590-26.pdf

Invitation No. 590-26

SECTION I. GENERAL OVERVIEW

The Ohio Department of Transportation (ODOT) is requesting proposals from qualified firms to provide

State Safety Oversight (Rail Transit) technical assistance services to the Office of Transit. The ODOT

Office of Transit operates Federal and State funded programs designed to assist Ohio’s public transportation service providers and human service transportation providers to address complex administrative and operating issues and comply with a myriad of Federal and State program rules, regulations and requirements.

ODOT has maintained a Rail Transit State Safety Oversight (SSO) program since 1997. This program is required by the Federal Transit Administration (FTA) and applies to rail transit agencies (RTAs) not regulated by the Federal Railroad Administration (FRA) in the State of Ohio. The authorization for FTA’s and ODOT’s SSO programs was initially published in 49 U.S.C. Section 5330 (State Safety Oversight).

FTA published their state safety oversight rule, Rail Fixed Guideway Systems; State Safety Oversight;

Final Rule, on December 27, 1995, codified as 49 CFR Part 659. On April 29, 2005, the FTA published a revised version of 49 CFR Part 659.

In 2012 as part of Moving Ahead for Progress in the 21st Century (MAP-21), the FTA safety programs were changed to include significantly higher expectations and responsibilities for safety oversight and safety performance for the FTA, states, and the transit agencies (for all modes, not just rail), authorized as 49 U.S.C. Section 5329. The new FTA safety programs are in the process of being developed to follow a transit-specific safety management system (SMS) that is the basis of changes to the transit safety programs. SMS is maintained under the Fixing America’s Surface Transportation (FAST) Act, signed into law on December 4, 2015, and the first Federal-aid law in over a decade to provide long-term funding certainty for surface transportation infrastructure planning and investment.

The FTA completed rulemaking in March 2016 for a new SSO regulation as 49 CFR Part 674 based on

49 U.S.C. Section 5329 instead of Section 5330. This new regulation for SSO went into effect on April

15, 2016 and states had three years to complete development and gain approval from FTA, through a certification process, for their Part 674 compliant SSO program. After this three-year period, the current

SSO regulation, 49 CFR Part 659, was repealed along with its authorization, Section 5330. In August

2017, the FTA certified the ODOT SSO program under the new SSO regulation (Part 674 – the Rule).

ODOT’s SSO Program was the first SSO agency in the nation to be certified under Part 674.

In February of 2022 as part of the Bipartisan Infrastructure Law (BIL), the FTA sent out a “Dear

Colleague” letter detailing updates to the SSO Program outlined in the BIL. The law amended the FTA’s safety program outlined in 49 U.S.C. Section 5329(d) which requires a Public Transit Agency Safety Plan

(PTASP). On October 21, 2022, the FTA issued a Special Directive (Special Directive No. 22-41) to

ODOT outlining changes to 49 U.S.C. Section 5329 to require SSO Programs to conduct risk-based inspections of rail fixed guideway public transportation systems that SSO agencies oversee. ODOT is required to maintain a risk-based inspection program developed as part of the Special Directive and maintain the authority to execute announced and unannounced inspections of Rail Transit Agencies under its oversight.

In addition, the Federal Transit Administration published a final rule on Roadway Worker Projection as outlined in 49 CFR Part 671 on October 31, 2024. This rule will require both the Cincinnati Streetcar and the Greater Cleveland Regional Transit Authority to create policies and programs to protect both agency employees, contractors, and other workers in the right-of-way of transit rail assets. The unique operating environments in both Cincinnati and Cleveland require extensive planning and preparation for the SSO to comply with the new requirements.

SECTION II. SCOPE OF WORK & SPECIFICATIONS OF DELIVERABLES

The ODOT Office of Transit is seeking consultant support for a two-year Indefinite Deliverable, Indefinite

Quantity (IDIQ) task-based, cost reimbursement contract. The total contract amount is unknown, as each task will be autonomous. ODOT and the successful proposer(s) will negotiate the costs for each approved task, separate from and in addition to, all other approved tasks. However, under no circumstance will the unit costs for direct labor, the percent of allowances for overhead and general administration, or the net fee exceed the amounts or rates agreed upon prior to entering the contract.

The duration of this contract will be two years starting July 1, 2025 and ending June 30, 2027.

The successful proposer must demonstrate a thorough understanding of the SSO Program requirements as outlined in 49 U.S.C. Section 5329, 49 CFR Part 674, and the Bipartisan Infrastructure Law. The successful proposer must also demonstrate a thorough understanding of the respective roles and responsibilities of ODOT, Greater Cleveland Regional Transit Authority (GCRTA), and the City of

Cincinnati (CoC). Under the direction of staff from ODOT, and acting on behalf of ODOT, the successful proposer would be responsible for the following activities:

SSO Program Standard and Reference Guide

• Review and update the SSO Program Standard and Reference Guide as needed with new

FTA Regulations, Federal Laws, and/or State Laws.

• Ensure the SSO Program Standard and Reference Guide reflect the necessary requirements to PTASPs as required by the Bipartisan Infrastructure Law (BIL).

