OEV26006103 OSP Pre-Qual Requirements.pdf

1. Certification Regarding Lobbying:

The Respondent certifies, to the best of their knowledge and belief, that:

a. 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.

b. If any funds other than Federal appropriated funds have been paid or will be paid to any person for making lobbying contacts to an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form--LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions [as amended by "Government wide Guidance for New Restrictions on Lobbying," 61 Fed. Reg. 1413 (1/19/96). 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.)]

c. The undersigned shall require that the language of this certification be included in the award documents for all sub-awards at all tiers (including subcontracts, sub-grants, 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.]

2. Conflicts of interest: Respondents shall require proposed team members to identify potential conflicts of interest or a real or perceived competitive advantage relative to this procurement.

Respondents are notified that prior or existing contractual obligations between a company and a federal or state agency relative to the Project may present a conflict of interest or a competitive advantage. RIDOT, in its sole discretion, will make a determination relative to potential organizational conflicts of interest or a real or perceived competitive advantage, and its ability to mitigate such a conflict. Failure to abide by RIDOT’s determination in this matter may result in a proposal being declared non-responsive. Conflicts of interest and a real or perceived competitive advantage are described in state and federal law, and, for example, may include, but are not limited to the following situations:

OEV26006103

Pre-Qualification for Transportation Research Institutions, Expert Consultants, and Researchers, to Support RIDOT’s Research and Innovation Program

OEV26006103

a. An organization or individual hired by RIDOT to provide assistance in the development of RFPs.

b. An organization or individual with a present or former contract with RIDOT to prepare planning, environmental, engineering, or technical work product for the Project, and has a potential competitive advantage because such work product is not available to all potential Respondents in a timely manner prior to the procurement process.

3. Requirement to Keep Team Intact: The personnel proposed by the Respondent, shall remain on the Respondent’s team for the duration of the procurement process and for the duration of the contract. If circumstances require a proposed change, they must be submitted in writing to RIDOT. The Department will determine whether to authorize a change. Unauthorized changes to the Respondent’s team at any time during the procurement process may result in the elimination of the Respondent from further consideration.

4. Internal Control Systems: Respondents must have internal control systems in place that meet federal requirements for accounting. These systems must comply with requirements of 48 CFR 31, “Federal Acquisition Regulations, Contract Cost Principles and Procedures,” 23 CFR 172, “Procurement, Management, and Administration of Engineering and Design Related Services” and 2 CFR 200 Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards.”

5. Access to Third Party Consultant Records:

The Consultant agrees to require their third-party contractors and third- party subcontractors at each tier to provide to the U.S. Secretary of Transportation and the Comptroller General of the United States or their duly authorized representatives, access to all third-party contract records as required by 49 U.S.C. § 5325(g). The Consultant further agrees to require, and assures that its subcontractors require, their third-party contractors and third-party subcontractors, at each tier, to provide sufficient access to third party procurement records as needed for compliance with Federal laws and regulations or to assure proper Project management as determined by Federal regulation.

6. Program Fraud and False and Fraudulent Statement or Related Acts: The Consultant acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. § 3801 et seq. and US DOT regulations, “Program Fraud Civil Remedies” 49 CFR Part 31 apply to its actions pertaining to the Project. Upon execution of the underlying contract, the Consultant certifies or affirms the truthfulness and accuracy of any statement it has made, it makes, it may make, or cause to be made, pertaining to the underlying contract or the FHWA assisted project for which this contract work is being performed. In addition to other penalties that may be applicable, the Consultant 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 Respondent to the extent the Federal Government deems appropriate.

The Consultant also acknowledges that if it makes, or causes to be made, a false, fictitious or fraudulent claim, statement,, submission, or d 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 FHWA under the authority of 49 U. S. C. Chapter 53, the Government reserves the right to impose the penalties of 18 U S C § 1001 and 49 U S C § 5323(I) on the Consultant, to the extent the Federal Government deems appropriate.

The Consultant agrees to include the above two clauses in each subcontract financed in whole or in part with Federal Assistance provided by FHWA. It is further agreed that the clauses shall not be modified, except to identify the subcontractor who will be subject to the provisions.

7. No Federal Obligation to Third Parties: The Consultant acknowledges and agrees that, notwithstanding any concurrence by the Federal Government in or approval of the solicitation or ward of the underlying Contract, absent the express written consent of the Federal Government, the Federal Government is not a party to this Contract and shall not be subject to any obligations or liabilities to the Recipient, Consultant or any other party (whether or not a party to that Contract) pertaining to any matters resulting from the underlying Contract. The Consultant agrees to include the above clause in each subcontract financed in whole or in part with Federal Assistance provided by FHWA. It is further agreed that the clause shall not be modified, except to identify the subcontractor who will be subject to its provisions.

8. Americans with Disabilities Act (ADA): 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., the Consultant agrees that no qualified handicapped person shall, on the basis of handicap, be excluded from participation in, be denied the benefits of, or otherwise be subjected to discrimination under any program or activity which receives Federal financial assistance.

9. Federal Equal Employment (EEO) Requirements: Including but not limited to:

a. Nondiscrimination in Federal Public Transportation Programs: 41 CFR 60-4.3 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 VI 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, prohibits discrimination in employment on the basis of race, color, religion, sex or national origin.

10. Consultant firms and their engineering sub-consultants shall maintain the required registration in the State of Rhode Island as a Professional Engineer for the contract term. Non-engineering sub-consultants or sub-contractors shall also possess any required registrations pertaining to their type of business in the State of Rhode Island for the lifetime of the Contract

11. In conformance with RIDOT TAC-0255, “Financial Statements for Professional Services Contracts” the selected Consultant(s) will be required to submit a current Financial Review Report. A Financial Review Report is a CPA-performed examination of a company's financial records that reports on the plausibility of its financial statements. Alternatively, current Audited Financials may be submitted. Financial Compilations are not acceptable. Failure to submit a Financial Review Report or Audited Financials may result in disqualification or delay in award.

12. RIDOT may terminate the entire Contract, or any portion thereof, when the Vendor is prevented from proceeding with the prescribed work for any of the following reasons:

a. An Executive Order of the President of the United States with respect to the prosecution of war; in the interest of national defense; or any civil emergency or natural disaster.

b. An Executive Order of the Governor of the State with respect to a natural disaster or civil emergency.

c. Court orders relating to energy consumption, and orders or injunctions obtained by third party action resulting from national or local environmental protection laws.

d. Discovery of unanticipated archaeological artifacts of a significant nature that would require extensive and time-consuming delays in the work for the purposes of identification, evaluation, and possibly recovery.

e. Occurrence of an unanticipated environmental situation of a significant nature that would require extensive and time-consuming delays in the work for the purposes of identification, evaluation, and possibly mitigation.

f. Any other circumstances beyond the control of either the Department or the Consultant that precludes the orderly prosecution or completion of the work and that is in the public interest.