RFQ 08-26 Painted Pavement Lines.doc

REQUEST FOR QUOTE (RFQ)

—NORTHEAST TRANSPORTATION

A Request for Quote (RFQ) is being sought from qualified Vendors to supply to North East Transportation Bus Facility (located at 761 Frost Bridge Road, Watertown, CT 06795). This RFQ outlines the Scope of Specifications & Services that Northeast Transportation (NET) requires for this request.

Quotes should be clearly marked “Painted Pavement Markings/Striping” and be sent to gguerrera@ct-transwb.com or to the attention of Gabby Guerrera, Procurement Specialist, 761 Frost Bridge Road, Watertown, CT 06795. Quotes must be received on or before Monday, September 10, 2026, no later than 2:00 p.m.

Walk Thru- Wednesday, August 26th 9:00 am at our facility located at 761 Frost Bridge Road, Watertown, CT 06795 Questions Due Thursday, August 27, 2026, no later than 2:00 pm. Email to gguerrera@ct-transwb.com

North East Transportation will answer by Monday, August 31, 2026, no later than 11:00 am.

Quoter Qualifications:

The equipment and services required will be acceptable only if they are offered by a person, firm or corporation with the following qualifications:

· Adequate experience, capabilities and verifiable history in the provision of the equipment sought through this Quote;

· Adequate equipment, personnel, and financial resources to fulfill the agreement in a satisfactory manner within the time specified;

Pricing Pricing must be entered on the Pricing Quote Forms contained in this Quote and are to be quoted and broken down as specified. The Vendor shall state the price based on 30 days net. NET assumes no responsibility for errors. The quote price/cost shall include all labor, materials, tools, equipment, transportation, and other costs necessary to fully complete the procurement pursuant to the Quote terms, conditions, and specifications. It is the intention of these specifications to provide and require complete services and supplies as prescribed herein. Any items omitted from the specifications, which are necessary for such service, shall be considered a portion of such service although not directly specified or called for in these specifications. No advantage shall be taken of the omission of any part or detail, which fails to make the service complete and ready for full effective and efficient utilization.

Taxes & Interest

NET is exempt from the payment of state sales tax; such taxes must not be included in quoted prices. A tax exempt certificate will be provided upon award, if requested, to the successful Vendor. NET will not pay interest on unpaid or disputed invoices, whether due or overdue.

Company, State & Federal Forms

The Vendor who has the lowest, responsive, and responsible Quote must fill out all applicable Company, State, & Federal Forms before a Purchase Order will be issued.

SCOPE OF SERVICE/TECHINCAL SPECIFICATIONS

SCOPE OF SERVICES:

Through this RFQ submittals are requested from qualified Vendors to supply Painted Pavement Markings/Striping at our Watertown location. The intent of this RFQ is to award to the lowest priced, responsive, responsible Vendor. Once all required paperwork is completed the successful Vendor will be issued a Purchase Order to provide the equipment and services as requested.

Certificate of Origin/Title (If Applicable) The Certificate of Origin and/or Title MUST be completed as follows:

North East Transportation

761 Frost Bridge Road

Watertown, CT 06795

Attn: Gabby Guerrera

TECHNICAL SPECIFICATIONS:

Proposed Project MUST meet the minimum specifications below. If present, brand, manufacturer, or product names are indicated in the specifications only for the purpose of establishing identification and a general description of the item(s) sought. Items of equal quality, not bearing such names, may be submitted, provided however, that they meet or exceed the specifications below:

SPECIFICATIONS

Description

PAINTED PAVEMENT MARKINGS

Description: This item shall consist of furnishing and installing painted pavement markings, hot applied painted pavement markings and painted legend, arrows and markings, of the type and color specified at the locations indicated on the plans and in conformity with the plans, these specifications, and as directed by the Engineer.

Painted legend, arrows, and markings includes paint installed with a hand striping machine such as: stop bars, crosswalks, parking stalls, lane arrows, legends, markings within gore areas, and painting of paved islands or medians.

Painted pavement markings and hot applied painted pavement markings include paint installed with a truck-mounted painting machine such as center lines, lane lines and shoulder lines.

The exact location for passing zones will be determined by the Engineer prior to the application of the pavement markings. The Engineer shall be notified a minimum of 2 weeks before the anticipated date of painting, to allow time for the determination of the passing zone locations.

12.09.02—Materials: Materials for this work shall meet the requirements of M.07.20 for waterborne pavement marking paint, M.07.21 for hot-applied waterborne pavement marking paint and M.07.30 for glass beads, Type 1 (smaller beads).

12.09.03—Construction Methods: Pavement areas to be painted shall be dry and sufficiently cleaned of sand and road debris so as to provide an acceptable bond between the paint and the pavement.

Paint shall be applied at a rate of 100 to 115 s.f./gal., with glass beads Type 1 (smaller beads) applied at a rate of 6 lb./gal. of paint for painted pavement markings and painted legend, arrows, and markings, and 8 lb./gal. of paint for hot-applied painted pavement markings.

Hot-applied paint shall be applied at a temperature of 130F to 145F at the spray gun.

All painting shall be performed in a neat and workmanlike manner. The lines shall be sharp and clear with no feathered edging or fogging, and precautions shall be taken to prevent tracking by tires of the striping equipment. Paint shall be applied parallel to the centerline or as shown on the plans with no unsightly deviations.

After application, the paint shall be protected from crossing vehicles for a time at least equivalent to the drying time of the paint.

12.09.04—Method of Measurement: Painted pavement markings and hot-applied pavement markings will be measured for payment by the number of linear feet of paint applied by a truck-mounted painting machine on the pavement and accepted. Painted legend, arrows and markings will be measured for payment by the number of square feet of paint installed with a hand striping machine on the pavement and accepted.

12.09.05—Basis of Payment: This work will be paid for at the Contract unit price per square foot for

"Painted Legend, Arrows and Markings" and per linear foot of paint for "Painted Pavement Markings" and

"Hot-Applied Painted Pavement Markings," of the width and color specified, installed on the pavement and accepted. This price shall include all pre-marking layout, cleaning of pavement, paint, glass beads, application of paint and glass beads, protection during drying and all materials, equipment, tools and labor incidental thereto.

**** The contractor must allow for minor changes to line placement throughout the project. These adjustments will be communicated by North East Transportation’s representative and shall be incorporated without additional cost unless the change substantially increases the quantity of work.

Pricing Page Linear Feet x $

Painted Pavement Markings (width) (color)

Linear Feet x $

Hot-Applied Painted Pavement Markings (width) (color)

Square Feet x $

Painted Legend, Arrows and Markings

Total Cost Project (include all materials, labor)

By execution below Vendor hereby offers to furnish equipment and services as specified in NET’s RFQ for Painted Pavement Markings/Striping including all provisions contained therein. Each Quote will be submitted with the understanding that the acceptance in writing by NET of the offer to furnish the equipment described herein shall constitute a contract between the Vendor and NET, and that shall bind the Vendor to furnish and deliver at the prices given and in accordance with the conditions of the accepted Quote and specifications.

Company Name:

Authorized Signature:

Print Name:

Title:

Date:

REQUIRED INFORMATION

Company Full Legal Name:

Contact Person:

Legal Address:

Legal Telephone Number:

Indicate all other names by which this organization has been know and the lengths of time know by each name. Please attach additional pages as needed.

Company Federal taxpayer identification number

Operating as one of the following forms of legal entity (Check whichever applies and fill in any appropriate blanks):

An individual or sole proprietorship

A general partnership

A limited partnership

A joint venture consisting of:

and

(List all joint venturers on a separate sheet if this space is inadequate.)

A non-profit organization

A corporation organized or incorporated under the laws of the following state or country:

on the following date:

1.

If the organization is a corporation, indicate the following:

Date of incorporation:

State of incorporation:

President’s name:

Vice-President’s name:

Secretary’s name:

2.

Certificate of Incorporation been previously filed with NET (corporation only)

Yes

No

If “NO”, attach a certified copy

3. How many years has this organization been in business under its present business name?

4. How many employees does this organization have?

List below the names, business addresses, telephone numbers and contact person(s) of three Companies, (make your references aware that NET will be calling and that the call should be addressed AS QUICKLY AS POSSIBLE; this may affect your responsibility, Firms or Organizations similar in size to NET for whom you have performed work/services similar to those sought through this Request for Quote.

COMPANY NAME:

AUTHORIZED SIGNATURE:

PRINT NAME:

TITLE:

DATE:

SMALL BUSINESS ENTERPRISE (SBE) Certification

To be eligible for the State of Connecticut's certification a company must meet the legal definition of a small business or that of a minority owned firm: s

SMALL BUSINESS ENTERPRISE (SBE):

BE) is defined as a company who has:

· Been doing business under the same ownership or management and has maintained its principal place of business in Connecticut for at least one year immediately prior to the date of application;

· Gross revenues not exceeding $15,000,000 during its most recent fiscal year; and,

· 51% ownership held by a person(s) who exercises the operational authority over daily affairs of the business and has the power to direct policies and management and receives beneficial interests of the business.

MINORITY BUSINESS ENTERPRISE (MBE):

· A small business (must meet the above-stated SBE criteria) with at least 51% ownership by one or more minority person(s) who exercises operational authority over daily affairs of the business, has the power to direct management and policies, and receives the beneficial interests of the business.

· A minority is a person(s) who is American Indian, Asian, Black, Hispanic, has origins in the Iberian Peninsula, a woman, or an individual with a disability.

· Yes; My Company is certified by the State of Connecticut as a SBE; attach a copy of the SBE Certification.

· No; My Company is not certified by the State of Connecticut as a SBE.

Company Name:

Authorized Signature:

Print Name:

DBE Certification

DISADVANTAGED BUSINESS ENTERPRISE CERTIFICATION

1.

Policy – It is the policy of the Department of Transportation that disadvantaged business enterprises as defined in 49 C.F.R. part 26 shall have the maximum opportunity to participate in the performance or contracts financed in whole or in part with Federal funds under this agreement. Consequently, the DBE requirements of 49 C.F.R. Part 26 applies to this agreement.

1. DBE Obligation – The supplier or contractor agrees to ensure that disadvantaged business enterprises as defined in 49 C.F.R. part 26 have the maximum opportunity to participate in the performance of contracts and subcontracts financed in whole or in part with Federal funds provided under this agreement. In this regard all recipients or contractors shall take necessary and reasonable steps in accordance with 49 C.F.R. Part 26 to ensure that disadvantages business enterprises have the maximum opportunity to compete and perform contracts. Recipients and the their contractors shall not discriminate on the basis of race, creed, color, national origin, age or sex in the award and performance of DOT-assisted contracts.

· Yes; My Company is certified by the State of Connecticut Department of Transportation as a DBE; attach a copy of the DBE Certification.

· No; My Company is not certified by the State of Connecticut Department of Transportation as a DBE.

DBE CERTIFICATION

The contractor hereby acknowledges that NET has established a contract goal of zero-percent (0%) for this project. No further action is required.

Firm Name:

Address:

Authorized by:

Signature:

NET Standard Terms & Conditions

All Contracts issued by NET will bind Sellers to the Terms & Conditions listed below (as applicable)

Acceptance. Commencement of performance by Seller pursuant to this Purchase constitutes acceptance by Seller of these Terms of Purchase. If delivery dates cannot be met, Seller shall inform NET in writing as soon as possible, by return mail, e-mail or facsimile (as circumstances require), of Seller’s best possible alternative delivery dates for NET’s acceptance. Orders not shipped on date specified by NET may be cancelled without obligation on the part of NET. If these conditions are not acceptable, you are to so advise NET upon receipt of Purchase Order and withhold shipments until matter is adjusted.

Deliveries & Times. All materials furnished must be of the exact quality specified or the best of their respective kinds, and will be subject to our inspection, count and approval NET ‘s schedules are based upon the understanding that deliveries of goods and/or services by Seller to NET shall be made by the date specified on the face of the Purchase Order. If deliveries are not made by the time agreed upon, NET reserves the right to cancel any remaining deliveries without liability to NET and to hold the Seller accountable for any costs and/or losses to NET arising there from. Any final inspection shall be on NET ‘s premises or at such other locations as determined by NET at its sole discretion, unless otherwise agreed to in advance in writing by NET. If rejected, materials will be returned to Seller subject to payment of transportation both ways or held for disposition at Sellers risk and expense.

Prices. Seller’s price shall not be higher than last quoted to NET unless otherwise agreed to by NET.

Quantities. Shipments must equal exact amounts ordered unless otherwise agreed upon by NET.

Packing Slip. Itemized packing slips, giving correct Purchase Order number, accompanied by original bill of lading and stating clearly terms of delivery must accompany each shipment.

Invoices and Payments. All invoices and reports must be addressed to Accounts Payable and be sent directly to NET, P.O. Box 4670, Waterbury, CT. 06704. Invoices must be submitted for all materials supplied/work performed in accordance with the Purchase Order. The Purchase Order must be referenced on all Invoices for payment. The Seller shall state the price based on payment terms of net thirty (30) days after confirming delivery or completion of services (as applicable), unless other terms have been agreed to in writing by NET. Statements to NET must be made on a monthly basis or as otherwise agreed upon. NET is exempt from the payment of excise, transportation, and sales taxes imposed by the Federal Government and/or the State. Such taxes must not be included in pricing.

Interest. NET will not pay interest on unpaid or disputed invoices, whether due or overdue.

Assignment. The selected Seller shall not assign, transfer, convey or otherwise dispose of, in whole or part the Purchase Order without the prior written approval of NET, which approval NET may withhold at its sole and absolute discretion. In case any work, materials or equipment which are mentioned, specified or indicated or otherwise provided for in the Purchase Order shall be required to be omitted from the Purchase Order. The Seller shall, upon ten (10) days notice and as mutually agreed upon between Seller & NET, omit the performance of such work and the furnishings of such materials or equipment. The Seller shall deduct from the amount to be paid to the Seller the amount NET and the Seller shall determine and mutually agree to be the reasonable value of such work, materials and equipment, and such determination and agreement shall be final and conclusive upon the Seller. It is understood, however, that the amount of work, materials or equipment required by the Purchase Order shall not, in accordance with the above provisions referring to additions or omissions, be so increased or diminished as to substantially alter the general character or extent of the Purchase Order.

Materials & Warranties. All materials shall comply with requirements of all state and federal laws, and Seller in accepting the Purchase Order agrees to defend and save harmless purchaser from any loss or expense by reason of actual or alleged infringement of any patent. Seller warrants that all goods delivered to NET shall be fit for their particular purpose, and free from defect of material or workmanship, and shall conform strictly to any specifications, drawings or sample specified or furnished. All services supplied by Seller to NET shall be performed in a professional manner and free from error. These warranties shall survive inspection, delivery, acceptance or payment by NET of such goods and/or services.

Suspend Shipments. NET reserves the right to suspend shipments in the event of strikes, differences with workmen, accidents or other contingencies beyond our control.

Compliance with Applicable Law. Seller shall comply with all federal, state and local laws, including without limitation all statutes, rules, regulations, ordinances, proclamations, demands, directives, executive orders, or any other requirements of any municipal, state, federal government and all subdivisions thereof which may hereafter govern the sale, delivery, or performance of the goods and/or services contemplated by the Purchase Order, executive or administrative requirements in furnishing goods and services, including NET ‘s equal employment opportunity and minority business enterprise utilization obligations under its contract with the Federal Transit Administration.

Suspension & Debarment. The Seller certifies, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any State or Federal department or agency.

Indemnification. Seller will indemnify, hold harmless and defend NET & the State of Connecticut, its officers, agents, and employees from all liability for claims, suits, actions, damages, costs, expenses (including reasonable attorneys’ fees) loss or injury to persons or property in any manner arising out of or incident to Seller’s performance hereunder. Seller’s indemnification obligation shall survive Seller’s performance hereunder.

Title & Risk of Loss. Shipments are made prepaid and allowed, and shall include all shipping charges, and any special packing or crating. Seller warrants title to all goods sold and bears the risk of loss or damages to the items purchased under the Purchase Order until delivery conforms with the Purchase Order at the f.o.b. point specified by NET, and upon such conforming delivery, title shall pass. Passing of title shall not constitute acceptance of the items by NET.

Insurance. The Seller agrees that while performing services specified in the Purchase Order he/she shall carry sufficient insurance (liability and/or other) as applicable according to the nature of the service to be performed so as to “save harmless” NET & the State of Connecticut from any insurable cause whatsoever. If requested, certificates of such insurance shall be filed with NET prior to the performance of services.

Advertising. The Seller may not reference sales to NET or the State of Connecticut for advertising and/or promotional purposes without the prior approval of the parties.

Rights. The State has sole and exclusive right and title to all printed material produced for NET and the Seller shall not copyright the printed matter produced under this contract.

Confidentiality and Care of Data. The Seller agrees to protect the confidentiality of any files, data or other material pertaining to this contract and to restrict their use solely for the purpose of performing this contract. The Seller shall take all steps necessary to safeguard data, files, and reports of other information from loss, destruction, or erasure. Any costs or expenses of replacing or damages resulting from the loss of such data shall be borne by the Seller when such loss or damage occurred through its negligence.

Conflicting Terms on Invoice. If terms of the Purchase Order do not appear on or agree with Seller’s invoice as rendered, Seller agrees that NET may make such changes to such invoice to conform the same to the Purchase Order and make payment accordingly.

Conflicts Generally. These Standard Terms & Conditions shall govern in the event of any conflict with any term or condition of Seller’s estimate or any other documentation of Seller and are not subject to change by reason of any written or verbal statements of Seller, or by any terms stated in any documentation of Seller, unless the same be accepted by NET in writing.

Costs of Enforcement. If NET is required to take legal action, including, but not limited to litigation, to enforce these Terms of Purchase, NET shall recover its reasonable attorney fees, collection fees and court costs incurred in any such action.

Termination. NET may terminate this contract whenever it is determined (at NET ‘s sole discretion) that such termination is in the best interests of NET and/or the State of Connecticut. Any such termination shall be effected by delivery to the Seller of a verbal and/or written notice of termination. The notice of termination shall be sent by registered mail to the Seller address furnished to NET for purposes of correspondence or by hand delivery. Upon receipt of such notice, the Seller shall both immediately discontinue all services affected (unless the notice directs otherwise) and deliver to NET all data, drawings, specifications, reports, estimates, summaries, and such other information and materials as may have been accumulated by the Seller in performing his/her duties under this contract, whether completed or in progress. All such documents, information, and materials shall become the property of the State of Connecticut. In the event of such termination, the Seller shall be entitled to reasonable compensation as determined by NET however; no compensation for lost profits shall be allowed.

Entire Agreement. The terms and provisions herein contained constitute the entire Agreement between the parties and shall supercede all previous communications, representations or agreements, either oral or written, between the parties hereto with respect to the subject matter hereof; and no agreement or understanding varying or extending the same shall be binding upon either party hereto unless in writing signed by both parties hereto; and nothing contained in the terms or provisions of this Agreement shall be construed as waiving any of the rights of the State under the laws of the State of Connecticut. Nothing contained in this Agreement shall be construed as an Agreement by the State to directly obligate the State to creditors or employees of the Second Party. The only exception to this would be any formal contracts entered into; language contained in the formal contract would be final and binding.