FTA Annual Report and Periodic Submissions

• Assist ODOT with the FTA SSO Annual Report summarizing its oversight activities for the preceding twelve months, including a description of the causal factors of investigated accidents, status of corrective actions, updates, and modifications to GCRTA and CoC’s program documents, and the level of effort used by the oversight agency to carry out its oversight activities.

• Assist ODOT in preparing periodic program information including status reports of accidents, hazardous conditions, Safety Advisory (SA) submission and Corrective Action

Plans (CAP), if requested by FTA.

• Ensure ODOT’s System Safety Oversight Program Standard (SSOPS) is reviewed and updated as necessary.

GCRTA and CoC Annual Reports

• Review and approve or disapprove the checklist or procedures that GCRTA/ CoC will use during the reviews and/or audits.

• Review the internal safety and security reviews and issue a written response either approving or disapproving the Annual Report.

• Review GCRTA/ CoC’s CAP report and issue a written response of acceptance or rejection.

Investigations of Accidents and Significant Hazardous Conditions

• Assist ODOT SSO in the investigation of accidents and significant hazardous conditions that occur or exist at GCRTA and CoC

• Serves as the initial contact for accident notification and hazardous conditions by GCRTA/

CoC

• Receive and review reports of significant safety and security incidents

• Monitor and review accidents and investigation activities conducted by GCRTA/ CoC

• Conduct periodic on-site investigation activities and produce a final accident investigation report

• In the event of a National Transportation Safety Board (NTSB), serve as a primary contact on NTSB activities including meetings, interviews, request for data, etc.

• Receive and review reports of significant hazardous conditions, gather data and information necessary to characterize and report conditions and provide the initial briefing to ODOT

• Monitor and review significant hazardous conditions investigation activities conducted by

GCRTA and CoC.

• Conduct actual on-site significant hazardous conditions investigation activities, upon ODOT request

• Prepare both interim investigation status reports and a final accident investigation report

• Approve and monitor the implementation of recommended corrective actions submitted by

GCRTA/CoC

Quarterly Meetings, Corrective Actions Plan, Public Transportation Agency Safety Plan (PTASP), Safety

Management System (SMS), and System Security Plan (SSP) Updates

• Meet jointly with ODOT and GCRTA/CoC at least quarterly in GCRTA/CoC offices to review open investigations, corrective action activities, and other open or resolved issues.

• Review the PTASP, SMS, and SSP and perform any necessary updates or modifications to ensure the PTASP, SMS, and SSP are compliant with new regulatory requirements from the Bipartisan Infrastructure Law (BIL) o Ensure GRCTA/CoC address the Safety Committee requirements and approval, addition of access to facilities and risk-related data, and public health additions as required by BIL.

o Ensure GRCTA/CoC use safety takedown from their grant funding for addressing any Safety Performance Targets missed in their PTASP.

o Ensure GCRTA/CoC update the Safety Performance Measures and Targets in the

PTASP to reflect updates to the National Safety Plan.

o Ensure GCRTA/CoC address Rail Transit Roadway Worker Protection.

• When changes are necessary, review and recommend approval or disapproval to ODOT.

Risk-Based Inspections (RBI)

• Assist ODOT in developing a procedure for Risk-Based Inspections in compliance with the

Bipartisan Infrastructure Law (BIL).

• Assist ODOT in providing oversight of Risk-Based Inspections and ensure GCRTA and CoC are utilizing Risk-Based Inspections.

• Provide Guidance to ODOT and assist with Dear Colleague Letters, Special Directives, Safety Advisories, and ad hoc requests for information provided to ODOT from the FTA.

• Perform Risk-Based Inspections as needed in compliance with the SSO Procedure at

GCRTA/the Cincinnati Connector Streetcar.

FTA SSO Audit and ODOT Triennial Audit of CoC and GCRTA

• GCRTA and CoC Triennial Audits (CoC Audit- CY 2026 and GCRTA- CY 2027)

○ Provide written notifications to transit agency of the scheduled audits, identifying the objectives of the audit, and the key documents to submit to ODOT for review.

○ Perform an On-Site Triennial audit, along with ODOT personnel, focusing primarily on assessing the transit agencies compliance with the internal safety and security policies, with a major emphasis on the organizational and procedural aspects of their operations as they relate to system safety and security.

▪ System Safety Policies and Procedures

▪ Corrective Action Plan Implementation

▪ Management

▪ Spot Checks

○ Develop the audit evaluation criteria by which GCRTA/CoC will be reviewed and evaluated

○ Issue a final audit report with any recommendations and findings for improving agency’s safety and security programs\

• FTA Audit of ODOT SSO Program (CY 2026)

○ Assist ODOT with understanding the recommendations and findings from the FTA

Triennial Audit of the ODOT SSO Program that is scheduled to occur in 2026.

○ Assist ODOT and the RTAs in developing and implementing any Correction Action

Plans that may be needed as a result of recommendations or findings from the FTA.

