Cs Page 8 of 10 Rev. May 2012

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

A/E T&Cs Page 9 of 10 Rev. May 2012

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.

A/E T&Cs Page 10 of 10 Rev. May 2012

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. 2013-194

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. 2013-194 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. 2013-194 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

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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.

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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)

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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)

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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.

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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

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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 FIFTEEN (15%) 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).

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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. 2013-194

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.

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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)?

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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.

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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.

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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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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)

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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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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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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. 2013-194

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 Paid

to each FirmTHIS 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. 2013-194 3

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: ____________________________________________________________________________________________________________________________________________________________________________________________________________________.

RFP No. 2013-194

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. 2013-194

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

RFP No. 2013-194

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. 2013-194

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. 2013-194

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. 2013-194 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. 2013-194 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

RFP No. 2013-194

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. 2013-194

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

RFP No. 2013-194

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 15.45

On-Call Schedule and Cost Control Services RFP 2013-194 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

Rev. 0505

RFP No. 2013-194

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: