HomeMy Public PortalAbout04 April 11, 2007 Executive79951
RIVERSIDE COUNTrTRANSPORTATION COMMISSION
EXECUTIVE COMMITTEE
(COMMISSIONERS STEVE ADAMS, MARION ASHLEY, BOB BUSTER,
TERRY HENDERSON, BOB MAGEE,-JEFF STONE,
JOHN TAVAGLIONE, MICHAEL WILSON, ROY WILSON)
9:30 A.M.
, WEDNESDAY, APRIL 11, 2007
County of Riverside Administrative Center
Conference Room A
4080 Lernon Street, 3' Floor, Riverside
In compliance with the Americans with Disabilities Act and Government Code Section
54954.2, if you need special assistance to participate in an Executive Committee meeting,
please contact the Clerk of the Board at (951) 787-7141. Notification of at least 48 hours
prior to meeting will assist staff in assuring that reasonable arrangements can be made to
provide accessibility at the meeting.
1. CALL TO ORDER
2. PUBLIC COMMENTS
3. APPROVAL OF MINUTES - FEBRUARY 14, 2007
4. ADDITIONS/REVISIONS (The Committee may add an item to the Agenda
after making a finding that there is a need to take immediate action on the
item and that the item came to the attention of the Committee subsequent
to the posting of the agenda. An action adding an item to the agenda
requires 2/3 vote of the Committee. If there are less than 2/3 of the
Committee members present, adding an item to the agenda requires a
unanimous vote. Added items will be placed for discussion at the end of the
agenda.)
11.36.21
RCTC Executive Committee Agenda
April 11, 2007
Page 2
5. MEMORANDUM OF UNgERSTANDING NO. 07-19-119-00, WITH THE
COUNTY OF RIVERSIDE FOR THE PROVISION OF CARPOOL SERVICES TO
COMMISSION EMPLOYEES
Overview
This item is for the Committee to:
1) Adopt a policy wherein Commission employees would become eligible
to formally participate in the County of Riverside (County) Carpool
Program; and;
2) Authorize the Executive Director, pursuant to legal counsel review, to
enter into Memorandum of Understanding (MOU) No. 07-19-119-00
with the County for the provision of these services.
PROCUREMENT .POLICIES MANUAL
Page 7
Overview
This item is for the Committee to adopt the Procurement"Policies Manual as
a new set of policy guidelines for the procurement and contracting activities
of the Commission.
ADJOURNMENT
AGENDA ITEM 3
MINUTES
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
EXECUTIVE COMMITTEE
February 14, 2007
Minutes
1. CALL TO ORDER
Chair Terry Henderson called the meeting to order at 9:00 a.m., on
Wednesday, February .14, 2007, at the Riverside County Transportation
Commission's . Conference Room A, 4080 Lemon Street, Third Floor,
Riverside, California 92501.
Commissioners Present
Steve Adams
Marion, Ashley
Bob Buster
Barbara Hanna
Terry Henderson
Bob Magee
Jeff Stone
Michael Wilson
Roy Wilson
Commissioners Absent
John Tavaglione
2. PUBLIC COMMENTS
There were no requests to speak from the public.
3. APPROVAL OF MINUTES
M/SIC to approve the minutes of January 10, 2007 as submitted.
4. ADDITIONS/REVISIONS
There were no additions or revisions to the agenda.
RCTC Executive Committee Minutes
February 14, 2007
Page 2
5. TRAVEL AND EXPENSE POLICY REVISIONS
Theresia Trevino, Chief Financial Officer, presented the revisions to the
Employee Travel and Expense Reimbursement Policy and the Riverside_
County Transportation Commission Legislative Body Reimbursement Policy..
She stated that these policies are conservative and have sufficient controls ..
to protect the use of Measure A funds and withstand, public scrutiny.
At the Committee's- request, Theresia Trevino provided clarification on.
per diems and receipt requirements.
M/S/C (Ashley/M. Wilson) to
1) Approve the revisions
Reimbursement Policy;
2) Adopt .Resolution No. 07.002,. "A Resolution of ;the Riverside
County Transportation Commission .Regarding the Revisions to
the Employee Travel and Expense Reimbursement Policy';
3) Approve the revisions to the Riverside - County Transportation
Commission Legislative Body Reimbursement Policy; and
4) Adopt Resolution No. 07-003, "A Resolution of.. the Riverside
County Transportation Commission Regarding the Revisions: to
the Riverside County Transportation Commission Legislative
Body Reimbursement Policy."
to the Employee Travel and`
Expense
WESTERN RIVERSIDE COUNTY 10-YEAR DELIVERY PLAN :ORGANIZATION
IMPACTS
Eric Haley, Executive Director, discussed the impacts of the implementation
of the delivery plan on Commission staffing.
Commissioner Bob. Buster expressed concern regarding the one percent limit
of Measure A sales tax revenue for administrative salaries and benefits as it
relates to the current role of Caltrans and the Commission's increasing role'
as a capital delivery agency.
Anne Mayer, Deputy Executive Director,: responded that this has been an
increasing issue for self-help counties as the environment is moving from .
high-level oversight to project delivery. She then discussed the use of
consultant support and presented the management: team . position'
recommendations.
RCTC Executive Committee Minutes;
February 14, 2007\,
Page 3
Theresia. Trevino provided clarification on the one percent limit.
Commissioners Marion Ashley and Buster expressed support for the staff
recommendation.
Commissioner Bob Magee expressed support for the staff recommendation
and the concept of phasing staff in. He also urged- caution in growing
government.
M/S/C (Stone/Buster) to:
1) Establish an. Administrative Support Specialist position on
Range 3, ($3,055-$4,124 per month). This position will
provide administrative support to all departments and programs;
2) Establish a Senior Staff Analyst position in the, Programming
Department on . Range 7, ($5,589-$7,545 per month). This
position - will assume additional programming responsibilities
related to delivery plan and Proposition 1 B funding;
3) Establish two Staff Analyst positions in the Right -of -Way
Department on Range 6 ($4,860 - $6,561 per month). These
positions/ will assume additional project right-of-way
responsibilities;
4) Establish an Accounting Supervisor classification and position at
or, below Range 7, ($5,589-$7,545 per month). This position
will have general professional accounting responsibilities and
supervise accounting support personnel;
5) Establish a Community Relations- Program Manager position on
Range 8. ($6,847-$9,243 per month), in the Public Affairs
Department. This position will have_ community relations
responsibilities for delivery plan priority projects;
6) Establish a Goods Movement Program Manager position on
Range 8, ($6,847-$9,243 per month), in the Regional Programs
Department. This position will be responsible for management
of goods movement issues and projects including the
Multi -County Goods Movement Action Plan, Colton Crossing
and grade separation strategy coordination;
7) Establish a Capital Projects . Program Manager position on
Range 8, ($6;847-$9,243 per month). This position will be
responsible for non -toll Delivery Plan Project Management;
RCTC Executive Committee Minute_ s
February 14, 2007
Page 4
8) Divide Project Delivery Director responsibilities into Project
Development pnd Project Delivery Director positions. Establish
a Director position on Range 11 ($9,311-$12,570 per month).
Together,these positions will be responsible for all aspects' of .
capital projects delivery;
9) Establish a Toll Program Director position, salary ::.negotiable, ; as
a limited term Contract Employee. This position will be
responsible for management of the toll program coordination
and development;
10) Establish two Toll Project Manager positions, salary negotiable,
as limited term Contract ..Employees. These positions will be.
responsible for SR-91 and 1-1.5 project management;
11) Modify the pay structure to incorporate :the new Accounting
Supervisor;
12) Approve the revised organizational chart to reflect the proposed
changes; and
13) Approve a budget adjustment of $324,800 for salaries and
benefits to support the proposed positions.
. ADJOURNMENT
There being no other items to be considered, the. Executive Committee
meeting adjourned at 9:52 a.m.
Respectfully submitted,
Jennifer Harmon
Clerk of the Board
AGENDA ITEM 5
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE:
April 11, 2007 3':
TO:
Executive _Committee
FROM:
Robert Yates, Program Manager
Michele Cisneros, Accounting and Human Resources Manager
THROUGH:
Eric Haley, Executive Director
SUBJECT:
Memorandum of Understanding No. 07-19-119-00 with the County
of Riverside for the Provision of Carpool Services to Commission
Employees
STAFF RECOMMENDATION:
This item is for the Committee to:
1) Adopt a policy wherein Commission employees would become eligible
to formally participate in the County of Riverside (County) Carpgol
Program; and,
2) Authorize the Executive Director, pursuant to legal counsel review, to
enter into Memorandum of Understanding (MOU) No. 07-19-119-00
with the County for the provision of these services.
BACKGROUND INFORMATION:
The County has a long standing rideshare program utilizing County vehicles for
carpooling purposes for regular full-time County employees. Through an informal
agreement, employees of the Commission have been also allowed to participate in
this program although the Commission employees have not been allowed to drive.
This exclusion was due to insurance and :risk management reasons as determined
by the County.
Additionally, all users of the program were subject to : the County's participant
policy, which sets the termsand guidelines for using the program. A participant is
also required to sign the policy, and these terms also applied to Commission
employees eventhough no formal relationship existed between the Commission
and the County. Lastly, the Commission has reimbursed the County at a rate of
$65/month for each Commission employee utilizing the program.
Agenda Item 5 1
DISCUSSION:
On March 2`7, 2007, the County; Board of Supervisors formally changed its policy
to reflect the Commission's (as vjell as any other public entity's) ability to formally
participate in the County's carpool program. This change will allow participants, of
entities having a formal agreement (MOU) with the County to drive the County's
carpool vehicles:; The County's policy change -requires the Commission to provide
insurancecoverage of. County vehicles participating in the carpool program. Staff
has verified with the Commission's insurance carrier that coverage includes
non -owned automobile insurance of $1 million and an umbrella policy of $1 O million
at no additional cost to the Commission. This change will increase program
flexibility for all participants involved by increasing the amount of available drivers.
Increased flexibility makes carpooling more attractive to 'users;, which assists the
Commission in its mobility enhancing programs.
Attachment: Draft MOU with the County of Riverside
Agenda Item 5 2
M,gMORANDAM OF UNDERSTANDING .(MOU)
BETWEEN
THE RIVERSIDE COUNT* TRANSPORTATION COMMISSION (RCTC)
AND
THE COUNTY OF RIVERSIDE
BACKGROUND
WHEREAS the County of Riverside, a political subdivision of the State of
California, (herein, referred to as "County") operates a Vehicle Program to allow
County employees and other participants (all of which are referred to herein as
Participants) a method of commuting to and from work that is more fuel efficient,
reduces total vehicle emissions and cuts commuting costs.
WHEREAS, the Riverside County." Transportation Commission (RCTC), doing,
business on the premises of the .County. Administrative Center 4080 lemon
Street, in the City of Riverside, desires to have their employees participate in the
County's Vehicle Program:
WHEREAS the County and RCTC agree that RCTC's participation in .the County
Vehicle Program will increase energy conservation and reduce pollution in
Riverside County. .
THEREFORE the County and RCTC agree, subject to the provisions contained
herein, to allow RCTC employees to participate in the County Vehicle Program.
TERMS AND CONDITIONS
1. Term of. MOU
This. MOU shall begin on March 27, 2007, and continue until cancelled in
writing by either party.
2. Duties of RCTC
A. RCTC may offer its employees the opportunity to participate in the County
Vehicle Program. RCTC agrees to require, as a condition of their
employee's participation, that its employees will conform to all participation
requirements set forth by the County's Vehicle Program. Those RCTC
employee's participating in the ..program shall be referred to herein as
"RCTCparticipants."
B. RCTC is responsible for the timely payment of all participation fees ( and
other costs assessed for the participation of each RCTC participant by the,
County Vehicle Program. RCTC shall provide such payment of all
moneys due no later than once per month.
C The County's Vehicle Program requires each employee driver be part of
the `California Department of Motor Vehicles Information Services Branch, .
Government Employer Pull Notice Program' (Pull Notice Program). This
program allows the County to be notified if a RCTC participant who is a
driver in the program loses his or her driver's license for any reason.
RCTC agrees that if the County is unable to include RCTC participant`
drivers in the County's Pull Notice Program that RCTC .:will take
reasonable steps to institute its own Pull Notice Program and provide .the
County's Rideshare Office with all information received concerning RCTC
driver Participants. In the event that RCTC does not institute its own ':Pull
Notice Program within 60 days, RCTC's participants shall not be permitted '
to be drivers in the program..
D. RCTC agrees to authorize and instruct RCTC participant who are drivers
in . the program to attend the County's Drivers Training: during working
hoursand RCTC agrees to pay the standard County fees for such training.
RCTC participant who are drivers in the program will 'participate in the
training programs prior to participating in the County. Vehicle Program:.
E. RCTC participant shall be covered, where applicable under law, by
RCTC's Workers' Compensation coverage and RCTC agrees, as respects
claims arising from. this MOU, to endorse their Workers'` Compensation
policy to waive subrogation in favor of The County of _Riverside,, and, to
provide the County a Borrowed Servant/Alternate Employer Endorsement.
F. RCTC agrees .to purchase automobile liability insurance in the amount of
$5 Million to cover liability for theacts or omissions of RCTC participants,
while driving under the program. The County shall be earned as an
additional insured on such insurance policy. RCTC shall, ,only to the extent
proceeds are available from of such insurance policy, } indemnifyand hold
harmless the County for claims arising out acts of omissions of RCTC
participant while driving under the program..
G. RCTC understands and agrees that the County may elect to terminate any
individual's participation in the program, if in the opinion of the County
Vehicle Program .administrator the individual's behavior is unacceptable or
unsafe. The County shall promptly provide writing notice of such
termination to RCTC and the affected RCTC participant
Pageif of 4
3. Duties of the Canty
A. The County agrees to allow RCTC employees to participate in the
County's Vehicle Program. Such participation will provide all the benefits
and duties to RCTC employees as are provided for, and required of,
County employees, EXCEPT THAT the County Vehicle Program will not
provide those benefits to RCTC employees that are provided under the
RCTC Rideshare program such as: Guaranteed Ride Home, freeparking
pass, and other participation incentive programs:
B. The County's Human Resources Department Rideshare Division shall
coordinate with the appropriate RCTC staff to inform RCTC employees of
their eligibility and the requirements for participation in the program
including costs and other conditions.
C. The County's Vehicle Program administrator will coordinate any required
County drivers training classes for RCTC driver Participants.
D. The County agrees to indemnify and hold harmless RCTC for claims
arising out of the operation of the County Vehicle Program however such
indemnification shall not apply to claims arising from the actions of an
RCTC Participant as described in 2. F. above.
4. Alteration of Terms
No addition to, oralteration of, the terms of this MOU, whether by written or
verbal understanding of the parties, their officers, .agents or employees, shall
be valid unless made in the form or a written amendment to this MOU which
is formally approved and executed by all parties.
5. Assignment or Extension of Benefits
The rights of participation in the County Vehicle Program are meant for the
exclusive use of RCTC employees and may not be extended by RCTC to
employees of any other organization.
6. Confidentiality
All personal information about RCTC employees received by the County
(such as DMV reports) will be treated by the County with the same standards
for confidentiality as we would treat County employee data.
Page§ of 4
7. Contacts
All official correspondence related to this MOU shall be sent to the following:
County:
County of Riverside
- Human Resources Dept.
4080 Lemon Street, 7th. Floor
Riverside, CA 92501
Date:
Bv.
Approve as to Form:
County Counsel
RVPUMSDEBAUN1729428.2
RCTC:
Riverside County Transportation _Commission
RCTC Executive Office
4080 Lemon Street, 3rd Floor
Riverside, CA 92501
Date:
By:
Paged- of 4
AGENDA ITEM 6
REVISION TO AGENDA ITEM 6
Addition are noted by Bold Italics, Deletions are noted by Str-iketiaFeeigb
RIVERS/DE COUNTY TRANSPORTATION COMM/SS/ON
DATE:
April 11, 2007
TO:
Executive Committee
FROM:
Sheldon Peterson, Program Manager
Stephanie Wiggins, Regional Programs Director
THROUGH: '
Eric Haley, Executive Director
SUBJECT:
Procurement Policies Manual
STAFF RECOMMENDATION:
This item is for the Committee to adopt the Procurement Policies Manual as a new
set of policy guidelines for the procurement and contracting activities of the
Commission, contingent upon legal counsel 'review as to conformance to: state and
federal law.
BACKGROUND INFORMATION:
The Commission has been in the process of reviewing and updating several of the
key internal policies and procedures by which it operates. Some of the processes
identified for review and update were the contracting and procurement procedures.
The previous procurement policies were abbreviated and not comprehensive
enough for the expanding role of the Commission.
This deficiency was further demonstrated during the Federal Transit Administration
(FTA) FY 2006 Triennial Review in August 2006. This review is completed every
three years to evaluate the agency's policies and practices to ensure compliance
with the federal guidelines for receiving FTA funds. The Commuter Rail
Department is the recipient of FTA 5307 Urbanized Area formula funds that are
used for capital improvements to build stations, expand parking lots, and to
develop new rail corridors such as the Perris Valley Line (PVL). During this review,
FTA staff identified that the Commission needed to develop a more formal written
procurement policies and procedures manual that conforms to applicable state and
federal laws including 49 CFR Part 18. The Commission hired Altmayer
Consulting Inc. to assist staff in developing an updated Procurement Policies
Manual that met the FTA's requirements. The consultant conducted a review of
federal and state regulations and analysis of other agencies procedures such as
OCTA and SCRRA. Then after several .meetings with staff, the consultant
developed an updated Procurement Policies Manual. This manual was forwarded
to the FTA and was accepted as a corrective action for the triennial review. The
FTA also made some additional suggestions that were incorporated in the revised
document. Staff is now requesting adoption of the Procurement Policies Manual.
Agenda Item 6
Procurement Policies Manual Highlights
The new Procurement Policies Manual outlines a more comprehensive program that
incorporates the key elements needed to comply with F.TA regulations, yet still tries
to be user friendly for staff and meet the changing needs of the Commission. The
new manual does the following:
•
•
•
•
•
•
•
•
•
Identifies the Chief Financial Officer and his, or her designee as the
purchasing agent;
Creates a written standard of conduct for employees and Commission
members to use ethical purchasing practices;
Increases the Supplies, Services or Contracts range from $25,000 to
$50,000 to be eligible to use the limited solicitation process;
Provides a detailed competitive procurement process that . identifies
the request for proposal procedures;
Clearly defines the use of sole source :for federally funded projects;
Outlines the written evaluation and proposal review standards and
provides specific procedures for construction contracts;
Formalizes a protest procedurethat identifies acceptable grounds for
protest and creates criteria for protest submittals;
Describes the contract policies and incorporation of federal provisions .
as required by FTA; and
Provides a quick reference guide for staff.
The new Procurement Policies .Manual provides the Commission with a formal set
of procedures that will assist all aspects of the organization. With the increasing
number of projects using federal funding sources, the manual provides a framework
to ensure compliance with state and federal regulations.
Attachment: Procurement Policies Manual
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE:
April 11, 2007
TO:
Executive Committee
FROM:
THROUGH:
Sheldon Peterson, Program Manager
Stephanie Wiggins, Regional Programs Director
Eric Haley, Executive Director
SUBJECT:
Procurement Policies Manual
STAFF RECOMMENDATION:
This item is for the. Committee to adopt the Procurement Policies Manual as a new:
set of policy guidelines for the procurement and contracting activities of the
Commission.
BACKGROUND INFORMATION:
The Commission has been in the process of reviewing and updating several of the
key internal policies and procedures by which it operates: Some of the processes
identified for review and update were the contracting and procurement procedures.
The previous procurement policies were abbreviated and not comprehensive
enough for the expanding role of the Commission.
Thisdeficiency was further demonstrated during. the Federal Transit -Administration
(FTA) FY 2006 Triennial Review in August 2006. This review is completed every
three years to evaluate the agency's policies and practices to ensure compliance
with the federal guidelines for receiving FTA funds. The Commuter Rail
Department is the recipient of FTA 5307 Urbanized Area formula funds ,that are
used for capital improvements to build stations, expand parking lots, and to
develop new rail corridors such as the Perris Valley Line (PVL). During this review,
FTA staff identified that the Commission` needed to develop a more forrrial written
procurement. policies and procedures manual that conforms to applicable state and
federal laws including 49 CFR Part 18. The Commission hired Altmayer
Consulting Inca to assist staff in developing an updated Procurement Policies
Manual that met the FTA's requirements. The consultant conducted a review of
federal and state regulations and analysis of other agencies procedures such as
OCTA and SCRRA Then after several meetings with staff, the consultant
developed an updated Procurement Policies Manual. This manual was forwarded
to the FTA and was accepted as a corrective action for the triennial review. The
FTA also made some additional suggestions that were incorporated in the,revised
document. Staff is now requesting adoption of the ProcurementPolicies Manual.
Agenda Item 6
_Procurement Policies Manual Highlights
The new Procurement Policies Manual outlines a more comprehensive program that
incorporates the key elements needed to comply with FTA regulations, yet still tries.
to be user friendly for staff and meet the changing needs of the Commission. The
new manual does the following:
•
•
•
•
Identifies the Chief Financial Officer and his or her designee as the
purchasing agent;
Creates a written standard of conduct for employees and Commission
members to use ethical purchasing practices;
Increases the Supplies, Services or Contracts range from $25,000 to
$50,000 to be eligible to use the limited solicitation process,
Provides a detailed competitive procurement process that identifies
the request for proposal procedures;
Clearly defines the use of sole source for federally funded. projects;
Outlines the written evaluation and proposal review standards and .
provides specific procedures for construction contracts;
Formalizes a protest procedure that identifies , acceptable grounds for
protest and creates criteria for protest submittals;
Describes the contract policies and incorporation of federal provisions
as required by FTA; and
Provides a quick reference guide for staff.
The new Procurement Policies Manual provides the Commission with a formal set
of procedures that will assist all aspects of the organization. With the increasing
number of projects using federal funding sources, the manual provides a framework
to ensure compliance with state and federal regulations
Attachment: Procurement Policies Manual
Agenda Item 6 8
TABLE OF CONTENTS .
GENERAL PRO'tUREMENT POLICIES - 3 -
PURPOSE -3-
PURCHASING AGENT FOR SUPPLIES AND SERVICES - 3 -
DISADVANTAGED BUSINESS ENTERPRISE PROGRAM - 3 -
WRITTEN STANDARDS OF CONDUCT - 3 -
LOBBYING AND GIFTS - 4 -
PROCUREMENT FILES - 4 -
PROCUREMENT PROCEDURES - 5 -
REQUISITIONS - 5 -
SERVICES AND SUPPLIES (UP TO $50,000) - 5 -
Supplies, Services or Contracts Up to $2,500: - 5 -
Supplies, .Services or Contract between $2,500 to $50,000• - 5
COMPETITIVE PROCUREMENT - 6 -
1. Request for Proposal or Request for Qualification - 6 -
2. Invitation for Bid/Notice Requesting Bids - 7 -
SOLE SOURCE PROCUREMENTS FOR FEDERALLY FUNDED PROJECTS - 7 -
EMERGENCY PROCUREMENT - 8 -
COOPERATIVE PROCUREMENT - 8 -
EVALUATION AND AWARD POLICIES -10 -
WRITTEN PROCUREMENT SELECTION PROCEDURES - 10 -
BID/PROPOSAL REVIEW AND EVALUATION - 10 -
TECHNICAL AND COST CRITERIA WEIGHTS - 12 -
TIE BIDS - 13 -
BID OR PROPOSAL REJECTION - 13 -
PROTESTS -13-
WRITTEN RECORD OF PROCUREMENT HISTORY - 18 -
CONTRACTING POLICIES -19 -
CONTRACT AMENDMENTS AND MODIFICATIONS - 19 -
RECURRING CONTRACTS - 19 -
INCORPORATION OF FEDERAL PROVISIONS - 19 -
NATIONAL INTELLIGENT TRANSPORTATION SYSTEMS ARCHITECTURE
AND STANDARDS - 20 -
RCTC Procurement Policies Manual
GENERAL PROCUREMENT POLICIES -
r5
PURPOSE
The purpose of the manual is to outline polices in order to provide safeguards for
maintaining a procurement system of quality and integrity as well as to maximize the .
purchasing value of Riverside County Transportation Commission ("RCTC") funds.
PURCHASING AGENT FOR SUPPLIES AND SERVICES
The Chief Financial Officer and his or her designee is identified as the "purchasing
agent" for RCTC. The Purchasing Agent shall be responsible for the purchase of all
supplies, services and contracts. up to $50,000, except relating to real property, whether
lease, sale or .otherwise, to ensure the uninterrupted operation of RCTC. The Purchasing
Agent shall act in accordance with RCTC approved policies.
All purchases must be initiated by a using theappropriate contract or purchase order
documentation: and should be processed as expeditiously as possible.
DEFINITION OF TERMS
Supplies.- ,In general, tangible or movable items (other than money), such as
equipment, materials; and other goods, including consumables.
Services: In general, intellectual or manual efforts of individuals or firms. These
services, include, but are not limited to, engineering design, construction
management, graphic design, maintenance services and repair services.
Real Property: Land or, in general, whatever is erected (or growing) upon or
affixed to land.
DISADVANTAGED BUSINESS :ENTERPRISE PROGRAM
In order to ensure RCTC's compliance with the federal Disadvantaged Business
Enterprise ("DBE") Program on all applicable procurements subject to a funding grant
awarded by the federal Department of Transportation ("USDOT"), RCTC will utilize
disadvantaged business enterprises in compliance with 49CFR Part 26 to the extent
practicable in procurement activities funded in whole or in part by the USDOT.
WRITTEN STANDARDS OF CONDUCT
No employee, officer, agent; immediate family member, or Commission member of
RCTC shall participate in the selection, award, or administration of a contract if a conflict
of interest, real or apparent, would be involved.
Such a conflict would arise when any of the following has a financial or other interest in
the firm selected for award:
(1) The employee, officer, agent, or Commission member,
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RCTC Procurement Policies Manual
(2) Any member:of his/her immediate family,
(3) His or her partner, or
(4) An organization that em,ploys, or is about to employ, any of the above.
s
RCTC's officers, employees, agents, or Commission members will comply with state and
federal law regarding acceptance gifts, gratuities, or favors from contractors, potential
contractors, or parties to sub agreements.
LOBBYING ANDGIFTS
All procurements shall be conducted in accordance with RCTC's Ethics Policy_governin
lobbying and gifts:
PROCUREMENT FILES
All documents associated with any procurement action, including but not limited to.
purchases of supplies, services, contracts, solicitation documents (Invitation. for Bids,
Notice Requesting Bids, Request for Proposals, etc.), bids or proposal, evaluation reports,
meeting or negotiation notes, insurance certifications, correspondence,' notices, purchase
order and contract agreements should be retained in a procurement' file. Once all
requirements and obligations relating to the procurement have been satisfactorily
completed, claims, if any, have been resolved, and final payment rnade, the file ° should be
closed.
-4
RCTC Procurement Policies Manual
r4
PROCUREMENT PROCEDURES
REQUISITIONS
All procurement actions that will result in binding ROTC, whether competitive or non-
competitive, to a contract or purchase order, require a Requisition be submitted prior to
the initiation of the procurement process regardless of dollar value. The Requisition
provides a record that the requirement was budgeted and properly approved before the
procurement process began.
This policy shall apply to all procurements except those necessitated by an emergency
(See, Emergency Procurement) or for the purchase and lease of real property.
SERVICES AND SUPPLIES (UP TO $50,000)
Purchases of supplies and services as well as contracts up to $50,000 do not require a
formal bid process. Instead, the procedure outlined below may be used.'
Funding for supplies and/or services must be included within the fiscal year budget. To
solicit project or program proposals, the project or program must have budgetary
approval. If not, action to proceed with the proposal shall be presented to the
Commission for approval.
Supplies, Services or Contracts Up to $2,500:
The. Purchasing Agent may procure supplies, services or contracts up to $2,500 or
less using a purchase technique that best serves the needs of RCTC. The invoice,
purchase order, bill, receipt or other written record of the purchase of the supply,.
service, or contract should be documented in a procurement file.
Supplies, Services or Contract between $2,500 to $50,000:
The Purchasing Agent may procure supplies, services or contracts between $2,500 to
$50,000 using a limited solicitation procedure. This procedure requires a minimum
of three (3) viable written or oral responses, if available. A smaller number of
responses shall be acceptable where, in good faith, the Purchasing Agent determines
that obtaining additional responses is not feasible and will not lead to a more
competitive procurement. The process for limited solicitation to procure supplies,
services, and contracts shall be documented in a procurement file. and include the
name(s) of the vendor(s) or firm(s), address and telephone number, as well as the
written or oral quotation(s) received from each 'vendor or firm.
Purchases of all supplies, services, equipment, materials, and the construction of
facilities, over $50,000 require a formal bid process. (See, Competitive Procurement)
RCTC Procurement Policies Manual
COMPETITIVE PROCUREMENT
A competitive procurement method should be used as required by law. In addition, such
a method should be used as a matter of policy unless non-competitive procurement is in
the best interests of RCTC. This policy applies to all procurement of supplies, services
and: contracts over $50,000, except those necessitated by an emergency (See, Emergency
Procurement).
1. Request for Proposal or Request for Qualification.
A Request for Proposal ("RFP") or a Request for Qualifications ("RFQ") are
generally :used for service contracts. RFPs and RFQs have a stated deadline and
solicit for specific needs.
Awards shall be made to the responsible proposer whose proposal is the most
advantageous to ROTC. Such offers shall be evaluated in accordance with the
Review and Evaluation section of this Manual:
Contents of an RFP or RFQ
The following are some of the suggested elements of what an RFP ,or,RFQ shall
include:
a. Transmittal Letter
b. Project Title Page: The title page shall include the following information:
• Identification of the program and/or identifying number
• Name and address of RCTC and the Staff member overseeing the
program
• Proposed start date and end date
• Date proposals are due
c. Abstract
The abstract is a condensed version of the; proposal,_ written, in non-
technical language, usually less than 250 words: It should concisely state
the significance of the project, what will be accomplished, how it will be
accomplished, and the proposed period of performance.
d Introduction or Background
RFPs and RFQs generally provide for a background of RCTC and the
services it provides. In developing this, it is suggested that Staff request
information from Public Affairs or obtain informationfrom RCTC's latest
marketing brochure.
e: Technical Description
An important element of the proposalis defining the objectives: and scope
of the project. Consider the amount of requested support and define the .
objectives and scope accordingly. Ifthe .scope and objectives are defined
too: broadly, it may not be possible to complete the projectat the awarded
level of funding. If the scope and objectives are defined too narrowly, the
project may run out of scope.
Budget
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The pwposed budget is Stab's best estimate needed to perform the
technical goals and activities of the proposed project and therefore careful
front-end preparation is important. Staff must use vendor price quotes or
some reasonable cast basis as support for budgeted items.. It is advisable
that unallowable costs and/or budget inflation factors be noted in the
proposal. Underestimated budgets for projects are one of the primary
causes of cost overruns and, if this occurs, it is the responsibility of the
department director.
g., Criteria for Review
The RFP or RFQ should set forth the criteria that RCTC will use to review
the proposal. If the service or construction proposal is funded by federal
funds, Staff must note RCT,C's annual Disadvantaged Business Enterprise
goal for the fiscal year.
2. Invitation for Bid/Notice Requesting Bids
An Invitation for Bid ("IFB") or Notice Requesting Bids ("NRB") are used when
RCTC, knows what supplies or services it wishes to purchase. IFBs and NRBs are
generally used for construction projects and for purchase of supplies. It shall include
technical specifications, bid closing date and time of the award. Contracts, in most
cases, are awarded to the lowest priced responsive and responsible bidder.
SOLE SOURCE PROCUREMENTS FOR FEDERALLY FUNDED PROJECTS
A sole source procurement is a purchase accomplished through solicitation or acceptance,
of a proposal from only one source; or, if after solicitation of a number of sources
competition is determined inadequate. A sole source purchase must be documented as to
the reasons why only one supplier is acceptable. This documentation is normally
furnished by the originating department and verified by the Purchasing Agent, who is
responsible for making the final determination on sole source procurements. A contract
amendment or change order that is not within the scope of the original contract shall be
considered a sole source procurement.
Sole source procurement may be used only when the award of a contract is infeasible
under small purchase procedures, sealed bids, or competitive proposals and at least one of
the following circumstances applies:
I. The item is available only from a single source;
2: The public exigency or emergency (i.e., a threat to public health, welfare, safety,
property or other substantial loss to FST, or a situation requiring immediate action
by FST, as determined by FST) for the requirement will not permit a delay
resulting from competitive solicitation.
3. FTA authorizes noncompetitive negotiations;
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4. After solicitatiop of a'number: of sources, competition is determined inadequate
or
5. The item is an associated capital maintenance item as defined in 49'U.S.C.'§".
5307(a)(1) that is procured directly from the original manufacturer or supplier of
the item to be replaced. The grantee must first certify in writing to FTA: (I) that
such manufacturer or supplier is the only source for such item; and (ii) that the
price of such item is not higher that the price for such item by like customers.
A cost analysis, i.e., verifying the proposed cost data, the projection of the data, and the
evaluation of the specific elements of costs and profit, is required. The Purchasing Agent
shall: conduct negotiations, as appropriate, as to price, delivery, and terms.
EMERGENCY PROCUREMENT
This policy applies in the case of an emergency that means a ,public calamity, such as a
fire, flood, storm, epidemic, or other disaster or interruption of contracts essential to the
provision of daily service or the catastrophic failure of revenue producing equipment or
facilities. When such an emergency occurs, RCTC may enter into contracts without.
observance of competitive bids, advertisement or notice. RCTC authorized Staff shall
take those steps necessary to implement immediate remedial measures to avert or
alleviate damage to property, or to replace, repair or restore property or to maintain or .
restore services. Staff will report to the Commission during the next regularly scheduled
Commission meeting of any actions taken pursuant to this provision.
COOPERATIVE PROCUREMENT
The principal purpose of a cooperative agreement and memorandum of understanding is
to accomplish a public purpose. A cooperative agreement or memorandum of
understanding is ;used if substantial involvement is expected between RCTC and another
agency when carrying out the activity contemplated in the agreement; that is a binding
contract.
BID SECURITY AND BOND REQUIREMENT
Bid security must .be: included with the sealed bid on all public works procurements: Bid
security may be required for other procurements.
All public works contracts will require performance and payment (material and labor)
bonds as a condition of receiving a Notice to Proceed. Contracts, other than public
works, may require a performance and/or payment bonds.
Prospective bidders/proposers shall be notified of the bid security requirement .= and the
amount, as well as any other security or bonds that may also be required in the
solicitation documents.
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PIGGYBACKING
Piggybacking is an assignment of existing contract rights to purchase supplies,
equipment, or services. Piggybacking is permissible when the solicitation document and
resultant contract contain an assigt}ability clause that provides for the assignment of all or
a portion of the specified deliverables as originally advertised, competed, evaluated, and
awarded. If the supplies were solicited, competed and awarded through the use of an
indefinite -delivery -indefinite -quantity contract, then both the solicitation and contract
award must contain both a minimum and maximum quantity that represent the reasonably.
foreseeable needs of the party(s) to the solicitation and contract. If two or more parties
jointly solicit and award such a contract, then there must be a total minimum and
maximum.
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EVALUATION AND AWARD POLICIES
r
1
WRITTEN PROCUREMENT SELECTION PROCEDURES
All competitive solicitations shall:
• Incorporate a clear and accurate description of the technical requirements for
the material, product, or service to be procured. Such description shall not, in
competitive procurements, contain features that unduly restrict competition.
The description may include a statement of the qualitative nature of the
= material, product, or service to be procured and when necessary, shall set forth
those minimum essential characteristics and standards: to which it must
conform if it is to satisfy its intended use.
• Incorporate a clear and accurate description of the technical requirements for
the material, product, or service to be procured. Such description shall not, in
competitive procurements, contain . features that unduly restrict competition.
The description may include a statement of the qualitative nature of the
material, product or service to be procured, and when necessary, shall set forth .
those minimum essential characteristics and standards to which it must .
conform if it is to satisfy its intended use. Detailed product specifications
should be avoided if at all possible. When it is ,impractical or uneconomical to
make a clear and accurate description of the technical requirements, a "brand
name or equal" description may be used as a means to define the performance
or other salient. characteristics of procurement. The specific features of the
named brand which must be met by offerors shall be clearly stated.
• Identify all requirements that'offerors must fulfill and all other factors to be
used in evaluating bids or proposals.
BID/PROPOSAL REVIEW AND EVALUATION
This policy provides the guidelines for reviewing bids and proposals received in response
to an Invitation for Bids ("IFB"), Notice Requesting Bids ("NRB"), Request for Proposal
("RFP") or. Request for Qualifications ("RFQ") (collectively referred to as "Competitive
Procurements"-). -(See, Competitive Procurement).
Project orProgram Proposals
1. Upon Commission approval, all Competitive Procurements are prepared and
advertised in newspapers of general circulation and/or through the RCTC
website. Competitive Procurements may also be directly mailed to a list of
consultants. This list is kept current and includes all interested and potentially
qualified consultants. " This list includes Disadvantaged Business Enterprise
consultants and is applicable for projects that include federal funds.
2. Consultants for professional services or architectural and engineering services
are given a specified time to submit proposals usually seven (7) days or
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RCTC Procurement Policies Manual
longer. An or RFQ requires that the responding consultant submit copies
of their qualifications and proposed scope of work, schedule and budget. The
RFP provides consultants two (2) to four (4) weeks to respond to the proposal.
The proposals are reviewed and evaluated by appropriate RCTC Staff and
project management consultant. In general, a select group of proposers are
"short-listed" and given notice to prepare and make a presentation before an
interview panel.
3. Depending on the proposal, the interview panel may consist of RCTC Staff;
Caltrans representative, local agency representative (city or county) and/or
private entity, if the proposal involves a Cooperative. Agreement requiring
such participation. Commissioners may also be included at the direction of
the Chair of the Commission.
4. The interview panel ranks the "short-listed" firms and negotiations begin`with
the top ranked firm(s) concerning the proposed project budget. If negotiations
between RCTC and the top ranked firm are unsuccessful, then the next ranked
firm will be invited to begin negotiations. This process will be continueduntil
a project budget can be agreed upon.
Upon agreement of the cost for services, RCTC Staff will present the proposal,
to the Commission for approval to award the=contract. After Commission
approval and award, a Notice to Proceed shall be issued. .
Construction Contracts
I. RCTC completes final Plans, Specifications and Estimates ("PS&E") and : ,.
obtains all necessary permits and approvals for construction to begin.
Contract documents (bid package) are prepared for distribution to bidders
desiring the information.
2. A Notice Requesting Bids ("NRB") is published in newspapers of general
circulation and on RCTC's website. The NRB is also mailed to firms off
RCTC's list, including Disadvantaged Business Enterprise firms. Usually, a
fee to cover printing costs for the contract bid documents is charged. Bidders
are provided information on the schedule of key dates for submitting their
bids.
3 A pre -bid meeting is held approximately one (1) week prior to receipt of ;the
sealed bids. This pre -bid meeting is to provide prospective bidders an
opportunity to ask pertinent questions regarding the proposed contract and
award process. Prospective bidders are informed that they must pay state
prevailing wages and have a contractor's license of sufficient class to
accomplish all project work at the time of the award.
4. After the pre -bid meeting, sealed bids received by RCTC are typically'openal
within one (1) hour after receipt in the presence of all bidders. The contract is
awarded to the lowest priced responsive and responsible .bidder. The bids are .
reviewed and checked to verify that the successful bidder has included all of
the requiredinformation, bonds, and insurance. If the lowest bid is found not
to meet RCTC's contract requirements and found to be non -responsive, RCTC
will continue with the next lowest responsible bidder until a responsive bid is
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found thatladequatelymeets all of the contract requirements. The successful
bid will then be presented by RCTC Staff to the Commission for final award
and approval. After the Commission's approval of the .award, a Notice to
Proceed is issued to thq successful bidder.
DEFINITION OF TERMS
Determination of Responsibility: The term "responsible" refers to.a bidder's
financial resources, judgment, skill, experience, integrity and business ethics, as
well ability to successfully fulfill the requirements of the contract. RCTC will not
award. a contract to any bidder determined to be non -responsible. Information not
contained in the bid may be requested from the bidder for evaluation purposes:
Information from outside sources (e.g. Dun & Bradstreet) may. also be used.
Determination of Responsiveness: To be responsive and to be considered for
award, a bid must comply both as to method and timeliness of submittal and to the
substance of the resulting contract. The responsiveness of the bid itself is
determined by its conformance to the technical, legal and commercial
requirements of the bid documents. Generally, a bid is not responsive ;and may be
eliminated from consideration for award on that basis if the bidder deviates from
the bid requirements, fails to follow the procedures for submittal, does not include
the required bid form properly completed and signed: A bid may be rejected
when the bidder imposes conditions that would modify requirements of the
solicitation documents.: RCTC may waive minor, non -material errors or
omissions, which do not allow a competitive edge.
'TECHNICAL AND COST CRITERIA WEIGHTS
Appropriate technical and cost criteria weights should be adopted for use when, a
negotiated competitive procurement process is utilized.
• All negotiated competitive procurements shall include technical and cost
components. The technical and cost components shall be further broken down
into evaluation criteria and sub -criteria appropriate to the scope of the work.
Weights shall be assigned to each criteria and sub -criteria. These weights
shall be included in the solicitation package. The evaluation criteriaweights
shall reflect the scope of work and intended purpose of the resulting contract.
In addition, the solicitation package will also include the minimum technical
score that must be achieved for the firm to be short-listed for further
consideration.
• If interviews are planned, the interview must be identified as a weighted
evaluation criterion with weighted sub -criteria, and included in the solicitation
package. In addition, the minimum technical score required -to move to the
interview phase of the evaluation process must be included in the solicitation
package.
• There may be instances when, dueto the necessity to expedite the
procurement process or changes to the Commission meeting schedule(s),: it
will be necessary to take the weighted technical: and cost criteria and sub
criteria directly to the Commission for approval. In such cases, it will be the
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responsibili of Staff to obtain approval from the Executive Director to go.
directlyto � Commission. Staff shall include the Commission,a agenda
g a
item an explanation of why the criteria and sub -criteria were not approved
before presentation to the Commission.
TIE BIDS
This policy establishes a methodto address tie bids.
In response to an Invitation for Bid ("IFB") or Notice Requesting Bids ("NRB"); the
lowest two (2) or more responsible and responsive bids are tied,the following steps
should be taken:
Confirm that the bids are identical and responsive to the requirements and
terms and conditions of the IFB or NRB.
• If the bids are tied, establish a date and time to draw lots to determine the
.winner.
• Advise the tied bidders in writing that a tie has occurred, advise them a winner
will be determined by drawing lots, and invite them to attend.
• Conduct the drawing of lots on the date and time previously established.
• The drawing of the lots is to be witnessed by at least two (2) individuals. The
procurement file should reflect the names, titles, and departments ;of the
witnesses. If the witnesses are not RCTC employees, the name, company,
address, and telephone number of the individuals should be listed.
BID OR PROPOSAL REJECTION
RCTC reserves the right to reject any and all bids or proposals, or to waive any
informality or non -substantive defects in bids or proposals, if RCTC determines, at its
sole discretion, that it is in the best interest of RCTC to do so. Any and all submission
occurring after the time and date specified by the Competitive Procurement shall be
deemed rejected.
PROTESTS
This ;policy provides procedures for the submittal and evaluation of protests relating to all.
procurements, except purchases less than $25,000.
In order to be considered, a protest must be filed in a timely manner, as described below,
must satisfy all the applicable requirements described below and must be brought by an
interested party, as defined below. Notice of the availability of these protest procedures
and information on the applicable protest deadlines shall be provided to bidders and
proposers in all solicitations in excess of $25,000.` The protest procedures shall be
available on RCTC website:
The Executive Director will make the final determination on all protests submitted, and
there shall be no further administrative recourse with the exception of protests filed in
conjunction with procurements funded in whole or in part by the Federal Transportation
Agency ("FTA").
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Protests submitted rel#ting to procurements of $25,000 or less will not be considered by
RCTC and will be returned.
Any protest submitted shall be evaluated in accordance with the procedures described
below. -
1.1 Protest Grounds General
Prior to receipt of bids/proposals, a protest may submitted on the basis of one or more
of the following grounds:
• The solicitation package contains unduly restrictive specifications or scope
of work.
• The solicitation package violates local, state, or federal law or regulation. ;
After receipt .of bids/proposal and, after an action relating to the selection of a
consultant/contractor, a_ protest may be submitted on the basis of one or more of the
following grounds:
• RCTC fails to adhere to the evaluation process set forth in the solicitation
package.
RCTC fails to follow its own procurement policies and procedures.
• RCTC made a clerical or mathematical error during evaluation .of the
bid/proposal.
1.2 Protest Submittal Criteria — General
In order for a protest to be considered, the submittal must meet each one of the following
criteria:
.
Must be submitted on a timely basis. "Timely is defined under the
Definition of Terms below. If the protest is not timely, the protest may not
be considered and may be returned without response other than the
determination that it is untimely filed.
Must be submitted by an interested party. "Interested Party" is defined
under the Definition of Terms below.
Must identify the solicitation or contract number being protested.
• Must be, submitted in; writing.
.
.
Must include all supporting documentation for each material issue raised
in the protest:
Must include a detailed statement of the legal and/,or factual grounds for
each material issue identified in the protest.
Must describe the resolution to the protest desired by the interested party.
Must be signed by a properly.authorized representative of the interested
party.
RCTC reserves the right to waive minor, non -substantive, or trivial deficiencies in a
protest at its sole discretion.
1.3 Protests Filed Prior to Submittal of Bids/Proposals
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If the protest is determ ed to be timely and meets the criteria identified in 1,.2 above, the.
followhi actions } initiated:
g vvill�e
1.3.1 All bidders/proposers will be notified within ten-(10) working days that a
protest has been filed and will be provided with a copy of the protest. -
1.3.2 Bidders/proposers will be given an opportunity to respond to the protest.
1.3.3 The date for receipt of bids/proposals may be delayed, at the sole
discretion of the Protest Officer, to provide adequate opportunity to
resolve the protest.
1.3.4 The Protest Officer, at his/her discretion, may meet, either in person or
over the telephone, with the Protestor to discuss the protest and/or perform
additional fact finding.
1.3.5 Should the Protestor determine, at this point or any other point in the
evaluation of the protest that he/she wishes to withdraw the protest, a
written request to withdraw will be provided to. the Protest Officer and the
Protest Officer will promptly notify all bidders/proposers that the protest
has been withdrawn.
1`.3.6 The Protest Officer will research the protest and may call upon any
resources he/she feels are necessary and appropriate to assist in the
evaluation of the protest.
1.3.7 The Executive Director will render a determination to uphold or deny the.
protest, which determination shall be final.
1.3.8 If the protest is upheld, an addendum to the solicitation may be issued to
all bidders/proposers and the date for receipt of bids/proposals may be
extended, at the Executive Director's sole discretion,'to provideadequate
time for all potential bidders/proposers to respond to the addendum.
1.3.9 If the protest is denied, the solicitation may be continued without further
delay.
1.3.10 Acceptance of bids/proposals will be subject to the administrative_
resolution of any protests timely filed.
1.4 Protests Submitted After Receipt of Bids/Proposals and: Relating to
Selection of Consultant/Contractor
If the protest is determined to be timely and meets the criteria identified in '1.2 above, -the
following actions will be initiated:
1.4.1 The potential successful bidder/proposer will be. notified within ten (10)..
working days of receipt of the protest that a protest has: been filed and a
copy of the protest will be provided to the potential successful offeror.
1.4.2 The potential successful bidder/proposer will be provided an opportunity
to respond to the protest and provide any information- the bidder/proposer
believes is important to the issues raised in the protest. The length of time. ,
for response shall be determined by the Protest Officer and shall be based
on the complexity of the issues raised in the protest.
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1.4.3 The-PKptest Officer, at his/her discretion,may meet, either in person or
over the telephone, with the Protestor to discuss the protest and/or perform
additional- fact finding.
1.4.4 Should the Protestor determine, at this point or any other point in the
evaluation of the protest that he/she wishes to withdraw the protest, a .
written request to withdraw will be provided to the Protest Officer and the
Protest Officer will promptly notify the successful bidder/proposer:
1.4.5 Depending on the nature and complexity of the protest, the Protest -Officer
may, after evaluating :all of the information available, provide a written .
recommendation to the Executive Director that: the protest should be
denied or upheld, in whole or in part. The recommendation will include
reasons supporting the recommendation.
1.4.6 The Protest Officer may call upon one or more experts, either from within
or outside ROTC, to .evaluate the merits of the protest.' The expert(s) may
provide a written opinion regarding the merits of the protest and may
provide a recommendation for consideration by the. Protest Officer that the
protest be denied or upheld, in whole or in part.
1.4.7 The Protest Officer may convene a Protest Evaluation Team to evaluate
the merits of the protest. The Protest Evaluation Team may provide a
written opinion regarding the merits of the protest and may provide a
recommendation for consideration by the Protest Officer that the protest
be denied or upheld, in whole or in part.
1.4.8 The Protest Officer shall review the recommendation and documentation
provided by. the expert(s) or Protest Evaluation Team with Legal Counsel
and shall prepare a recommended resolution of the protest for
consideration by the Executive Director.
1.4.9 If. the Executive Director upholds the protest, in whole or in part, he/she
may direct such actions, as he/she deems appropriate.
1.4.10 If the Executive Director denies the protest, the challenged determination
will move forward.
The Executive Director's decision will be provided to the Protestor and to the potential
successful bidder/proposer. The Executive Director's decision shall be final and there
shall be no further administrative recourse at the local level.
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1.5 Protests Relating :to Federally Funded Procurements
If a. procurement is federally funded, the Protestor may pursue a remedy through the
FTA. Any such protest must be filed in accordance with FTA Circular 4220.1E or most
current version:
Reviews of Protests by FTA may be limited to: (1) RCTC's failure to have or follow its
protest procedures (2) RCTC's failure to review a complaint or protest and/or (3)
Violations of federal law or regulation.
1.5.1 An appeal to FTA must be received by the cognizant FTA regional or
headquarters office within five (5) working days of the date the Protestor_
learned or should have learned of an adverse decision by RCTC or other
basis of appeal to FTA.
1.5.2 The Protestor shall provide a copy of allcorrespondence provided to .the
FTA to RCTC's Protest Officer.
1.5.3 Award of any proposed contract may be delayed by RCTC pending
resolution of the protest to FTA unless one or more of the following
conditions is present:
• The items or services being procured are urgently required:
Delivery or performance will be unduly delayed by failure to make
an award promptly.
• Failure to make a prompt award will otherwise cause: undue. harm
to ROTC.
DEFINITION OF TERMS
Interested Party: If the protest is based on the content of a solicitation, an
interested party is any bidder/proposer or potential offeror. If the protest is related
to selection of a contractor, an interested party is a bidder/proposer that would be
next in line as a prime contractor for award of a contract; if the protest were
upheld.
Protest Officer.: The Purchasing Agent is the Protest Officer, unless otherwise:
designated by the Executive Director. The Protest Officer is to receive and
evaluate protests and will recommend to the Executive Director either that the
protest be upheld or denied. The Protest Officer should not have participated in
the evaluation of bids/proposals received.
Timely Filed Protest
• A protest that addresses the content of the solicitation package must :be
received by the Protest Officer within seven (7) calendar days after all
requests for clarifications and requests for approved equals have .been
answered by RCTC. Day 1 is the day after the date of RCTC's
answer. If no requests for clarification or approved equals are
received, a protest regarding the content of the solicitation must; be
received by the Protest Officer within seven (7) calendar days after the
period for requests for clarifications or approved equals has closed.
This period shall be defined in each solicitation package.
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• Fad protests submitted after receipt of bids/proposals, the protest must
be received by the Protest Officer within seven (7) calendar days after
the Commission takes action, or such other time period as may be
specified in theisolicitation document. Day 1 is defined as the day
after the Commission meets and takes action.
• Any solicitation for which contract award is not made by the
Commission will include a date certain by which a protest must be
filed in order to be considered timely. A protest received after the date
certain identified in the solicitation may be considered untimely, may
not be considered, and may be returned without response. In all other
respects, such a protest will be handled in accordance with 1.3 and 1.4
of this policy.
WRITTEN RECORD OF PROCUREMENT HISTORY
RCTC shall maintain records detailing the history of each procurement. At a minimum,
these records shall include:
• The rationale for the method of procurement,
• Selection of contract type,
• Reasons for contractor selection or rejection, and
• The basis for the contract price.
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CONTRACTING POLICIES
CONTRACT AMENDMENTS AND MODIFICATIONS
This policy applies to all contract amendments and modifications for contracts and
purchase orders awarded by RCTC with the exception of public works/construction
contracts which are governed separately through the written contract.
To be binding, all contract amendments and modifications shall complywith applicable
laws and regulations, be properly documented and approved. All amendments and
modifications should be included in the procurement file. Amendments and
modifications stall be within the scope of the original contract, in writing andfully
signed before the work is performed.
RECURRING. CONTRACTS
Continued renewal contracts are multi -year contracts. During the budget process, funds
should be requested to continue funding for the contracts. In general, the process is
routine unless there are changes to the contract, not noted in the originally approved
contract. In this case, Staff shall request Commission approval for. the amended contract.
INCORPORATION OF FEDERAL PROVISIONS.
Federal procurement requirements apply to all federally funded procurements. Projects
involving federal funds must comply with all contractual provisions required by FTA and
FHWA including but not limited to, provision: relating to the following:
Sec.
Contract Clause
Applicability. to Type of Contract
1
Fly America Requirements
When Transportation Paid by FTA Funds
2
Buy America Requirements
Value > $100 K for Construction, Goods,.
3
Charter Bus and School Bus Requirements
Operational Service
4
Cargo Preference Requirements
Equipment/Material/Commodities Transported
by Ocean
5
Seismic Safety Requirements
New Building Construction / Additions
6
Energy Conservation Requirements
All
7
Clean Water Requirements
Value > $100 K
8
Bus Testing
Rolling Stock / Turnkey Acquisition
9
Pre -Award and Post Delivery Audit
Rolling Stock / Turnkey Acquisition
10
Lobbying
All
11
Access to Records and Reports
All
12
Federal Changes
All
13
Bonding Requirements
Construction > $100 K and at discretion of FST
for others
14
Clean Air
Value > $100 K
15
Recycled Products
Value > $10 K in Fiscal Year
16
Davis Bacon Act and Copeland Anti -Kickback
act
Public Works / Construction > $2000
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17
' Contract Work Hours and Safety Standards Act
Construction > $2000, Rolling Stock.,
Operational > $2,500
18
[Reserved]
19
No Government Obligation to Third Parties
All
20
Program Fraud and False or Fraudulent
Statements and Related Acts
All
21
Termination
Value > $10 K
22
Government -Wide Debarment and Suspension
(Nonprocurement)
Value > $25 K
23
Privacy Act
All
24
Civil Rights Requirements .
All
25
Breaches and Dispute Resolution
Value > $100 K
26
Patent and Rights in Data
Research Projects Only;
27
Transit Employee Protective Agreements
Transit Operations
28
Disadvantaged Business Enterprise (DBE)
All
29
[Reserved]
30
Incorporation of Federal Transit Administration
(FTA) Terms
All
31.
Drug and Alcohol
Operational Service / Safety Sensitive
Appendix A,is a list of each of these clauses as shall be contained in all applicable
federally funded projects. Appendix B includes federal certificates to be obtained as part
of the procurement and contracting process for all applicable procurements,
NATIONAL INTELLIGENT TRANSPORTATION SYSTEMS ARCHITECTURE
AND STANDARDS f
To the extent applicable, in federally funded projects RCTC will require all parties to
conform to the National Intelligent Transportation Systems (ITS) Architecture and
Standards as required by SAFETEA-LU § 5307(c), 23 U.S.C. § 512 note, and comply
with FTA Notice, "FTA National ITS Architecture Policy on Transit Projects'.'
66 Fed. Reg. 1455 et seq., January 8, 2001, and any subsequent further implementing
directives, except to the extent FTA determines otherwise in writing.
- 20 -
APPENDIX A
RCTC Procurement Policies Manual
FEDERAL CLAUSES AND OTHER REQUIREMENTS
1. Fly America Requirements
The Contractor agrees to comply with 49 U.S.C. 40118 (the "Fly America" Act) in accordance
with the General Services. Administration's regulations at 41 CFR. Part 301- l 0, which provide
that recipients and subrecipients of Federal funds and their contractors are required to use U.S.
Flag air carriers for U.S Government -financed international air travel and transportation of their
personal effects or property, to the extent such service is available, unless travel by foreign air
carver is a matter of necessity, as defined by the Fly America Act. The Contractor shall submit,
if a foreign air carrier was used, an appropriate certification or memorandum adequately.
explaining why service by a U.S. flag air carrier was not available or why it was necessary to use
a foreign air carrier and shall, in any event, provide a certificate of compliance with the Fly
America requirements. The Contractor agrees to include the requirements of this section in all
subcontracts that may involve international air transportation.
2. Buy America
The contractor agrees to comply with 49 U.S.C. 53230) and 49 C.F.R. Part 661, which provide
that Federal funds may not be obligated unless steel; iron, and manufactured products used in
FTA-funded projects are produced in the United States, unless a waiver has been granted by FTA
or the product is subject to a general waiver. General waivers are listed in 49 C.F.R. 661.7, and
include final assembly in the United States for 15 passenger vans and 15 passenger wagons
produced by Chrysler Corporation, microcomputer equipment, software, and small purchases
(currently less than $100,000) made with capital, operating, or planning funds. Separate
requirements for rolling stock are set out at 49 U.S.C. 5323(j)(2)(C) and 49 C.F.R. 661.11.
Rolling stock must be assembled in the United States and have a 60.percent domestic content.
A bidder or offeror must submit to the FTA recipient the appropriate Buy America certification
(below) with all bids or offers on FTA-funded contracts, except those subject to a general waiver.
Bids or offers that are not accompanied by a completed Buy America certification must be
rejected as nonresponsive. This requirement does not apply to lower tier subcontractors.
3. Charter Bus Requirements and School Bus Requirements
Charter Bus Requirements:
The CONTRACTOR agrees to comply with 49 U.S.C. 5323(d) and 49 CFR Part 604, which
provides that recipients and subrecipients of FTA assistance are prohibited from providing
charter serviceusingfederally funded equipment or facilities if there is at least one private
charter operator willing and able to provide the' service, except under one of the exceptions at 49
CFR 604.9. Any charter service provided under one the exceptions must be "incidental," i.e., it
must not interfere with or detract from the provision of mass transportation.
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School Bus Requiremen
Pursuant to 69 U.S.C. 5321(0 and 49 CFR Part 605, CONTRACTORS and subrecipients of MA
assistance may not engage in school bus operations exclusively for thetransportation of students
and school personnel in competition with private school bus operators unless qualified under
specified exemptions. When operating exclusive school bus service under an allowable
exemption, recipients and subrecipients may not use federally funded equipment, vehicles, or
facilities.
4 Cargo Preference - Use of United States- Flag Vessels
The contractor agrees:
a. to use privately owned United States -Flag commercial vessels toship at least 50 percentof the
gross tonnage (computed _separately for dry bulk carriers, dry cargo liners, and tankers) involved,.
whenever shipping any equipment, material, or commodities pursuant .:to ,the underlying contract
to the extent such vessels
are available at fair and reasonable rates for United States -Flag commercial vessels;
b. to furnish within.20 working days following the date of loading for shipments .originating
within the United States or within 30 working days following the date of leading for shipments
originating outside the United States, a legible copy of a rated, "on -board" commercial: ocean
bill -of -lading in English for each shipment of cargo described in the preceding paragraph to the
Division of National Cargo, Office of Market Development, Maritime Administration,
Washington, DC 20590 and to the FTA recipient (through the contractor in the case of a
subcontractor's bill -of -lading.)
c. to include these requirements in all subcontracts issued pursuant to this contract when the.:..
subcontract may involve the transport of equipment, material, or commodities by ocean vessel.
5. Seismic Safety
The contractor agrees that any new building or addition to an existing building will be
designed and constructed in accordance with the standards for Seismic Safety required in
Department of Transportation Seismic Safety Regulations 49 CFR Part 4,1 and will: certify :to
compliance to the extentrequiredby the regulation. The contractor also agrees to ensure that all
work performed under this contract including work performed by a subcontractor is in
compliance with the standards required by the Seismic Safety Regulations and the certification of
compliance issued on the project.
6. Energy. Conservation
CONTRACTOR agrees to comply with mandatory standards and policies relating to energy
efficiency which are contained in the state energy conservation .plan issued in compliance with
the Energy Policy and Conservation Act, 42 U.S.C. §§ 6321 et seq.:.
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7. Clean Water
(1) The Contractor agrees to comply with all applicable standards, orders or
regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C.
1251 et seq. The Contractor agrees to report each violation to the Purchaser and understands and
agrees that the Purchaser will, in turn, report each violation as required to assure notification to
FTA and the appropriate EPA Regional Office.
(2) The Contractor also agrees to include these requirements in each subcontract exceeding
$100,000 financed in whole or in part with Federal assistance provided by FTA.
8. Bus Testing
The Contractor [Manufacturer] agrees to comply with 49 U.S.C. A 5323(c) and FTA's
implementing regulation at 49 CFR Part 665 and shall perform the following:
1) A manufacturer of a new bus model or a bus produced with a major change in components or
configuration shall provide, a copy of the final test report to the recipient at a point in the
procurement process specified by the recipient which will be prior to the recipient's final
acceptance of the first vehicle.
2) A manufacturer who releases a report under paragraph 1 above shall provide notice to the
operator of the testing facility that the report is available to the public.
3) If the manufacturer represents that the vehicle was previously tested, the vehicle being sold
should have the identical configuration and major: components as the vehicle in the test report,, :
which must be provided to the recipient prior to recipient's final acceptance of the first vehicle. If
the configuration or components are nonidentical, the manufacturer shall provide a description of
the change and the manufacturer's basis for concluding that it is not a major change requiring
additional testing:
4) If the manufacturer represents that the vehicle is "grandfathered" (has been used in mass
transit service in the United States before October 1,1988,. and is currently being produced .
without a major change in configuration or components), the manufacturershall provide the
name and address of the recipient of such a vehicle and the details of that vehicle's configuration
and major components.
9. Pre -Award and Post, Delivery Audit Requirements
The Contractor agrees to comply with 49 U.S.C. § 5323(1) and FTA's implementing regulation at
49 C.F.R. Part 663 and to "submit the following certifications:
(1) Buy America Requirements: The Contractor shall complete and submit a declaration
certifying either compliance or noncompliance with Buy America. If the Bidder/Offeror certifies
compliance with Buy America, it shall: submit documentation which lists 1) component and
subcomponent parts of the rolling stock to be purchased identified by manufacturer of the parts,
their country of origin and costs; and 2) the location of the final assembly point for the rolling
programs described at 49 U.S.C. 5307, 5309 or 5311.
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stock, including a descript n of the activities that will take place at the final assembly point and .
the cost of final assembly'
(2) Solicitation Specification Requirements: The Contractor shall submit evidence that it will be
capable of meeting the bid specifications.
(3) Federal Motor Vehicle Safety Standards (FMVSS): The Contractor shall submit 1)
manufacturer's FMVSS self -certification sticker information that the vehicle complies with .
relevant FMVSS or 2) manufacturer's certified statement that the contracted buses will not be
subject to FMVSS regulations.
10. Lobbying Restrictions
The CONTRACTOR agrees to:
(a) Refrain from using Federal assistance funds to support lobbying,
(b) Comply, and assure the compliance of each third party CONTRACTOR at any tier and each
SUBCONTRACTOR at any tier, with U.S. DOT regulations, "New Restrictions on Lobbying,"
49 C.F.R. Part 20, modified as necessary by 31 U.S.C. § 1352.
(c) ,Comply with Federal statutory provisions to the extent applicable prohibiting the use of
Federal assistance funds for activities designed to influence Congress or a State legislature on
legislation or appropriations, except through proper, official channels.
11: Access to Records
The following access to records requirements apply to this Contract:
1. where the Purchaser is not a State but a local government and is the FTA Recipient or a
subgrantee of the FTA Recipient in accordance with 49 C.F.R. 18.36(i), the Contractor agrees to
provide the Purchaser, the FTA Administrator, the Comptroller General of the United. States or
any of their authorized representatives access to any books, documents, :papers and records of the
Contractor which are directly pertinent to this contract for the purposes of making audits,
examinations, excerpts and transcriptions. Contractor also agr
ees, pursuant to 49 C.F.R._"633.17
to provide the FTA Administrator or his authorized representatives, including any PMO:
Contractor access to Contractor's records and construction sites pertaining to a major capital
project, defined at 49 U.S.C. 5302(a)1, which is receiving federal financial assistance through the
2. Where the Purchaser is a State and is. the FTA Recipient .or_a subgrantee of the FTA Recipient
in accordance with 49 C.F.R. 633.17, Contractor agreesto provide the Purchaser, the FTA
Administrator or his authorized representatives, including any PMO Contractor, access to the,
Contractor's records and construction sites pertaining to a major capital project, defined at.49
U.S.C. 5302(a)1, which is receiving federal financial assistance through the programs described
RCTC Procurement Policies Manual
at 49 U.S.C. 5307, 5309 9r 5311. By definition, a major capital project excludes contracts of less
than the simplified acquisition threshold_ currently set at $100,000.
3. Where the Purchaser enters into a npgotiated contract for other than a small purchase or under
the simplified acquisition threshold and is an institution of higher education, a. hospital or other
non-profit organization and is the FTA -Recipient or a subgrantee of the FTA Recipient in
accordance with 49 C.F.R. 19.48, ,Contractor agrees to: provide the Purchaser, FTA
Administrator, the Comptroller General of the United States or any of their duly authorized
representatives with access to any books, documents, papers and record of the Contractor which
are directly pertinent to this contract for the purposes of making audits, examinations, excerpts'
and transcriptions:
4. Where any Purchaser which is the FTA Recipient or.a subgrantee of the FTA Recipient in
accordance with 49 U.S.C. 5325(a) enters into a contract for a capital project or improvement
(defined ° at 49 U.S.C. 5302(a)1) through other than competitive bidding, the Contractorshall,
make available records related to the contract to the Purchaser, the Secretary of Transportation
and the Comptroller General or any authorized officer or employee of any of them for the
purposes of conducting an audit and inspection.
5. The Contractor agrees to permit any of the foregoing parties to reproduce by any means
whatsoever or to copy excerpts and transcriptions as reasonably needed:
6. The Contractor agrees to maintain all books, records, accounts and reports required under this
contract for a period of not less than three years after the date of termination or expiration of this
contract, except in the event of litigation or settlement of claims arising from the performanceof
this contract, in which case Contractor agrees to maintain same until the Purchaser, the FTA
Administrator, the Comptroller General, or any of their duly authorized representatives, have
disposed of all such litigation, appeals, claims or exceptions related thereto. Reference 49 CFR
18.360)01).
7. FTA doesnot require the inclusion of these requirements in subcontracts.
12. Federal Changes
CONTRACTOR shall at all times comply with all applicable FTA regulations, policies,
procedures and directives, including without limitation those listed directly or by reference in the
Department of Transportation, Federal Transit Administration, Master Agreement (FTA MA
(10) dated October, 2003), between Purchaser and FTA, as they may be amended or promulgated
from time to time during the term of this contract. CONTRACTOR's failure to so comply shall -
constitute a material breach of this contract.
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13. Bonding Requirements
Bid Bond: Requirements (Construction)
(a) Bid Security
A Bid Bond must be issued by a fully qualified surety company acceptable to (Recipient) and
listed as a company currently authorized under 31 CFR, Part 223 as possessing a Certificate of
Authority :as described thereunder.
(b) Rights Reserved
In submitting this Bid, it is understood and agreed by bidder that the right is reserved by RCTC
to reject any and all bids, or part of any bid, and it is agreed thatthe, Bid may not be withdrawn
for a period of [ninety (90)] days subsequent to the opening of bids, without the written consent
of RCTC.
It is also understood and agreed that if the undersigned bidder should withdraw any part or all of
his bid within [ninety (90)] days after the bid opening without the written consent of RCTC, shall
refuse or be unable to enter into this Contract, as provided above, or refuse or be unable to
furnish adequate and acceptable Performance Bonds and Labor and MaterialPaymentsBonds, as
provided above, or refuse or be unable to furnish adequate and acceptable insurance, as provided
above, he shall forfeit his bid security to the extent of damages occasioned .by such withdrawal,
or refusal, or inability to enter into an agreement, or provide adequate security therefor.
It is further understood and agreed that to the extent the defaulting bidder's .Bid Bond, Certified
Check, Cashier's Check, Treasurer's Check, and/or Official Bank Check .(excluding any income
generated thereby which has been retained by RCTC as provided in [Item x 'Bid Security" of the
Instructions to Bidders]) shall prove inadequate to fully recompense RCTC for the damages
occasioned by default, then the undersigned bidder agrees to indemnify RCTC and pay over to
RCTC the difference between the bid security and RCTC's total damages, so as to make the
RCTC whole.
The undersigned understands that any material alteration of any of the above or any of the.
material contained on this form, other than that requested, will render the -bid unresponsive.
Performance and Payment Bonding Requirements (Construction)
The Contractor shall be required to obtain performance and payment bonds as follows:
(a) Performance bonds
1. The penal amount of performance bonds shall be 100 percent of the original contract price,
unless RCTC determines that a lesser amount would be adequate for the protection :of the RCTC.
RCTC Procurement Policies Manual
2. RCTC may require additional performance bond protection when a contract price is increased.
The increase in protection shall generally equal 100 percent of the increase in contract price.
RCTC may secure additional protection by directing the Contractor to increase the penal amount
of the existing bond or to obtain- an additional bond:.
(b) Payment bonds -
1. The penal amount of the payment bonds shall equal:
(i) Fifty percent of the contract price if the contract price is not more than $1 million.
(ii) Forty percent of the contract price if the contract price is more than $1 million but not more
than $5 million; or
(iii) Two and one half million if the contract price is more than $5 million.
2. If the original contract price is $5 million or less, RCTC may require additionalprotection as
required by subparagraph 1 if the contract price is increased.
Performance and Payment Bonding Requirements (Non -Construction)
The Contractor may be required to obtain performance and payment bonds when necessary to
protect RCTC interest.
(a) The following situations may warrant :a performance bond::
1. RCTC property or funds are to be provided to the contractor for use in performing the contract
or as partial compensation (as in retention, of salvaged material).
2. A contractor sells assets to or merges with another concern, and the (Recipient), after
recognizing the latter concern as the successor in interest, desires assurance that it is financially
capable.
3. Substantial progress payments are made before delivery of end items starts.
4. Contracts are for dismantling, demolition, or removal of improvements.
(b) When it is determined that a performance bond is required, the Contractor shall be required to
obtain performance bonds as follows:
1. The penal amount of performance bonds shall be 100 percent of the original contract price,
unless RCTC determines that a lesser amount would be adequate for the protection of RCTC.
2. RCTC may require additional performance bond protection when- a contract price is increased.
The increase in protection shall generally equal 100 percent of the increase in contract price.
RCTC Procurement Policies Manual
RCTC may secure additional protection by directing the Contractor to increase the penal amount
of the existing bond or to obtain an additional bond.
(c) A payment bond is required only when a performance bond is required, and, if the use of
payment bond is in the RCTC's interest.
(d) When it is determined that a payment bond is required., the Contractor shall be required to
obtain payment bonds as follows:
1. The penal amount of payment bonds shall equal:
(i) Fifty percent of the contract price if the contract price is not more than $1 million;
(ii) Forty percent ;of the contract price if the contract price is more than: $1 million_ but not more .
than $5 million; or
(in) Two and one half million if the contract price is increased.
Advance Payment Bonding Requirements
The Contractor may be required to obtain an advance payment bond if the contract contains. an
advance payment provision and a performance bond is not furnished.. RCTC shall determine the
amount of the advance payment bond necessary to protect ROTC.
Patent Infringement Bonding Requirements (Patent Indemnity)
The Contractor may be required to obtain a patent indemnity bond if a performance bond is not
furnished and the financial responsibility of the Contractor is unknown or doubtful. RCTC''shall
determine the amount of the patent indemnity to protect RCTC:.
Warranty of the Work and Maintenance Bonds
1. The Contractor; warrants to RCTC, the Architect and/or Engineer that all materials arid`,..
equipment furnished under this Contract will be of highest quality and new unless otherwise
specified by RCTC, free from faults and defects and in conformance with the Contract.
Documents. All work not so conforming to these standards shall be considered defective.. If
required by the [Project. Manager], the Contractor shall furnish satisfactory evidence as to the
kind and quality of materials and equipment.
2. The Work furnished must be of first quality and the workmanship must be the best obtainable
in the various trades. The Work must be of safe, substantial and durable construction in all
respects. The Contractor hereby guarantees the Work against defective, materials or faulty
workmanship for a minimum period of one (1) year after Final Payment by the RCTC and shall
replace or repair any defective materials or equipment or faulty workmanship during the period
of the guarantee at no cost to. RCTC. As additional security for these guarantees, the. Contractor.
shall, prior to the release of Final Payment [as provided in Item X below], furnish 'separate
Maintenance (or Guarantee) Bonds in form acceptable to RCTC written by the same corporate
RCTC Procurement Policies Manual
surety that provides the Frformance Bond and Labor and Material Payment Bond for this
Contract. These bonds shall secure the Contractor's obligation to replace or repair defective
materials and faulty workmanship for a minimum period of one (1) year after Final Payment and
shall be written in an amount equal tct,ONE HUNDRED PERCENT (I o0%0) of the "CONTRACT
SUM, as adjusted (if at all).
14. Clean Air
(1) The Contractor agrees to comply with all applicable standards, orders or regulations .
issued pursuant to the Clean Air Act, as amended, 42 U.S.C. §§ 7401 et seq. The Contractor
agrees to report each violation to the Purchaser and understands and agrees that the Purchaser
will, in turn, report each violation as required to assure notification to FTA and the appropriate
EPARegional Office.
(2) The Contractor also agrees to include these requirements in each subcontract exceeding
$100,000 financed in whole or in part with Federal assistance provided by FTA.
15. Recycled Products
To the extent applicable, the CONTRACTOR agrees to comply with U.S. EPA regulations,
s
"Comprehensive Procurement Guidelines for Products Containing Recovered: Materials," 40
C.F.R. Part 247, implementing section 6002 of the Resource Conservation and. Recovery Act, as
amended, 42 U.S.C. § 6962, and otherwise provide a competitive preference for products and
services: that conserve natural resources and protect the environment and are energy efficient.
16. Davis -Bacon and Copeland Anti -Kickback Acts.
(1) Minimum wages - (i) All laborers and mechanics employed or working upon the site of the
work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the
construction or development of the project), will be paid unconditionally and not less often than
once a week, and without subsequent deduction or rebate on any account (except' such payrollw
deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland
Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents
thereof) due at time of payment computed at rates not less than those contained in the wage
determination of the Secretary of Labor which is attached hereto and made a part hereof,
regardless of any contractual relationship which may be alleged to exist between the contractor
and such laborers and mechanics.
Contributions made or .costs reasonably anticipated for bona fide fringe benefits under section
1(b)(2) of the Davis -Bacon Act on behalf of laborers or mechanics are considered wages paid to
such laborers or mechanics, subject to the provisions of paragraph (1)(iv) of this section; also,
regular contributions made or costs incurred for more than a weekly period (but not less often
than quarterly) under plans, funds, or
programs which cover the particular weekly period, are deemed .to be constructively made or
incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate
wage rate and fringe' benefits on the wage determination for the classification of work actually
RCTC Procurement Policies Manual
performed, without regard to skill, except as provided in 29 CFR Part 5.5(a)(4). Laborers or
mechanics performing work in more than one classification may be compensated at the rate
specified for each classification for the
time actually worked therein: Provideds That the employer's payroll records accurately set , forth
the time spent in each classification in which work is performed. The wage determination
(including any additional classifications and wage rates conformed under paragraph (1)(ii) of this
section) and the Davis -Bacon poster (WH-1321) shall be posted at all times by the contractor and
its subcontractors at the site of the work in a prominent and accessible place where it can be
easily seen by the workers.
(ii)(A) The contracting officer shall require that any class of laborers or mechanics, including
helpers, which is not listed in the wage determination and which is to be employed under the
contract shall be classified in conformance with the wage determination. The contracting: officer
shall approve an additional classification and wage rate and fringe benefits therefore only when
the following criteria have
been met:
(1) Except with respect to helpers as defined as 29 CFR 5.2(n)(4), the work to be performed by
the classification requested is not performed by a classification in the wage determination; and
(2) The classification is utilized in the area by the construction industry; and
(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable
relationship to the wage rates contained in the wage determination•,. and
(4) With respect to helpers as defined in 29 CFR 5.2(n)(4), such a classification prevails in the .
area in which the work is performed.
(B) If the contractor and the laborers and mechanics to be employed in the classification (if
known), or their representatives, and the: contracting officer agree on the classification and wage
rate (including the amount designated for fringe benefits where appropriate), a report of the
action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour
Division; Employment Standards Administration, U.S. Department of Labor, Washington, DC
20210. The Administrator, or an authorized representative, will approve, modify, or disapprove
every additional classification action within 30 days of receipt and so advise the contracting
officer or will notify the contracting officer within
the 30-day period that" additional time is necessary.
(C) In the event, the contractor, the laborers or mechanics to be employed in the classification or
their representatives, and the contracting officer do not agree on the proposed classification and
wage rate (including the amount designated for fringe benefits, where appropriate), the
contracting officer shall refer the questions, including the views of all interested parties and the
recommendation of the contracting officer, to the Administrator for determination. The
Administrator, or an authorized representative, will issue a determination within 30 days of
receipt and so advise the contracting officer
or will notify the contracting officer within the 30-day period that additional time is necessary:
RCTC Procurement Policies Manual
(D) The wage rate (including fringe benefits where appropriate) determined pursuant to
paragraphs (a)(1)(ii) (B) or (C) of this section, shall be paid to all workers performing work in
the classification under this contract from the first day on which work is performed in the
classification.
(iii) Whenever the minimum wage rate prescribed in the contract for class of laborers or
mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall
either pay the benefit as stated in the wage determination or shall pay another bona fide fringe .
benefit or an hourly cash equivalent thereof.
(iv) If the contractor does not make payments to a trustee or other third person, the contractor
may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably'
anticipated in providing bona fide fringe benefits under a plan or program, Provided, That the
Secretary of Labor has found, upon the written request of the contractor, that the applicable
standards of. the Davis -Bacon Act have been met. The Secretary of Labor may require the
contractor to set aside in a separate account assets for the meeting of obligations under the plan
or program.
(v)(A) The contracting officer shall require that any class of laborers "or mechanics which is not
listed in the wage determination and which is to be employed under the contract shall be
classified in conformance with the wage determination.' The contracting officer shall approve an
additional classification and wage rate and fringe benefits therefor only when the following
criteria- have been met:
(1) The work to be performed by the classification requested is not performed by a classification
in the wage determination; and
(2) The classification is utilized in the area by the construction industry; and
(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable
relationship to the wage rates contained in the wage determination.
(B) If the contractor and the laborers and mechanics to be employed in the classification" (if
known),. or their representatives, and the contracting officer agree on the classification and wage
rate (including the amount designated for fringe .benefits where appropriate), a report of the
action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour
Division, Employment Standards Administration, Washington, DC 20210. The Administrator, or .
an authorized representative, will approve, modify, or disapprove every additional classification
action within 30 days of receipt" and so
advise the contracting officer or will notify the contracting officer within the 30-day period that
additional time is necessary.
(C) In the event the contractor, the laborers or mechanics .to be employed in the classification or
their representatives, and the contracting officer do not agree on the proposed classification and
wage rate (including the amount designated for fringe benefits, where appropriate), the
contracting officer shall refer the questions, including the views. of all interested parties and the
RCTC Procurement Policies Manual
recommendation of the contracting officer, to the Administrator for determination. The
Administrator, or an authorized representative, will issue a determination with 30>days of receipt
and so advise the contracting officer or
will notifythe contracting officer within g this the 30-day period that additional time is necessary.
(D) The wage rate (including fringe benefits where appropriate) determined pursuant to
paragraphs (a)(1)(v) (B) or (C) of this section, shall be paid to all workers; performing work-in
the classification under this contract from the first day on which work is performed in the
classification.
(2) Withholding - RCTC shall upon its own action or upon written request of an authorized
representative of the Department of Labor withhold or cause to be withheld from the contractor
under: this contract or any other Federal contract with the same prime contractor, or any other
federally. -assisted contract subject to Davis -Bacon prevailing wage requirements,which is held
by the same prime contractor, so much of the accrued payments or advances as may be
considered necessary topaylaborers and mechanics, including: apprentices, trainees, and helpers,
employed by the
contractor or any subcontractor the full amount of wages required by the contract. In the event of
failure to pay any laborer or mechanic, including any apprentice, trainee, or helper; employed or
working on the site of the work (or under the United States Housing Act of 1937 or under,*
Housing "Act of 1949 in the construction or development of the project), all or part of the wages
required by the contract, RCTC may, after written notice to the contractor; sponsor, applicant, or
owner, take such action as may be necessary to cause the suspension of any further payment,
advance, or guarantee of funds until such violations have ceased.
(3) Payrolls and basic records - (i) Payrolls and basicrecords relating thereto shall be
maintained by the contractor during the course of the work and preserved for.a period of three
years thereafter for all laborers and mechanics working at the site of the work (or under the
United States Housing Act of 1937, or under the Housing Act of 1949, in the construction or
development of the project). Such records shall contain the name, address, and social security
number of each such worker, his or her correct classification, hourly rates of wages paid
(including rates of contributions or costs anticipated for bona fide fringe benefits or cash
equivalents thereof of the types described in section 1'(b)(2)(B) of the Davis -Bacon Act), daily
and weekly number of hours worked, deductions made and actual wages, paid. whenever the, .
Secretary of Labor has found under 29 CFR 5.5(a)(,1)(iv) that the wages of any laborer or
mechanic include :the amount of any costs reasonably anticipated inprovidingbenefits under a
plan or program described in section 1(b)(2)(B) of the Davis -Bacon Act, the contractor shall.
maintain records which show that the commitment to provide such benefits is enforceable, that
the plan or program is financially responsible, and that the plan or programhas been
communicated in writing to the laborers or mechanics affected, and records which show the costs
anticipated or the actual cost incurred in providing such benefits. Contractors employing
apprentices or trainees under approved programs shall
maintain written evidence of the registration of apprenticeship programs and certification of
trainee programs, the registration of the apprentices and trainees, and the. ratios and wage rates
prescribed in the applicable programs.
ROTCProcurement Policies Manua
(ii)(A) The contractor shl submit weekly for each week in which any, contract work is.
performed a copy of all payrolls to RCTC for transmission to the Federal` Transit Administration.
The payrolls submitted shall set out accurately and completely all of the information required to
be maintained under section 5.5(a)(3)(d) of Regulations, 29 CFR part 5. This information: may be
submitted in any form desired. Optional Form WH-347 is available for this purpose and may be
purchased from the Superintendent of Documents (Federal Stock Number 029=005-00014-1),
U.S. Government' Printing Office, Washington, DC 20402. The prime contractor isresponsible
for :the
submission of copies of payrolls by all subcontractors.
(B)''Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the
contractor or subcontractor or his or ;her agent who pays or supervises the payment of the persons
employed under the contract and shall .certify the following:
(1) That the payroll for the payroll period contains the information required to be maintained
under section 5.5(a)(3)(i) of Regulations, 29 CFR part 5 and that such information is correct and
complete;
(2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on ;
the contract during the payroll period has been paid the full weekly wages earned, without rebate,
either directly or indirectly, and that no deductions have been made either directly or indirectly
from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR
part 3;
(3) That each laborer or mechanic has been paid not less than the applicable wage rates and
fringe benefits or cash equivalents for the classification of work performed, as specified in the
applicable wage determination incorporated into the contract.
(C) The weekly submission of a properly executed certification set forth on the reverse side of
Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of
Compliance" required by paragraph (0(3)00(13) of this section.
(D) The falsification of any of the above certifications may subject the contractor or
subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of
title 31 of the United States Code.
(iii) The contractor or subcontractor shall make the records required under paragraph (a)(3)(i),of
this section available for inspection, copying, or transcription by authorized representatives of
the Federal Transit Administration or the Department of Labor, and shall permit such
representatives to interview employees during working hours on the job. If the contractor or
subcontractor fails to submit the required records or make them available, the. Federal agency
may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may
be necessary to cause the suspension
of any further payment, advance, or guarantee of funds: Furthermore,., failure to submit the
required records upon request or to make such records available maybe grounds for debarment
action pursuant to 29 CFR 5.12.
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(4) Apprentices and trainees - (i) Apprentices - Apprentices will be permitted to work at less
than the predetermined rate for the work they performed when they are employed pursuant to and
individually: registered in a bona fide apprenticeship program registered with the U.S..
Department of Labor, Employment and Training Administration, Bureau of Apprenticeship and
Training, or with a State Apprenticeship Agency recognized by the Bureau, orif a person is .
employed in his or her first 90 days of probationary employment as an apprentice in such an
apprenticeship program, who is not individually registered in the program, but who has been
certified by the Bureau of Apprenticeship and Training or a State Apprenticeship Agency (where
appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of
apprentices to journeymen on the job site in any craft classification shall not be greater than the
ratio permitted to the contractor as to the entire work force under the registered program. Any:
worker :listed on a payroll at an apprentice wage rate, who is not registered or otherwise
employed as stated above, shall be paid not less than the applicable wage rate on the wage-
determination for the classification of work actually performed.. In addition, any apprentice
performing work on the job site in excess of the ratio permitted under the registered program
shall be paid not less than the applicable wage rate on the wage determination for the work-
actually performed. Where a contractor is performing construction on a project in a. locality other
than that in which its program is registered, the ratios and wage rates (expressed in percentages.
of the journeyman's hourly rate) specified in the contractor's or subcontractor's registered
program shall be observed. Every apprentice must be paid at not less than the .rate specified in
the registered program for the apprentice's level of progress, expressed as a percentage of the
journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid
fringe benefits in accordance with the provisions of the apprenticeship program. If the
apprenticeship program does not specify fringe benefits, apprentices must be paid the full
amount of fringe benefits listed on the wage determination for the applicable classification. If the
Administrator of the Wage and Hour Division of the U.S. Department of Labor determines that a
different practice prevails for the applicable apprentice classification, fringes shall be paidin
accordance with that determination. In the event the Bureau of Apprenticeship and Training, or a
State -Apprenticeship. Agency recognized by the Bureau, withdraws approval of an apprenticeship
program, the contractor will no longer be permitted to utilize apprentices at less than the
applicable predetermined rate for the work performed until .an acceptable program is approved.
(ii) Trainees - Except :as provided in 29 CFR 5.16, trainees will not be permitted to work at less
than the predetermined rate for the work performed unless they are employed pursuant to and
individually registered in a program which has received prior approval, evidencedby formal
certification by the U.S. Department of Labor, Employment and Training Administration. The
ratio of trainees to journeymen on the job site shall not be
J ,� greater than permitted under -the plan: ;.
approved by the Employment and Training
Administration. Every trainee must be paid at not less than the rate;specified in the approved
program for the trainee's level of progress, expressed as a percentage of the journeyman hourly
rate specified in the 'applicable wage determination. Trainees shall be paid fringe benefits in
accordance with the provisions of the trainee program. If the trainee program does not mention
fringe benefits, trainees shall be paid the full amount of fringebenefits listed on the wage
determination unless the Administrator of the
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Wage and Hour Division4letermines that there is an apprenticeship program associated with the
corresponding journeyman=wage rate on the wage determination which provides for less than full
fringe benefits for apprentices. Any employee listed on the payroll at a traineerate who isnot
registered and participating in a -training plan approved by the Employment and Training
Administration shall be paid not less than the applicable wage rate on the wage determination for
the classification of work actually
performed. In addition, any trainee performing work on the job site in excess of the ratio
permitted under the registered program shall be paid not less than the applicable wage rate on the
wage determination for the work actually performed. In the event the Employment and Training
Administration withdraws approval of a training program, the contractor will no longer be
permitted to utilize trainees at less than the applicable predetermined rate for the work performed
until an acceptable program is approved.
(iii) Equal employmentopportunityThe utilization of apprentices, trainees and journeymen
under this part shall be in conformity with the equal employment opportunity requirements of
Executive Order 11246, as amended, and 29 CFR part 30.
(5) Compliance with Copeland Act requirements - The contractor shall comply with the
requirements of 29 CFR part 3, which are incorporated by reference in this contract.
(6) Subcontracts - :The contractor or subcontractor shall insert in any subcontracts the clauses
contained in 29 CFR 5.5(a)(1) through (10) and such other clauses as the Federal Transit
Administration may by appropriate instructions require, and: also a clause requiring the
subcontractors to include these clauses in any lower tier subcontracts. The prime contractor; shall
be responsible for the compliance by any subcontractor or lower tier subcontractor with all the
contract clauses in 29 CFR 5.5.
(7) Contract termination: debarment - A breach of the contract .clauses in 29 CFR 5.5 may be
grounds for termination of the contract, and. for debarment as a contractor and a subcontractor as
provided in 29 CFR 5.12.
(8) Compliance with Davis -Bacon- and Related Act requirements = All rulings and
interpretations of the Davis -Bacon and Related. Acts contained in 29 CFR parts 1, 3,.and 5 are
herein incorporated by reference in this contract.
(9) Disputes concerning labor standards -. Disputes arising out of the labor standards
provisions of this contract shall not be subject to the general disputes clause of this contract.
Such disputes shall be resolved in accordance with the procedures of the Department of Labor set
forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes
between the contractor (or any of its subcontractors) and the contracting agency, the U.S.
Department of Labor,, or the employees .or their
representatives.
(10) Certification of eligibility,- (i) By entering into this contract /the contractor certifies that
neither it (nor he or she) nor any person or firm who has an interest in the contractor's firm is a
RCTC Procurement Policies Manual
person or firm ineligible tolbe awarded Government contracts by virtue of section 3(a).of the
Davis -Bacon Act or 29 Cry 5.12(a)(1).
(ii) No part of this contract shall be subcontracted to any person or firm ineligible for awardof a
Government contract by virtue of section 3(a) of the Davis -Bacon Actor 29 CFR _5 12(a)(1).
(iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C.
1001
17. Contract Work Hours and Safety Standards Act'
The CONTRACTOR agrees to comply, and assures the compliance of each third party
CONTRACTOR and each SUBCONTRACTOR at any tier of the Project, with the following
employee protection requirements for contract employees
(a) Overtime requirements - No CONTRACTOR or SUBCONTRACTOR contracting for any
part of the contract work which may require or involve the employment of laborers or mechanics
shall require or .permit any such laborer or mechanic in any workweek in which he or she is
employed on such work to work in excess of forty hours in such workweek unless such laborer
or mechanic receives compensation at a rate not less than one and one-half times the :basic rate of
pay for all hours worked in excess of forty hours in such workweek.
(b) Violation; liability for unpaid wages; liquidated damages - In the eventof any violation of
the clause set forth in paragraph (1) of this section the CONTRACTOR and any
SUBCONTRACTOR responsible therefore shall be liable for the unpaid wages. In addition;; such
CONTRACTOR and SUBCONTRACTOR shall be liable to the United States for; liquidated
damages.: Such liquidated damages shall be computed with respect to each individual laborer or
mechanic, including watchmen and guards, employed in: violation of the clause set forth in
paragraph (1) of this section, in thesum of $10 for each calendar day on which such individual
was required or permitted to work in excess of the standard workweek of forty hours without
payment of the overtime wages required by the clause set forth in paragraph (1) of this section.
(c) Withholding for unpaid wages and liquidated damages =`The CONTRACTOR shall upon
its own action or upon written request of an authorized representative"of the Department of Labor
withhold or cause to be withheld, from any moneys payable on account of work performed by
the CONTRACTOR or SUBCONTRACTOR under any such contract or any other Federal
contract with the same prime CONTRACTOR, or any other federally -assisted contract subject to
the Contract Work Hours and Safety Standards Act, which is held by the same prime
CONTRACTOR, such sums as may be determined to be necessary to satisfy any liabilities of
such CONTRACTOR or SUBCONTRACTOR for unpaid wages and liquidated damages as
provided in the clause set forth in paragraph (2) of this section.
(d) Subcontracts - The CONTRACTOR or SUBCONTRACTOR' shall insert :in any
subcontracts the clauses set forth in this section and also a clause requiring the
SUBCONTRACTORS to include these clauses in any lower tier subcontracts. The prime
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CONTRACTOR shall bvesponsible for compliance by any SUBCONTRACTOR or lower tier
SUBCONTRACTOR with the clauses set forth in this section.
18. [Reserved]
19. No Government Obligation to Third Parties
(a) RCTC and CONTRACTOR acknowledge and agree that, notwithstanding any concurrence
by the Federal Govenunent in or approval of the solicitation or award of the underlying contract,
absent the express written consent by the Federal Government, the Federal Government is not: a
party to this contract and shall not be subject to any obligations or liabilities to RCTC,
CONTRACTOR, or any other party .(whether or not a party to that contract) pertaining to any
matter resulting from the underlying .contract.
(b) The CONTRACTOR agrees to include the above clause in each subcontract financed in
whole or in part with Federal assistance provided by FTA. It is further agreed ,that the clause
shall not, be modified, except to identify the SUBCONTRACTOR who will be subject to its
provisions.
20. Program Fraud and False or Fraudulent. Statements or Related Acts.
(a) The CONTRACTOR acknowledges that the provisions of the Program Fraud Civil Remedies
Act of 1986, as amended, 31 U.S.C. § 3801 et . and U.S. DOT regulations, "Program. Fraud
Civil Remedies," 49 C.F.R. Part 31, apply to its actions pertaining to this Project. Upon
execution of the underlying contract, the CONTRACTOR certifies or affirms the truthfulness
and accuracy of any statement it has made, it makes, it may make, or causes to be: made,
pertaining to the underlying contract or the FTA assisted project for which"this contract work is
being performed. In addition to other penalties that may be applicable, the CONTRACTOR
further acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent
claim, statement, submission, or certification, the Federal Government reserves the right to
impose the penalties of the Program Fraud Civil Remedies Act. of 1986 on the CONTRACTOR
to the extent the Federal Government deems appropriate.
(b) The CONTRACTOR also acknowledges that if it makes, or causes to be made, a false, -
fictitious, or fraudulent claim, statement,submission, or certification to the Federal Government.
under a contract connected with a project that is financed in whole or in part with Federal
assistance originally awarded by FTA under the authority of 49 U.S.C. § 5307, the Government.
reserves the right to impose the penalties of 18 U.S.C. § 1001 and 49 U.S.C. § 5307(n)(1) on the
CONTRACTOR, to the extent the Federal Government deems appropriate.
(c) The CONTRACTOR agrees to include. the above two clauses in each subcontract financed in
whole or in part with Federal assistance provided by FTA. It is further agreed that the clauses
shall not be modified, except to identify the SUBCONTRACTOR who will be subject to the
provisions.
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21 Termination
Upon written notice, CONTRACTOR agrees that the Federal Government may suspend or
terminate all or part of the Federal financial assistance provided herein if CONTRACTOR has
violated the terms of the Grant Agreement or Cooperative Agreement, or if the Federal
Government determines that the purposes of the statute authorizing the Project would not .be
adequately served by the continuation of Federal financial assistance for the Project. Any failure
to make reasonable progress on the Project or other violation of the Grant Agreement or
Cooperative Agreement that endangers substantial performance ofthe "Project shall provide
sufficient grounds for the Federal Government to terminate the Grant: Agreement or Cooperative
Agreement. Termination of any Federal financial assistance for the Project will not invalidate
obligations properly incurred by CONTRACTOR before the termination date, to the extent those
obligations cannot be canceled. If, however, the Federal Government determines that .
CONTRACTOR has willfully misused Federal assistance funds by failing to make adequate .
progress, failing to make reasonable and appropriate use of the Project real property, facilities, or
equipment, or has failed to comply with the terms of the Grant Agreement or Cooperative
Agreement, the Federal Government reserves the right to require CONTRACTOR to refund the
entire amount of Federal funds provided for the Project or any lesser amount as the Federal
Government may determine. Expiration of any Project time period established for the Project
does not, by itself, constitute an expiration or termination of the Grant
Agreement or Cooperative Agreement
(a) Termination for Convenience: RCTC may terminate this contract, in whole or in part, at .
any time by written notice to the CONTRACTOR. The CONTRACTOR shall be paid its .costs,
including contract closeout costs, and profit on work performed up to .the time of termination.
The CONTRACTOR shall promptly submit its termination claim to RCTC to be paid the
CONTRACTOR. If the CONTRACTOR has any property in its possession belonging to RCTC;
the CONTRACTOR will account for the same, and dispose of it in the :manner RCTC directs.
{
(b) Termination for Default: If the CONTRACTOR does not deliver- supplies in accordance
with the contract delivery schedule, or, if the contract is for services, the CONTRACTOR fails to
perform in the manner called for in the contract, or if the CONTRACTOR fails to comply with
any other provisions of the contract, RCTC may terminate this contract for. default. Termination
shall be effected by serving a notice of termination on the CONTRACTOR setting forth the
manner in which the CONTRACTOR is in default. The CONTRACTOR will only be "paid the
contract price for supplies delivered and accepted, or services performed in accordancewith the
manner of performance set forth in the contract. If it is later determined by RCTC that the
CONTRACTOR had an excusable reason for not performing, such as a strike, fire, or flood,
events which are not the. fault of or beyond the control of the CONTRACTOR, RCTC, after
setting 'up a new delivery of performance schedule, may allow the CONTRACTOR to continue
work, or treat the termination as a termination for convenience.
(c) Termination for Cost -Type Contracts: RCTC may terminate this contract, or any portion
of it, by serving a notice .of termination on the CONTRACTOR. The notice shall state whether
RCTC Procurement Policies Manua:
the termination is for corenience of RCTC or is for the default of the CONTRACTOR: If the
termination is for default, the notice shall state the manner in which the CONTRACTOR has
failed to perform the requirements of the contract. The CONTRACTOR shall account for any
property in its possession paid for from fundsreceived from RCTC, or property supplied to the
CONTRACTOR by RCTC. If the termination is for default, RCTC may fix the fee, if the
contract provides for a fee, to be paid the CONTRACTOR in proportion to the value, if any, of
the work performed up to the time of termination. The CONTRACTOR shall promptly submit
its termination claim to RCTC and the parties shall negotiate the termination settlement to be
paid the CONTRACTOR.
22. Government -wide Debarment and Suspension (Nonprocurement)
The CONTRACTOR agrees to comply; and assures the compliance of,each third party
CONTRACTOR and SUBCONTRACTOR at any tier; with Executive Orders Nos.12549 and
12689, "Debarment and Suspension," 31 U.S.C. § 6101 note, and U.S. DOT regulations,
"Governrnentwide Debarment and Suspension (Nonprocurement), within 49 C.F.R. Part 29.
23. Privacy Act
The following requirements apply to the CONTRACTOR and its employees that administer any.
system of records on behalf of the Federal Government under any contract:
(a) The CONTRACTOR agrees to comply with, and assures the compliance of its employees
with, the information restrictions and other applicable requirements of the Privacy Act of 1974, 5
U.S.C. § 552a. Among other things, the CONTRACTOR agrees to obtain the express consent of
the Federal Government before the CONTRACTOR or its employees operate a system of records
on behalf ofthe Federal Government. The CONTRACTOR understands that the requirements of
the Privacy Act, including the civil and criminal penalties for violation of that Act, apply to those
individuals involved, and that failure to comply with the terms of the Privacy Act may result in
termination of the underlying contract.
(b) The CONTRACTOR also agrees to, include these requirements in each subcontract to
administer any system of records on behalf of the Federal Government financed in whole or in
part with Federal assistance provided by FTA.
24. Civil Rights
The following requirements apply to the underlying contract:
(a) Nondiscrimination - In accordance with Title VI of the .Civil Rights` Act, as amended, 42
U.S.C. § 2000d, section 303 of the Age. Discrimination Act of 1975, as amended, 42 U.S.C. §
6102, section 202 of the Americans with Disabilities Act of 1990, 42 U.S.C. § 12132, and
Federal transit law at 49 U.S.C. § 5332,. the CONTRACTOR agrees that it will not discriminate
RCTC Procurement Policies Manual
against any employee or al licant for employment because of race, color, creed, national origin, .
sex, age, or disability. In • dition, the CONTRACTOR agrees to comply with applicable Federal `
implementing regulations and other implementing requirements FTA may issue.
(b) Equal Employment Opportunity - Tile following equal employment opportunity requirements
apply .to`the underlying contract:
(i) Race, Color; Creed, "National Origin, Sex - In accordance with Title VII of the Civil
Rights Act, as amended, 42 U.S.C. § 2000e, and Federal transit laws at'.49 U.S.C. § 5332,
the CONTRACTOR agrees to comply with all applicable equal employment opportunity
requirements of U.S. Department of Labor (U.S. DOL)-regulations, "Office of Federal
Contract Compliance Programs, Equal Employment Opportunity.; Department of Labor,"
41 C.F.R. Parts 60 et secd:., (which implement Executive Order No. 11246, "Equal
Employment Opportunity," as amended by Executive Order No. 11375, "Amending:.,
Executive Order 11246 Relating to Equal Employment Opportunity," 42 U.S.C. § 2000e
note), and with any applicable Federal statutes, executive orders, regulations,: and Federal
policies that may in the future affect construction activities undertaken in the course of
the Project. The CONTRACTOR agrees to take affirmative action to ensure that
applicants are employed, and that employees are treated during employment, without
regard to their race, color, creed, national origin, sex, or age. Such action shall include,
but not be limited to, the following: employment, upgrading, demotion or transfer,
recruitment or recruitment advertising, layoff or termination; rates of pay or other forms
of compensation; and selection for training, including apprenticeship. In addition, the
CONTRACTOR agrees to comply with any implementing requirements FTA may issue..
(ii) Age - In accordance with section 4 of the Age Discrimination in Employment Act of .
1967, as amended, 29 U.S.C. § 623 and Federal transit law at 49 U.S.C.§ 5332 the
CONTRACTOR agrees to refrain .from discrimination against present and prospective
employees for reason of age. In addition, the CONTRACTOR agrees to comply with any
implementing requirements FTA may issue.
(iii) Disabilities: - In accordance with section 102 of the Americans with Disabilities Act,
as amended, 42 U.S.C. § 12112, the CONTRACTOR agrees that it will comply with the
requirements of U.S. Equal "Employment Opportunity Commission, "Regulations to. .
Implement the Equal Employment Provisions of the Americans with Disabilities Act," 29
C.F.R. Part 1630, pertaining to employment of persons with disabilities. In addition,, the .
CONTRACTOR agrees to comply with any implementing requirements FTA may issue.
(c) The CONTRACTOR also agrees to include these requirements in each subcontract 'financed
.
in whole or in part with Federal assistance provided byFTA, modified only if necessary to
identify the affected parties:
25. Breaches and. Disputes
RCTC Procurement Policies Manual
(a) Disputes - Disputes, arising in the performance of this Contract which are not resolved by
agreement: of the parties shall be decided in writing by the authorized representative of RCTC.
This decision shall be final and conclusive unless within ten (10) days from the date of receipt of
its copy, the CONTRACTOR mails or otherwise furnishes a written appeal to RCTC. In
connection with any such appeal, the CONTRACTOR shall be afforded an opportunity to be
heard and to offer evidence in support of its position. The decision of RCTC shall be binding
upon the CONTRACTOR and the CONTRACTOR shall abide be the decision.
(b) Performance During Dispute - Unless otherwise directed by RCTC, CONTRACTOR
shall continue performance under this Contract while matters in dispute are being resolved.
(c) Claims for Damages - Should either party to the Contract suffer injury or damage to +
person or property because of any act or omission of the party or of any of his employees, agents
or others for whose acts he is legally liable, a claim for damages therefore shall be made in
writing to such other party within a reasonable time after the first observance of such injury of
damage.
(d) Remedies - Unless this contract provides otherwise, all claims, counterclaims, disputes
and other matters in question between RCTC and the CONTRACTOR arising out of or relating
to this agreement or its breach will be decided by arbitration if the parties mutually agree, or in a
court of competent jurisdiction within the State .of California.
(e) Rights and Remedies - The duties and obligations imposed by the Contract Documents
and the rights and remedies available thereunder shall be in addition to and not a limitation of
any duties,obligations, rights and remedies otherwise imposed or available by law. No action or
failure to act by RCTC, Architect or CONTRACTOR shall constitute a waiver of any right or
duty afforded any of them under the Contract, nor shall any such action or failure to act
constitute an approval of or acquiescence in any breach thereunder, except as may be specifically
agreed in writing.
26. Patent and Rights in Data.
A. Rights in Data - This following requirements apply to each contract involving experimental,
developmental or research work:
(1) The term "subject data" used in this clause means recorded information, whether or not
copyrighted, that is delivered or specified to be delivered under the contract. The term includes
graphic or pictorial delineation in media such as drawings or photographs; text in specifications
or related performance or design -type documents; machine forms such as punched cards,
magnetic tape., or computer memory printouts; ' and information retained in computer memory.
Examplesinclude; but are not limited to: computer software, engineering drawings and
associated lists, specifications, standards, process sheets, manuals, technical reports, catalog item
identifications, and related information. The term"subject data" does not include financial
reports, cost analyses, and similar information incidental to contract administration.
RCTC Procurement Policies Manual
(2) The following restrictions apply to all subject data first produced in the performance of the
contract to which this Attachment has been added:
(a) Except for its own internal use, the,Purchaser or Contractor may not publish or reproduce:
subject data in whole or in part, or in any manner or form, nor may the Purchaser or Contractor
authorize others to do so, without the written consent of the Federal Government, until such time
as the Federal Government may have either released or approved the release of such data to the
public; this restriction on publication, however, does not apply to any contract with an academic
institution.,.
(b) In accordance with 49 C.F.R. § 18.34 and 49 C.F.R. § 19.36, the FederalGovernment
reserves a royalty --free, non-exclusive and irrevocable license to reproduce, publish, or otherwise
use, and to authorize others to use, for "Federal Government purposes," any subject data or
copyright described hi subsections (2)(b)1 and (2)(b)2 of this clause .below. As used in the
previous sentence, ".for Federal
Government purposes," means use only for the direct purposes of the Federal Government.
Without the copyright owner's consent, the Federal Government may not extend its Federal
license to any other party.
1. Any subject data developed under that contract, whether or not a copyright has been obtained
and
2. Any rights of copyright purchased by the Purchaser or Contractor' using Federal assistance in
whole or in part provided by FTA.
(c) When FTA awards Federal assistance for experimental, developmental, or: research work, it is
FTA's general intention to increase transportation knowledge available to the public, rather than
to restrict the benefits resulting from the work to participants in that work. Therefore, unless FTA
determines otherwise, the Purchaser and the Contractor performing experimental, developmental,
or research work required by the underlying contract to which this Attachment is added agrees to
permit FTA to make available to the public, either FTA's license in the copyright to any subject
data developed in the course of that contract, or a copy of the subject data first produced under
the contract for which a copyright has not been obtained. If the experimental, developmental, or
research work, which is the subject of the underlying contract, is not completed for any reason
whatsoever, all data developed under that contract shall become subject data as defined: in
subsection (a) of this clause and shall be delivered as the Federal Government may direct. This
subsection (c) , however, does not apply to adaptations of automatic data processing equipment
or programs for the Purchaser or Contractor's use
whose costs are financed in whole or in part with Federal assistance provided by FTA for
transportation capital projects.
(d) Unless prohibited by state law, upon request by the Federal Government, the Purchaser and
the Contractor agree to indemnify, save, and hold harmless the Federal Government, its officers,
agents, and employees acting within the scope of their official duties against any liability,
including costs and expenses, resulting from any willful or intentional violation by the Purchaser
or Contractor of proprietary rights, copyrights, or right of .privacy., arisingout, of the publication,
translation, reproduction, delivery, use, or disposition of any data furnished under that contract.
RCTC Procurement Policies Manual
Neither the Purchaser nogIthe Contractor shall be required to indemnify the Federal Government
for any such liability arising out of the wrongful act of any employee, official, or agents of the
Federal Government.
(e) Nothing contained in this clause on rights in data shall imply a license to the Federal
Government under any patent or be construed as affecting the scope of any license or other right
otherwise grantedto the Federal Government under any patent..
(f) Data developed :by the Purchaser or Contractor and financed entirely without using Federal
assistance, provided by the Federal Government that has been incorporated into work required by
the underlying contract to which this Attachment has been added is exempt from the
requirements of subsections (b), (c), and (d) of this clause, provided that the Purchaser or
Contractor identifies that data in writing at the time of delivery of the contract work.
(g) Unless FTA determines otherwise, the Contractor agrees to include these requirements in
each subcontract for experimental, developmental, or research work financed inwhole or in part
with Federal assistance provided by FTA.
(3) Unless the Federal Government later makes a contrary determination in writing, irrespective
of the Contractor's status (i.e., a large business, small business, stategovernment or state
instrumentality, local government, nonprofit organization, institution of higher education,
individual; etc.), the Purchaser and the Contractor agree to take the necessary actionsto provide,
through FTA, those rights in that invention due the Federal Government as described in
U.S. Department of Commerce regulations, "Rights to Inventions Made by -Nonprofit
Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative
Agreements," 37 C.F.R.
Part 401.
(4) The Contractor also agrees to include these requirements in each subcontract for
experimental, .developmental, or research work financed in whole or in part with Federal
assistance provided by FTA.
B. Patent Rights - The following requirements apply to each contract involving experimental,
developmental, or research work:
(1) General If any invention, improvement, or discovery is conceived or first actually reduced
to .practice in the course of or under the contract to which this Attachment has been added, and
that invention, improvement, or discovery is patentable under the laws of the United States of
America or any foreign country, the Purchaser and Contractor agree to take actions necessary to:
provide immediate notice and a detailed: report to the party at a highertieruntil FTA is ultimately
notified.
(2) Unless the Federal Government later makes a. contrary determination in writing, irrespective
of the Contractor's `status (a large business, small business, state � government or state
instrumentality, local government, nonprofit organization, institution of higher education,
RCTC Procurement Policies Manual
individual), the Purchaser nd :the Contractor agree to take the necessary: actions to provide,
through FTA, those rights'm that invention due the Federal Government as described in U.S.
Department of Commerce regulations, "Rights to Inventions Made by Nonprofit Organizations
and Small, Business Firms Under Government Grants, Contracts and Cooperative Agreements,
37 C.F.R. Part 401.
(3) The Contractor also agrees to include the requirements of this clause in each subcontract for
experimental, developmental, or research work financed in whole or in part with Federal
assistance provided by FTA.
27. Transit; Employee Protective Arrangements.
(1) The Contractor agrees to the comply with applicable transit employee protective
requirements as follows:
(a) General Transit Employee Protective Requirements - To the extent that FTA determines that
transit operations are involved, the. Contractor agrees to carry out the transit operations work on
the underlying contract in compliance with terms and conditions determined by the U.S. .
Secretary of Labor to be fair and equitable to protect the interests of employees employed under
this contract and to meet the employee protective requirements of 49 U.S.C. A 5333(13), and U.S.
DOL guidelines at 29 C.F.R.
Part 215, and any amendments. thereto. These terms and conditions are identified in the letter of
certification from the U.S. DOL to FTA applicableto the FTA .Recipient's .project ; from' which
Federal assistance is provided to support work on the underlying contract: The Contractor agrees
to carry out that work incompliance with the conditions stated in that U.S. DOL letter. The
requirements of this subsection (1), however, do not apply to any contract financed with Federal'
assistance provided by FTA either for projects for elderly individuals and individuals with
disabilitiesauthorized by. 49 U.S.C. § 5310(a)(2), or .for projects for nonurbanized areas
authorized by 49 U.S.C. § 5311. Alternate
provisions. for those projects are set forth in subsections (b)` and (c) of this clause::.
(b) Transit Employee Protective Requirements for Projects Authorized by 49 U.S.0 § ;5310(a)(2)
for Elderly. Individuals and Individuals with Disabilities - If the contract involves transit
operations financed in whole or in part with Federal assistance authorized by 49 U.S.C. §
5310(a)(2), and if the U.S. Secretary of Transportation has determined or determines in the future
that the employee protective requirements of 49 U.S.C. § 5333(b) are necessary or appropriate
for the state and the public body'
subrecipientfor which .work is performed on the underlying contract, the Contractor agrees .to
carry out the Project in compliance with the terms and conditions determined by the U.S.::
Secretary of Labor to meet the requirements of 49 U.S.C. § 5333(b), U.S. DOL guidelines at 29
C.F.R. Part 215, and any amendments thereto. These terms and conditions are identified in the
U.S.,DOL's letter of certification to FTA, the date of which is set forth Grant Agreement or
Cooperative Agreement with the state. The Contractor agrees to perform transit operations in
RCTC Procurement Policies Manual
connection with the undelying contract in compliance with the conditions stated in that U.S.
DOL letter.
(c) Transit Employee Protective Req ipments for Projects Authorized by 49 U.S.C. § 5311in
Nonurbanized Areas - If the contract involves transit operations financed in whole or in part with
Federal assistance authorized by 49 U.S.C. § 5311,. the Contractor agrees to comply with the
terms and conditions of the Special Warrantyfor the Nonurbanized Area Program agreed: to by
the U.S. Secretaries of Transportation and Labor, dated May 31, 1979, and the procedures
implemented by U.S. DOL or any revision thereto.
(2) The Contractor also agrees to include the any applicable requirements in each subcontract.
involving transit operations financed in whole or in part with Federal assistance provided by
FTA.
28.: Disadvantaged Business Enterprise
The CONTRACTOR agrees to take the following measures to facilitate participation by
disadvantaged business enterprises (DBE) in the Project:
(a) The CONTRACTOR agrees tocomply with section 1101(b) of TEA-21, 23 U.S.C. § 101
note, and U.S. DOT regulations, "Participation by Disadvantaged Business Enterprises in
Department'of Transportation Financial Assistance Programs," 49 C.F.R. Part 26.
(b) The CONTRACTOR agrees that it shall not discriminate on the basis of race, color, national
origin, or sex in the award and performance of any third party contract, or sub -agreement
supported with Federal assistance derived from the U.S.. DOT or in the administration of its DBE
program or the requirements of 49 C.F.R. Part 26. The CONTRACTOR agrees to take all
necessary and reasonable steps set forth in 49 C.F.R. Part 26 to ensure nondiscrimination in the
award and administration of all third party contracts and sub -agreements supported with Federal
assistance derived from the U.S. DOT. The CONTRACTOR's DBE program, as required by 4.9
C.F.R. Part 26 and approved by the: U.S. DOT, is incorporated by reference and made part of the
Grant Agreement or Cooperative Agreement. Implementation of this DBE program is a legal
obligation, and failure to carry out its terms shall be treated as a violation of the Grant
Agreement or Master Agreement. Upon notification to the CONTRACTOR of its failure to
implement its approved DBE program; the U.S. DOT may impose sanctions as provided for
under 49 C.F.R. Part 26 and may, in appropriate cases, refer the matter for enforcement under 18.
U.S.C. § 1001, and/or the Program Fraud Civil Remedies Act, 31 U.S.C. §§ 3801 et seq.
29. [Reserved]
30. Incorporation of FTA 4220. l E Terms
The preceding provisions include, in part, certain Standard Terms and Conditions required by
DOT, whether or not expressly set forth in the preceding contract. provisions. All contractual
provisions required by DOT, as set forth in FTA Circular 4220.1 E, dated June 19, 2003, are
RCTC Procurement Policies Manual
hereby incorporated by reference. Anything to the contrary herein notwithstanding, all PTA -
mandated terms; shall be cl4emed to control in the event of a conflict with other provisions
contained in .this Agreement. The CONTRACTOR shall not perform any act, fail to perform any
act,- or refuse to comply with any RCT request, which would cause RCTC to be in violation of
the FTA terms and conditions.
31. Substance Abuse
The CONTRACTOR agrees to comply with the following Federal substance abuse regulations;
(a) Drug -Free Workplace. U.S. DOT regulations, "Drug -Free Workplace. Requirements,
(Grants)," 49 C.F.R. Part 29, Subpart F, as modified by 41 U.S.C. §§ 702 et seq
(b) Alcohol Misuse and Prohibited Drug Use. FTA regulations, "Prevention of Alcohol Misuse
and Prohibited Drug Use in Transit Operations," 49 CFR Part 655, to the extent applicable. The
CONTRACTOR agrees to establish and implement a drug and alcohol testing program ,that
complies with 49 CFR Parts 65.5, produce any documentation necessary to establish its
compliance with Parts 655, and permit any authorized representative of the United States
Department of Transportation or its operating administrations, the State Oversight Agency of
California, or ROTC, to inspect the facilities and records associated with the implementation of
the drug and alcohol testing program as required under 49 CFR Parts 655 and review the testing
process.
RCTC Procurement Policies Manual
APPENDIX B
RCTC Procurement Policies Manual
Buy America Certifieattion requirement for procurement of steel, iron, or manufactured:
products.
Certificate of Compliance with 49 U.S.C. 53230)(1)
The bidder or offeror hereby certifies that it will meet the requirements of 49 U.S.C. 53236)(1)
and the applicable regulations in 49 C.F.R. Part 661.5.
Date
Signature
Company Name
Title
Certificate of Non -Compliance with 49 U.S.C. 53230)(1)
The bidder or offeror hereby certifies that it cannot comply with the requirements of 49 U.S.C.
53236)(1) and 49 C.F.R. 661.5, but it may qualify for an exception pursuant to 49 U.S.C.
5323(j)(2)(A), 5323(j)(2)(B), or 53236)(2)(D), and 49 C.F.R. 661.7.
Date
Signature
Company Name
Title
RCTC Procurement Policies Manual
BUY AMERICA CER4 IFICATE OF COMPLIANCE WITH. FTAREQUIREMENT
S .
FOR BUSES, OTHER ROLLING STOCK, OR ASSOCIATED EQUIPMENT
r
Certificate of Compliance:
The bidder hereby certifies that it will comply with the requirements of 49 U.S.C. Section
53236)(2)(C), Section 165(b)(3) of the Surface Transportation Assistance Act of 1982, as
amended, and the regulations of 49 C.F.R. 661.11:
Date:
Signature:
Company Name:
Title:
Certificate of Non -Compliance:
The bidder hereby certifies that it cannot comply with the requirements of 49 U.S.C. Section
53236)(2)(C) and Section 165(b)(3) of the Surface Transportation Assistance Act of 1982, as
amended, but may qualify for an exception to the requirements consistent with 49 U.S.C.
Sections 53236)(2)(B) or (j)(2)(D), Sections 165(b)(2) or (b)(4) of the Surface Transportation:
Assistance Act, as amended, and regulations in 49 C.F.R. 661.7.
Date:
Signature:
Company:Name:
Title:
RCTC Procurement Policies Manual
4
CERTIFICATION OF COMPLIANCE WITH FTA'S BUS TESTING REQUIREMENTS
The undersigned [Contractor/ManufaAturerj certifies that the vehicle offered in this procurement
complies with 49 U.S.C. A 5323(c) and ETA's implementing regulation at 49 CFR Part 665`. The
undersigned understands that misrepresenting the testing status of a vehicle acquired with
Federal financial assistance may subject the undersigned to civil penalties as outlined in the
Department of Transportation's regulation on ProgramFraud Civil Remedies, 49 CFR Part 31. In
addition, the undersigned understands that FTA may suspend or debar a manufacturer under the
procedures in 49 CFR Part 29.
Date:
Signature:
Company Name:
Title:
RCTC Procurement Policies Manual
FEDERAL MOTOR VEHICLE SAFETY STANDARD CERTIFICATION
1, , certify on behalf of
that the vehicles to be manufactured
comply with Federal Motor Vehicle Safety Standards as specified in 49 CFR 26.
Date
Signature
Company Name
Title
RCTC Procurement Policies Manual
Lobbying Certification
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee of
an 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 orwill 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 / 19/96). Note: Language in paragraph (2) herein
has been modified in accordance with Section 10 of the Lobbying Disclosure Act of 1995 (P.L.
104-65, to be codified at 2 U.S.C. 1601, et seq .)]
(3) The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all SUBCONTRACTORs shall certify and
disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by 31, 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 31 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.]
RCTC Procurement Policies Manual
The CONTRACTOR, , certifies or :affirms the truthfulness and accuracy
of each statement of its celification and disclosure, if any. In addition, the CONTRACTOR .
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 CONTRACTOR'S Authorized Official
Name and Title of CONTRACTOR'S Authorized Official
Date
RCTC Procurement Policies Manual
Certification Regardingebarment, Suspension, and Other Responsibility Matters
Instructions for Certification
1. By signing and submitting this bid or proposal, the prospective lower tierparticipant is
providing the signed certification set out below.
2. The certification in this clause is a material representation of fact upon which reliance was
placed when this transaction was entered into. If it is later determined that the prospective lower
tier participant knowingly rendered an erroneous certification, in addition to other remedies
available to the Federal Government; RCTC may pursue available remedies, including
suspension and/or debarment:
3. The prospective lower tier participant shall provide immediate .written notice to _RCTC if at
any time the prospective lower tier participant learns that its certification was erroneous when .
submitted or has become erroneous by reason of changed circumstances.
fl H "debarred," "suspended," "ineligible," if
4. The terms covered transaction, debarred, suspended, neligible, lower tier covered
ff If 11 "persons," if N "principal,"
transaction, participant, persons, lower tier covered transaction, principal, "proposal,"
and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions
and Coverage sections of rules implementing Executive Order 12549 [49 CFR Part 29]. You may
contact RCTC for assistance in obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting this proposal that, should the
proposed covered transaction be entered into, it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction, unless .authorized in writing by RCTC.
6.:The prospective lower tier participant further agrees by submitting this proposal that it will
include the clause titled "Certification Regarding Debarment Suspension, Ineligibility and
Voluntary Exclusion - Lower Tier Covered Transaction", without modification, in all lower tier
covered transactions and in all solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective
participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or
voluntarily excluded from the covered transaction, unless it knows that the certification is
erroneous. A participant may decide the method and frequency by which it determines the
eligibility of its principals. Each participant may, but is not required to, check the
Nonprocurement List issued by U.S. General Service Administration.
8. Nothing contained in the foregoing shall be construed to require establishment of system of
records in order to render in good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that which is normally possessed by a
prudent person in the ordinary course of business dealings.
RCTC Procurement Policies Manual
9. Except for transactions .authorized under Paragraph 5 of these instructions,if a participant in a,
covered transaction knowingly enters into a lower tier covered transaction with a"person who is
suspended., debarred, ineligible, or voluntarily excluded from participation in this transaction, in
addition to all remedies available to the Federal Government, RCTC.may pursue available
remedies including suspension and/or debarment.
RCTC Procurement Policies Manual
4
"Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion Lower Tier Covered Transaction"
s
r
(1) The prospective lower tier participant certifies, by submission of this bid or proposal; that
neither it nor its "principals" [as defined at 49 C.F.R. § 29.105(p)] is presently debarred_ ,
suspended, proposed for debarment, declared ineligible, or voluntarily excluded from
participation in this transaction by any Federal department or agency. .
(2) When the prospective lower tier participantis unable to certify., to the statements inthis
certification, such prospective participant shall attach an explanation to this proposal.
Date
Signature
Company Name
Title
RCTC Procurement Policies Manual
Certification Disadvantaged Business Enterprise ProgramTEgnal Employment Opportunity
In accordance .with Title 49, Code of Federal Regulations, Part-23, California Public agreements
Code . Section 10115, and other appl1cable Disadvantaged Business Enterprise ("DBE') and
Equal Employment Opportunity ("EEb") rules and regulations, the CONTRACTOR declares
that it had made a good faith effort to comply with established DBE goals, and that it has made a
good faith effort meet established EEO goals, as evidenced below:
1. CONTRACTOR'S overall DBE participation rate:
Names/Locations of DBEs contacted by CONTRACTOR:
Names/Locations of DBEs selected by CONTRACTOR:
4. CONTRACTOR'S work force breakdown by race and gender:
TOTAL EMPLOYEES as of
JOB CATEGORIES
Officials & Managers:
Professional:
Technical:
Sales:
Office/Clerical:
Craftsmen:
Laborers:
Service:
EMPLOYEES
Male Female
Wht Blk Hsp Asn Nat Wht Blk Hsp Asn Nat
Note: The above DBE/EEO Affidavit is part of CONTRACTOR'S Proposal.. Signing this
Proposal on the signature portion thereof shall also constitute signature of this DBETEEO
Affidavit.
SIGNATURE " DATE
TITLE COMPANY NAME
RCTC Procurement Policies Manual
rtification Regarding Alcohol Misuse and
Prohibited Drug Use
4
1) As required by FTA regulations, "Prevention of Alcohol Misuse and Prohibited Drug
Use in Transit Operations," at 49 CFR part 655, subpart I, the undersigned certifies that it has
established and implemented an alcohol misuse and anti -drug program, and has complied with or
will comply with all applicable requirements of FTA regulations, "Prevention of Alcohol Misuse
and prohibited Drug Use in Transit Operations," 49 CFR part 655.
2) The undersigned shall at all times comply with all applicable FTA regulations, policies,
procedures and directives, including without limitation those listed directly or by reference in the
Department of Transportation, Federal Transit Administration, Master Agreement (FTA MA
(9)), between Purchaser and FTA, as they may be amended or promulgated from time to time
during the term of this contract. The undersigned's failure to so comply shall constitute a
material breach of contract.
Signature
Name
Date
Company Name
Title
RCTC Procurement Policies Manual
APPENDIX C
APPENDIX C — QUICK REFERENCE GUIDE
Item to Be Procured
Form of Agreement
Procurement Process
Approval Authority
Services and Supplies
(up to $2,500)
Purchase Order or
Letter Agreement
➢ Requisition
➢ Requisition approved by unit manager
Services, Supplies, and Equipment
($2,501 - $50,000)
Purchase Order or
Letter Agreement
➢ Requisition
➢ Minimum of 3 written or oral quotes, unless not feasible
➢ Requisition approved by unit manager
➢ PO or Letter Agreement approved by Purchasing Agent
Services, Supplies, and Equipment
(> $50,000)
Agreement
➢ Requisition
➢ Advertise Request for Proposal or Request for Qualifications
➢ Evaluation and selection of vendor
➢ Commission for approval to award contract
➢ After Commission approval, issue Notice to Proceed
➢ Requisition approved by Purchasing Agent
➢ PO or Letter Agreement approved by the Commission unless the
purchase solely consists of budgeted inventory materials, supplies and
equipment up to $100,000
Construction Contracts
Agreement
➢ Requisition
➢ Complete final Plans, Specifications and Estimates ("PS&E").
➢ Advertise Notice Requesting Bids ("NRB") in newspapers; F.W. Dodge,
and RCTC website.
➢ Pre -bid meeting
➢ Sealed bids usually opened within 1 hour after receipt in presence of all
bidders.
➢ Contract awarded to lowest priced responsive and responsible bidder.
➢ Successful bid presented to Commission for final award and approval
➢ After Commission approval, Notice to Proceed issued
➢ Budgeted:
o Up to $50,000 — Purchasing Agent
o Over $50,000 — Board
➢ Unbudgeted
o Up to $25,000 — Purchasing Agent
o Over $25,000 -- Commission
Capital Acquisitions
Purchase Order or
Agreement
➢ Requisition
➢ If up to $25,000, minimum of 3 written or oral quotes
➢ If over $25,000, competitive bid process
➢ Budgeted
o Up to $100,000 — Purchasing Agent
o Over $100,000 — Commission
➢ Unbudgeted
o Up to $25,000 — Purchasing Agent
➢ Over $25,000 -- Commission
Riverside County Transportation Commission
IT and Project Management Workshops
Workshop 1
Should RCTC Adopt a set of IT Standards for Data and Systems?
1. Data and Systems Standards:
Scheduled for April 10th
Session 1— 8:00-10:00 a.m., Conference Room A
Session 2 — 2:00-4:00 p.m., Conference Room B
o Standard and published numbering system
o Sharing of data between applications (synergies)
o Internet applications developed by contractors
o Achieve industry standards that promotes the use of electronic paper
2. IT Technical Standards
Scheduled for April 9`h, 3:30-4:30 p.m., Conference Room A
o Existing Systems Discussion, examples
■ Accounting: Fundware, MS SQL Server
■ Contract Management, MS Access database
■ Liberty RMS, MS SQL Server
o Common database platforms for RCTC software applications
o Data and records storage (Records retention versus active capital project
records)
o Security
Participants:
Marlin Fenstra (1)
Min Saysay (1)
Shirley Medina (1,2)
Michele Cisneros (1,2)
Jenifer Harmon (2)
Louis Martin (1,2)
Len Stout (1,2)
Note:
Representing:
Capital Projects Management
Right -of Way
Programming and Fund Management
Accounting and Management Information
Information Technology Management
Bechtel Project Controls
Bechtel Project Engineering and IT
Jenifer will attend the 1. session as her time permits.
Marlin will attend the 2. session as his time permits.
Others should be present in 2. session when discussing the Existing Systems.
Page 1 of 3
Riverside County Transportation Commission
IT and Project Management Workshops
Workshop 2
IT Aspects of Project Management
Scheduled for:
Session 1—
�ession 2 —
Session 3 -
April Sth, 9:00-11:00 a.m., Conference Room C
(Scheduling/Contracts (formation and progress monitoring)
April 5 h,1:00-3:00 p.m., Conference Room C
(Engineering Document Management/CADD Standards)
April llt�, 8:00-10:00 a.m., Conference Room C
(Cost Reporting/Estimating)
o Existing Project Management Systems or Techniques
o Future Requirements
o Alternative Solution Areas for the following:
1. Scheduling
2. Cost Reporting
3. Contracts (formation and progress monitoring)
4. Estimating
5. Engineering Document Management
6. CADD Standards
Participants:
Marlin Fenstra (1-6)
Shirley Medina (2, 4)
Min Saysay (1-3, 5-6)
Michele Cisneros (2, 4)
Jenifer Harmon (5)
Louis Martin (1-6)
Len Stout (1-6)
Representing:
Capital Projects Management
Programming and Fund Management
Right -of -Way
Accounting and Management Information
Information Technology Management
Bechtel Project Controls
Bechtel Project Engineering and IT
Page 2 of 3
Riverside County Transportation Commission
TT and Project Management Workshops
Workshop 3
IT Support to RCTC and Integration with new Bechtel offices
Scheduled for April 12`h, 9: 00-12: 00 a.m., Conference Room C
1. Project Automation Planning
o Server Systems and Wiring
o Workstation Equipment
o Applications
o Desktop Support
o Communications:
o RCTC to new Bechtel offices
o Wide Area Network
o Local Area Network
Participants: Representing:
Marlin Fenstra Capital Projects Management
Jenifer Harmon Information Technology Management
Louis Martin Bechtel Project Controls
Len Stout Bechtel Project Engineering and IT
Page 3 of 3