ODOT/CONSULTANT RESPONSIBILITIES

• Submit a monthly report by the 15th of each month summarizing their work activities from the previous month.

o GCRTA and CoC plan updates, audits, investigations, CAPs hazard logs, and significant events

• Regularly monitor or attend GCRTA and ’s Executive Safety Committee meeting and report the results of those meetings to ODOT.

• Coordinate and conduct quarterly meetings at GCRTA and CoC headquarters to discuss the status of safety and security plans, investigations, and CAPs

• Provide guidance to ODOT for providing comments to FTA during the rule making process

• Update ODOT SSO Program documents to comply with changes resulting from the full implementation of the Bipartisan Infrastructure Law/ FTA Transit Safety Office requirements

• Assist in any SSO related activities related to a rail extension or new startup(s).

• Attend the FTA On-Site Rail Safety and Security Program and aid in responding to FTA’s report of findings and recommendations

• Provide general support for implementation of the Program

• Ensure the applicable staff personnel have Public Transportation Safety Certification

Training Program (PTSCTP) certification and renew their certificates annually as required.

New activities may also be necessary to address a variety of management, technical, financial and operating issues which may require immediate solutions.

Based on the above, the successful firm must demonstrate, either through existing staff or partnerships with other consultants, a level of expertise and experience in relevant related disciplines to assure that

Ohio’s SSO Program is following FTA requirements in a timely, prudent, and fiscally responsible manner.

Known activities will reflect the listed Scope of Services but new activities have yet to be identified for the proposed contract. However, a successful respondent will, at minimum, identify their proficiencies in each of the areas listed in the scope of services within the body of their proposal.

Firms will be evaluated on completeness of submission, knowledge, skills, and abilities to perform known activities, experience of the firm or team to complete the Scope of Services activities, timely availability of appropriate personnel (including technical support) to respond to ODOT’s needs, a commitment to work within a budget and efficiently and effectively contain costs, and thorough knowledge of FTA SSO policies, procedures, and requirements.

SECTION III. VENDOR QUALIFICATIONS AND EXPERIENCE

3.1 Organizational Experience and Capabilities – vendors will be evaluated based on the following:

• Firm bio for all proposed consultant firms, including key staff proposed from each consultant firm.

• Experience in, but not limited to, State Safety Oversight Programs, developing, monitoring, and implementing Corrective Action Plans, conducting inspections using qualitative and quantitative data, Agency Safety Plans, analyzing data regarding hazards, incidents, events, and accidents, Rail Transit Safety, Rail Transit Operations, Safety Management Systems, Safety Assurance, System Security Plans, Conducting Audits, and FTA Regulation changes and requirements.

o References: Name, email, and phone number for at least three clients of these types of projects.

3.2 Staff Experience and Capabilities – proposals should demonstrate significant expertise by assigning staff to key leadership roles. Proposals must include, at minimum:

• Identify the Project Manager and any other key staff and task leads.

• Staff experience in subject matters they are proposed to lead or work.

• Resumes/curriculum vitae of those key staff that describe appropriate education, experience and expertise needed for the project.

Sensitive Personal Information: It is the sole responsibility of the vendor submitting a proposal to remove all personal confidential information (such as home addresses and social security numbers) of vendor staff and/or of any subcontractor and subcontractor staff from resumes or any other part of the proposal package. Following submission to ODOT, all proposals submitted may become part of the public record. ODOT reserves the right to disqualify any vendor whose proposal is found to contain such prohibited personal information.

PROPOSAL RESPONSE FORMAT

Proposal Submission Requirements

Vendors must submit their Bid Responses electronically in Ohio Buys before the published deadline date & time, Columbus, Ohio local time on the Proposal due date. Vendors will not be able to submit Bid Responses, or unsolicited Proposal amendments after the deadline.

Vendors must allow adequate time for uploading a Bid Response prior to the due date and time.

ODOT recommends that vendors submit Bid Responses as early as possible. If a second round is issued for any reason, vendors must resubmit their bid if they had already submitted in a previous round, as the previously submitted Bid Responses do NOT carry over to the new round.

The Signature process takes place after the award now. The email will come from documents@esign.ohio.gov and will go to the signatory that was identified in the bid submission. The subject line will be the bid # Signature Request, (example: 101G-25 Signature Request).

No contract can be issued to your company until we receive your signature to complete the process. And you must have an OAKS Payor ID before a contract can be issued. To obtain that, you will need to go into https://ohiopays.ohio.gov.

Proposal Response

The RFP Proposal response must contain information on how the Proposer intends to perform the services outlined in the RFP. Omission of required information may render a Proposer ineligible, and incomplete responses may result in the loss of points. The selected Proposer will become the

Vendor of record with ODOT.

Proposers must submit a response for the following areas:

A. Implementation/Management Plan/Work Plan

B. Organizational Structure/Staffing Plan

C. DBE Participation Plan

D. Cost Proposal (submitted SEPARATELY ATTACHMENT)

E. Completed and signed required FTA Federal Clauses

*Items A and B may not exceed 15 pages in length.*

A. Implementation/Management Plan mailto:documents@esign.ohio.gov https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fohiopays.ohio.gov%2F&data=05%7C02%7CTodd.VanKirk%40dot.ohio.gov%7C1ac0731aa3fa4f066d5408dc7b4d0c36%7C50f8fcc494d84f0784eb36ed57c7c8a2%7C0%7C0%7C638520818049379076%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C0%7C%7C%7C&sdata=v8I%2Ba6H4M2smMVdNcvpoDrB2Dqsn4%2FJvMONLWyfwoxE%3D&reserved=0

The Proposer shall submit a statement of the Proposer’s understanding of the scope and his/her/their capabilities to perform the requirements of the RFP, along with a narrative of how the

Proposer intends to implement and manage each of the tasks set forth in this RFP. Provide a technical description of the methodology anticipated in the performance of the services described above. Other good innovative and creative approaches to accomplish the goals of the contract will be given consideration and should also be included in this section.

B. Organizational Structure

The Proposer must provide the names and résumés of each individual that will be working on the

RFP. Designate the individual who will be committed to ensuring performance of all tasks under the prospective contract (Project Manager). Provide a résumé and contact information for the

Project Manager. Please provide a staffing plan the list any other professionals who will be given key responsibilities in fulfilling the requirements necessary to perform the services. Provide supporting documentation, such as a résumé, for each individual summarizing their experience on similar assignments or projects. Each résumé must identify each employee with the years of service, educational background, the duties and responsibilities for that employer, and a phone number for a contact person. Identify each individual and the percent of time that each person would be assigned to each major task in the Scope of Services.

C. DBE Participation Plan

Although this procurement has no DBE contract goal, and thus has no minimum requirement for

DBE participation, the Proposer must include a DBE Participation Plan documenting any proposed race-neutral DBE participation. Eligible DBEs are those certified by the Ohio Unified

Certification Program and listed in the Ohio Unified DBE Directory

(https://www.dot.state.oh.us/Divisions/ODI/SDBE/Pages/DBE-Directory.aspx). The DBE

Participation Plan must include one or more of the three items listed below, as applicable:

• Listing of DBE subconsultants including their names, their roles and responsibilities, their applicable NAICS code(s), and expected subcontract amounts

• A declaration that the proposer is a DBE and that the proposer is certified in applicable

NAICS code(s) (specify)

• A declaration that the proposer expects no DBE participation on this contract

D. Cost Proposal

The Proposer shall submit a SEPARATE Cost Proposal in the emailed response. Any proposal in which this Cost Proposal is not included will be considered non-responsive and the proposal will be rejected. The Proposer’s completed Cost Proposal shall become a part of the contract upon award of the contract.

Travel - While not requested as a part of the information submitted, all travel costs are limited by the rates allowed under the applicable ODOT travel directives in place at the time travel is undertaken. The Office of Budget and Management (OBM) sets the mileage reimbursement rate for contractors with state agencies to utilize at the following location:

https://obm.ohio.gov/wps/portal/gov/obm/areas-of-interest/agency-overview/obm-travel-rule/obm-travel-rule This contract will utilize the rate set by OBM as amended quarterly throughout the state fiscal year.

https://www.dot.state.oh.us/Divisions/ODI/SDBE/Pages/DBE-Directory.aspx https://obm.ohio.gov/wps/portal/gov/obm/areas-of-interest/agency-overview/obm-travel-rule/obm-travel-rule https://obm.ohio.gov/wps/portal/gov/obm/areas-of-interest/agency-overview/obm-travel-rule/obm-travel-rule https://obm.ohio.gov/wps/portal/gov/obm/areas-of-interest/agency-overview/obm-travel-rule/obm-travel-rule

Each task in the contract will be negotiated, however the unit costs for direct labor, the percent of allowances for overhead and general administration, and the profit will not exceed the amounts or rates agreed upon prior to entering the contract.

The Cost Proposal shall be submitted in the Excel format. As a separate attachment from the proposal.

E. Signed FTA Required Federal Clauses

The proposer shall submit the included signed FTA federal clauses – ‘Certifications and Restrictions of Lobbying’ and ‘Government-Wide Debarment and Suspension’

Technical Proposal Score Sheet

Scoring of Technical Proposal

Technical Proposals will be collectively scored by a Proposal Review Team (PRT) appointed by

ODOT. For each of the evaluation criteria given in the score sheet, reviewers will collectively judge whether the technical proposal does not meet, partially meets, meets or exceeds each criterion, and assign the appropriate point value. The scoring is by consensus and one official score sheet will be completed for each technical proposal that is scored.

Criteria for Considering the Cost Proposal

The cost proposal will be reviewed by the PRT. The grand total of the vendor’s cost proposal will be divided by that vendor’s final technical proposal score. This compares the cost with the quality of the technical proposal, which will provide an average cost-per-quality point earned on the technical proposal.

ODOT may, at its sole discretion, negotiate with all technically qualifying vendors for a revised cost proposal. Vendors may then: 1) Submit one last and best offer; 2) request that ODOT view its original cost proposal as its last and best offer; or 3) May formally withdraw from further consideration. The vendor shall formally indicate its choice according to directions provided by

ODOT at that time. Upon receipt of all last and best offers, ODOT will then consider those vendors’ revised cost proposals.

III.

PHASE I: Initial Qualifying Criteria

The proposal must meet all of the following Phase I proposal acceptance criteria in order to be considered for further evaluation. Any proposal receiving a “no” response to any of the following qualifying criteria shall be disqualified from consideration.

ITEM

PROPOSAL ACCEPTANCE CRITERIA YES NO

1 Was the vendor’s proposal received by the deadline as specified in the RFP?

2 Did the vendor submit a proposal comprised of a Technical Proposal and, in a separate, attachment, a Cost Proposal?

3 Did the vendor submit all necessary, and signed, required FTA clauses?

PHASE II: Criteria for Scoring of Technical Proposal

Qualifying technical proposals will be collectively scored by a Proposal Review Team (PRT) appointed by ODOT. For each of the evaluation criteria given in the following score sheet, reviewers will collectively judge whether the technical proposal exceeds, meets, partially meets or does not meet the requirements expressed in the RFP, and assign the appropriate point value, as follows:

0 4 7 10 Does Not

Meet Requirement

Partially Meets

Requirement

Meets Requirement

Exceeds Requirement

Technical Performance Scoring Definitions:

“Does Not Meet Requirement”- A particular RFP requirement was not addressed in the vendor’s proposal, Score: 0

“Partially Meets Requirement”-Vendor proposal demonstrates some attempt at meeting a particular RFP requirement, but that attempt falls below acceptable level, Score: 4

“Meets Requirement”-Vendor proposal fulfills a particular RFP requirement in all material respects, potentially with only minor, non-substantial deviation, Score: 7

“Exceeds Requirement”-Vendor proposal fulfills a particular RFP requirement in all material respects, and offers some additional level of quality in excess of ODOT expectations, Score: 10

A technical proposal’s total PHASE II score will be the sum of the point value for all the evaluation criteria. The review team will collectively score each individual qualifying proposal.

Technical proposals which do not meet or exceed a total score of at least 575 points (a score which represents that the selected vendor has the capability to successfully perform the project/program services) out of a maximum of 850 points, will be disqualified from further consideration, and its cost proposal will neither be opened nor considered. Only those vendors whose Technical Proposals meet or exceed the minimum required technical points will advance to PHASE III of the technical proposal score sheet.

II. Scoring Breakdown Table

ITEM EVALUATION CRITERIA Weighting Doesn’t

Meet

Partially

Meets

Meets

Exceeds

Proposal Experience

Work Plan: Experience and Proposer’s Quality of Response:

1. Prior experience with safety and security programs, with emphasis on rail fixed guideway public transportation.

2. Understanding of the work to be completed

3. Responsiveness to the Scope of Work

4. Clarity of proposal and work to be performed.

Staff Plan: Structure of Proposer’s Organization

1. Qualifications of personnel – (education, experience and training)

Resumes (limit ten) including identification of Project

Manager

2. Access of respondent’s resources and personnel to

ODOT/local public entities.

3. Availability and responsiveness of proposer’s resources and personnel.

DBE Response:

Disadvantaged Business Enterprise (DBE) Participation:

1. Evidence of meaningful DBE participation either from the prime consultant and/or any subcontractors

2. All DBE firms included their appropriate DBE certification from Ohio with the proposal.

Column Subtotal of "Partially Meets" points

Column Subtotal of "Meets" points

Column Subtotal of "Exceeds" points

GRAND TOTAL SCORE:

Based upon the Grand Total Technical Score earned, does the vendor’s proposal meet or exceed the minimum technical score of 575 points?

Yes__________ No_____________

(If “No” vendor’s Cost Proposal will NOT be opened)

Cost Per Quality Point

Vendors Total Submitted Cost: ________________ / Grand Total Technical Score:

Cost per Quality Point: _______________

The Technical Proposal with the lowest Cost per Quality point will be recommended for award of the contract.

If ODOT finds that one or more Proposals should be given further consideration, ODOT may select one or more of the highest-ranking Proposals to move to the next phase.

ODOT may alternatively choose to bypass any or all subsequent phases and make an award based solely on the Proposal evaluation phase.

EXHIBIT A

AFFIRMATIVE ACTION AFFIDAVIT

(to be completed by firms with less than 50 employees)

(STATE OF )

(COUNTY OF )

I, of the of _____________________ in the County of , State of , of full age, being duly sworn according to law on my oath depose and state that:

1. I am of the firm of

, a bidder making a proposal inclusive upon the above-named project.

2. does not have 50 employees or more inclusive of all officers and employees of every type.

3. I am familiar with the affirmative action requirements of O.R.C. 125.11.1 and rules and regulations issued by the Ohio

Department of Administrative Services pursuant thereto.

4. has complied with all affirmative action requirements of the State of Ohio, including those required by the O.R.C. 125.11.1 and the rules and regulations issued by the Ohio Department of Administrative Services thereto.

5. I am aware that if does not comply with O.R.C. 125.11.1 and rules and regulations issued pursuant thereto, that no monies will be paid by ODOT until an affirmative action plan is approved. I understand that the contract may be terminated and may be debarred from all public contracts for a period up to five

(5) years for violation of said provisions.

6. In the event my workforce increases to 50 employees, I must contact the Ohio Affirmative Action office and complete an

Employee Information Report.

Signature of Authorized Official Title

EXHIBIT B

NON-COLLUSION AFFIDAVIT

(STATE OF )

(COUNTY OF )

I, of the of _______________________ in the County of , State of , of full age, being duly sworn according to law on my oath depose and state that:

I am of the firm of

, a bidder making a proposal inclusive upon the above named project, and that I executed the said proposal with full authority to do so: that said bidder has not, directly or indirectly, entered into any agreement, participated in any collusion, or otherwise taken any action in restraint of free, competitive bidding in connection with the above named project; and that all statements contained in said proposal and in this affidavit are true and correct, and made with full knowledge that ODOT relies upon the truth of the statements contained in said proposal and in the statements contained in this affidavit in awarding the contract for the said project.

I further warrant that no person or selling agency has been employed or retained to solicit or secure such contract upon an agreement or understanding for a commission, percentage, brokerage or contingent fee, except bona fide employees or bona fide established commercial or selling agencies maintained by .

(Name of Contractor)

Signature of Authorized Official Title

EXHIBIT C

GOVERNMENT-WIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT)

Recipients, contractors, and subcontractors that enter into covered transactions are required to verify that the entity (as well as its principals and affiliates) with which they propose to contract or subcontract is not excluded or disqualified. This is done by: (a) checking the SAM exclusions; (b) collecting a certification from that person (found below); or (c) adding a clause or condition to the contract or subcontract.

Instructions for Certification: Signing below indicates the prospective lower tier participant is providing the signed certification.

(1) It will comply and facilitate compliance with U.S. DOT regulations, “Nonprocurement Suspension and Debarment,” 2 CFR part 1200, which adopts and supplements the U.S. Office of Management and Budget (U.S. OMB) “Guidelines to Agencies on Governmentwide Debarment and Suspension

(Nonprocurement),” 2 CFR part 180,

(2) To the best of its knowledge and belief, that its Principals and Subrecipients at the first tier:

a. Are eligible to participate in covered transactions of any Federal department or agency and are not presently:

1. Debarred,

2. Suspended,

3. Proposed for debarment,

4. Declared ineligible,

5. Voluntarily excluded, or

6. Disqualified

b. Its management has not within a threeyear period preceding its latest application or proposal been convicted of or had a civil judgment rendered against any of them for:

1. Commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction, or contract under a public transaction,

2. Violation of any Federal or State antitrust statute, or,

3. Commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making any false statement, or receiving stolen property,

c. It is not presently indicted for, or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any of the offenses listed in the preceding subsection 2.b of this Certification,

d. It has not had one or more public transactions (Federal, State, or local) terminated for cause or default within a threeyear period preceding this

Certification,

e. If, at a later time, it receives any information that contradicts the statements of subsections 2.a – 2.d above, it will promptly provide that information to FTA,

f. It will treat each lower tier contract or lower tier subcontract under its Project as a covered lower tier contract for purposes of 2 CFR part 1200 and 2

CFR part 180 if it:

1. Equals or exceeds $25,000,

2. Is for audit services, or,

3. Requires the consent of a Federal official, and

g. It will require that each covered lower tier contractor and subcontractor:

1. Comply and facilitate compliance with the Federal requirements of 2 CFR parts 180 and 1200, and

2. Assure that each lower tier participant in its Project is not presently declared by any Federal department or agency to be:

a. Debarred from participation in its federally funded Project,

b. Suspended from participation in its federally funded Project,

c. Proposed for debarment from participation in its federally funded Project,

d. Declared ineligible to participate in its federally funded Project,

e. Voluntarily excluded from participation in its federally funded Project, or

f. Disqualified from participation in its federally funded Project, and

(3) It will provide a written explanation as indicated on a page attached in FTA’s TrAMS platform or the Signature Page if it or any of its principals, including any of its first tier Subrecipients or its ThirdParty Participants at a lower tier, is unable to certify compliance with the preceding statements in this Certification Group., Certification

Contractor:

Signature of Authorized Official: Date / /

Name and Title of Contractor's Authorized Official:

EXHIBIT D

CERTIFICATION OF RESTRICTIONS ON LOBBYING

I, hereby certify

(Name and title of official)

On behalf of that:

(Name of Bidder/Company Name)

• No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, and 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.

• If any funds other than federal appropriated funds have been paid or will be paid to any person influencing or attempting to influence an officer or employee of any agency, a Member of Congress, and officer or employee of Congress, or an employee of a

Member of Congress in connection with the 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.

• 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 subrecipients 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. 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., Name of Bidder/Company Name:

Type or print name:

Signature of authorized representative: Date / /

I

Exhibit E

FTA Clauses

ACCESS TO RECORDS AND REPORTS

1. Record Retention. The Contractor will retain, and will require its subcontractors of all tiers to retain, complete and readily accessible records related in whole or in part to the contract, including, but not limited to, data, documents, reports, statistics, leases, subcontracts, arrangements, other third party

Contracts of any type, and supporting materials related to those records. (a) A bid guarantee from each bidder equivalent to five percent of the bid price. The

"bid guarantee" must consist of a firm commitment such as a bid bond, certified check, or other negotiable instrument accompanying a bid as assurance that the bidder will, upon acceptance of the bid, execute such contractual documents as may be required within the time specified.

2. Retention Period. The Contractor agrees to comply with the record retention requirements in accordance with 2 C.F.R. § 200.334. The Contractor shall maintain all books, records, accounts and reports required under this Contract for a period of at not less than three (3) years after the date of termination or expiration of this Contract, except in the event of litigation or settlement of claims arising from the performance of this Contract, in which case records shall be maintained until the disposition of all such litigation, appeals, claims or exceptions related thereto.

3. Access to Records. The Contractor agrees to provide sufficient access to FTA and its contractors to inspect and audit records and information, including such records and information the contractor or its subcontractors may regard as confidential or proprietary, related to performance of this contract in accordance with 2 CFR § 200.337.

4. Access to the Sites of Performance. The Contractor agrees to permit FTA and its contractors access to the sites of performance under this contract in accordance with 2 CFR § 200.337.

CHANGES TO FEDERAL REQUIREMENTS

Federal requirements that apply to the Recipient or the Award, the accompanying Underlying Agreement, and any Amendments thereto may change due to changes in federal law, regulation, other requirements, or guidance, or changes in the Recipient’s Underlying Agreement including any information incorporated by reference and made part of that Underlying Agreement; and

Applicable changes to those federal requirements will apply to each Third Party Agreement and parties thereto at any tier.

CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT

The Contractor agrees to comply with all applicable standards, orders, or regulations issued pursuant to the Clean Air Act (42 U.S.C. § 74017671q) and the

Federal Water Pollution Control Act as amended (33 U.S.C. § 12511387). Violations must be reported to FTA and the Regional Office of the Environmental

Protection Agency. The following applies for contracts of amounts in excess of $150,000:

Clean Air Act

(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.

(2) The contractor agrees to report each violation to the Agency and understands and agrees that the Agency will, in turn, report each violation as required to assure notification to the Agency, Federal Emergency Management Agency, and the appropriate Environmental Protection Agency Regional Office.

(3) The contractor agrees to include these requirements in each subcontract exceeding $150,000 financed in whole or in part with Federal assistance provided by FTA.

Federal Water Pollution Control Act

(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.

(2) The contractor agrees to report each violation to the Agency and understands and agrees that the Agency will, in turn, report each violation as required to assure notification to the Agency, Federal Emergency Management Agency, and the appropriate Environmental Protection Agency Regional Office.

(3) The contractor agrees to include these requirements in each subcontract exceeding $150,000 financed in whole or in part with Federal assistance provided by FTA.”

CIVIL RIGHTS LAWS AND REGULATIONS

The following Federal Civil Rights laws and regulations apply to all contracts.

The Contractor and any subcontractor agree to comply with all the requirements prohibiting discrimination on the basis of race, color, or national origin of the Title VI of the Civil Rights Action of 1964, as amended 52 U.S.C 2000d, and U.S. DOT regulation “Nondiscrimination in FederallyAssisted Programs of the

Department of Transportation – Effectuation of the Title VI of the Civil rights Act, “49 C.F. R. Part 21 and any implementing requirement FTA may issue.

1 Federal Equal Employment Opportunity (EEO) Requirements. These include, but are not limited to:

a) Nondiscrimination in Federal Public Transportation Programs. 49 U.S.C. § 5332, covering projects, programs, and activities financed under 49 U.S.C.

Chapter 53, prohibits discrimination on the basis of race, color, religion, national origin, sex (including sexual orientation and gender identity), disability, or age, and prohibits discrimination in employment or business opportunity.

b) Prohibition against Employment Discrimination. Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000e, and Executive Order No.

11246, “Equal Employment Opportunity,” September 24, 1965, as amended, prohibit discrimination in employment on the basis of race, color, religion, sex, or national origin.

2 Nondiscrimination on the Basis of Sex. Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. § 1681 et seq. and implementing

Federal regulations, “Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance,” 49 C.F.R. part 25 prohibit discrimination on the basis of sex.

3 Nondiscrimination on the Basis of Age. The “Age Discrimination Act of 1975,” as amended, 42 U.S.C. § 6101 et seq., and Department of Health and

Human Services implementing regulations, “Nondiscrimination on the Basis of Age in Programs or Activities Receiving Federal Financial Assistance,” 45

C.F.R. part 90, prohibit discrimination by participants in federally assisted programs against individuals on the basis of age. The Age Discrimination in

Employment Act (ADEA), 29 U.S.C. § 621 et seq., and Equal Employment Opportunity Commission (EEOC) implementing regulations, “Age Discrimination in Employment Act,” 29 C.F.R. part 1625, also prohibit employment discrimination against individuals age 40 and over on the basis of age.

4 Federal Protections for Individuals with Disabilities. The Americans with Disabilities Act of 1990, as amended (ADA), 42 U.S.C. § 12101 et seq., prohibits discrimination against qualified individuals with disabilities in programs, activities, and services, and imposes specific requirements on public and private entities. Third party contractors must comply with their responsibilities under Titles I, II, III, IV, and V of the ADA in employment, public services, public accommodations, telecommunications, and other provisions, many of which are subject to regulations issued by other Federal agencies.

Civil Rights and Equal Opportunity

The Agency is an Equal Opportunity Employer. As such, the Agency agrees to comply with all applicable Federal civil rights laws and implementing regulations. Apart from inconsistent requirements imposed by Federal laws or regulations, the Agency agrees to comply with the requirements of 49 U.S.C.

§ 5323(h) (3) by not using any Federal assistance awarded by FTA to support procurements using exclusionary or discriminatory specifications. Under this

Contract, the Contractor shall at all times comply with the following requirements and shall include these requirements in each subcontract entered into as part thereof.

1. Nondiscrimination. In accordance with Federal transit law at 49 U.S.C. § 5332, the Contractor agrees that it will not discriminate against any employee or applicant for employment because of race, color, religion, national origin, sex, disability, or age. In addition, the Contractor agrees to comply with applicable Federal implementing regulations and other implementing requirements FTA may issue.

2. Race, Color, Religion, National Origin, Sex. In accordance with Title VII of the Civil Rights Act, as amended, 42 U.S.C. § 2000e et seq., 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. chapter

60, and Executive Order No. 11246, "Equal Employment Opportunity in Federal Employment," September 24, 1965, 42 U.S.C. § 2000e note, as amended by any later Executive Order that amends or supersedes it, referenced in 42 U.S.C. § 2000e note. 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, religion, national origin, or sex (including sexual orientation and gender identity). Such action shall include, but not be limited to, the following: employment, promotion, 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.

3. Age. In accordance with the Age Discrimination in Employment Act, 29 U.S.C. §§ 621634, U.S. Equal Employment Opportunity Commission (U.S.

EEOC) regulations, “Age Discrimination in Employment Act,” 29 C.F.R. part 1625, the Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6101 et seq., U.S. Health and Human Services regulations, “Nondiscrimination on the Basis of Age in Programs or Activities Receiving Federal Financial

Assistance,” 45 C.F.R. part 90, 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.

4. Disabilities. In accordance with section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794, the Americans with Disabilities Act of 1990, as amended, 42 U.S.C. § 12101 et seq., the Architectural Barriers Act of 1968, as amended, 42 U.S.C. § 4151 et seq., and Federal transit law at 49 U.S.C. §

5332, the Contractor agrees that it will not discriminate against individuals on the basis of disability. In addition, the Contractor agrees to comply with any implementing requirements FTA may issue.

5. Promoting Free Speech and Religious Liberty. The Contractor shall ensure that Federal funding is expended in full accordance with the U.S.

Constitution, Federal Law, and statutory and public policy requirements: including, but not limited to, those protecting free speech, religious liberty, public welfare, the environment, and prohibiting discrimination.

DEBARMENT AND SUSPENSION

Debarment and Suspension (Executive Orders 12549 and 12689). A covered transaction (see 2 C.F.R. §§ 180.220 and 1200.220) must not be entered into with any party listed on the governmentwide exclusions in the System for Award Management (SAM), in accordance with the OMB guidelines at 2 C.F.R. 180 that implement Executive Orders 12549 (31 U.S.C. § 6101 note, 51 Fed. Reg. 6370,) and 12689 (31 U.S.C. § 6101 note, 54 Fed. Reg. 34131), “Debarment and Suspension.” SAM Exclusions contains the names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Order 12549. The Recipient agrees to include, and require each Third Party Participant to include, a similar provision in each lower tier covered transaction, ensuring that each lower tier Third Party Participant:

(1) Complies with federal debarment and suspension requirements; and

(2) Reviews the SAM at https://www.sam.gov, if necessary to comply with U.S. DOT regulations, 2 CFR Part 1200.

DISADVANTAGED BUSINESS ENTERPRISE (DBE)

(Does not apply to projects fully funded by the Tribal Transportation Program (TTP).)

It is the policy of the Agency and the United States Department of Transportation ("DOT") that Disadvantaged Business Enterprises ("DBE’s"), as defined herein and in the Federal regulations published at 49 C.F.R. part 26, shall have an equal opportunity to participate in DOTassisted contracts.

The contractor or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 C.F.R. part 26 in the award and administration of DOTassisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the Agency deems appropriate, which may include, but is not limited to:

(1) Withholding monthly progress payments;

(2) Assessing sanctions;

(3) Liquidated damages; and/or

(4) Disqualifying the contractor from future bidding as nonresponsible. 49 C.F.R. § 26.13(b).

Prime contractors are required to pay subcontractors for satisfactory performance of their contracts no later than 30 days from receipt of each payment the

Agency makes to the prime contractor. 49 C.F.R. § 26.29(a).

Finally, for contracts with defined DBE contract goals, the contractor shall utilize the specific DBEs listed unless the contractor obtains the Agency’s written consent; and that, unless the Agency’s consent is provided, the contractor shall not be entitled to any payment for work or…