Executive Orders. This Agreement is subject to the provisions of Executive Order No 7C of Governor M. Jodi Rell, promulgated July 13, 2006, concerning contracting reforms and Executive Order No. 14 promulgated April 17, 2006, concerning the utilization of environmentally and health-friendly cleaning and/or sanitizing products when practicable. Executive Order No. Three of Governor Thomas J. Meskill, promulgated June 16, 1971, concerning labor employment practices, Executive Order No. Seventeen of Governor Thomas J. Meskill, promulgated February 15, 1973, concerning the listing of employment openings, and Executive Order No. Sixteen of Governor John G Rowland promulgated August 4, 1999, concerning violence in the workplace, all of which are incorporated into and are made a part of this agreement as if they had been fully set forth in it. For complete text of said documents, please go to: http://www.das.state.ct.us/Purchase/Info/Executive_Orders.pdf Environmental Law Compliance. The Second party shall be responsible to comply with all federal and state environmental laws and regulations pertaining to the operation of transit motor buses and/or facilities managed by the Second Party, including but not limited to, pollutants emissions control, storage and/or disposal of waste, fluids, fuels, oil, and chemicals in general. The Second Party shall be responsible to comply with OSHA regulations. The Second Party will hold the State and NET harmless of any lawsuits and/or fines with respect to any environmental and/or OSHA regulations violations.

Publication of Reports. The ownership of all data and material collected under this Agreement shall be vested in the Second Party and the State/NET. All reports shall be submitted to NET for review prior to publication. The following statement should appear on the cover or title page of any published report prepared under the terms of this Agreement: “Prepared in cooperation with the U.S. Department of Transportation (including its participating agencies), Connecticut Department of Transportation And NET. The opinions, findings and conclusions expressed in this publication are those of the Second Party and do not necessarily reflect the official views or policies of the NET, Connecticut Department of Transportation and/or the U.S. Department of Transportation.”

Jurisdiction and Forum Language. This Agreement shall be governed, interpreted and construed under and in accordance with the laws of the State of Connecticut, whether or not its conflict of laws principles would dictate otherwise. This Agreement shall be deemed to have been made in Hartford, Connecticut. The Second Party irrevocably consents with respect to any claims or remedies at law or in equity, arising out of or in connection with this Agreement to the jurisdiction of the Connecticut Superior Court (except as otherwise required by law or that Agreement), and, with respect to any claim between the Parties, to venue in Judicial District of Hartford-New Britain at Hartford or the United States Federal Court, District of Connecticut, and irrevocably waives any objections that it may have to such jurisdiction on the grounds of lack of personal jurisdiction of such court or the laying of venue of such court or on the basis of forum non conveniens or otherwise. Nothing herein shall be construed to waive any of the States or NET’s immunities.

Litigation. The Second Party agrees that the sole and exclusive means for the presentation of any claim against the State arising from or in connection with this Agreement shall be in accordance with Chapter 53 of the Connecticut General Statutes (Claims against the State) and the Second Party further agrees not to initiate legal proceedings in any State or Federal Court in addition to, or in lieu of, said Chapter 53 proceedings.

Freedom of Information Act. The State is entitled to receive a copy of records and files related to the performance of the Second Party under this Agreement, and such records and files shall be subject to the Freedom of Information Act and may be disclosed by the Sate pursuant to the Freedom of Information Act. No request to inspect or copy such records or files shall be valid unless the request is made to the State in accordance with the Freedom of Information Act. Any complaint by a person who is denied the right to inspect or copy such records or files shall be brought to the Freedom of Information Commission in accordance with the provisions of Sections 1-205 and 1-206 of the Connecticut General Statutes.

Policy on Disadvantaged Business Enterprise Program. The Connecticut Department of Transportation (ConnDOT) is committed to the effective implementation of the Disadvantaged Business Enterprise (DBE) Program as defined in Title 49, Code of Federal Regulations (CFR) Part 26. This program will be executed in accordance with the regulations of the United States Department of Transportation (DOT) as a condition of receiving DOT funding.

FEDERAL REQUIRED CLAUSES

ENERGY CONSERVATION REQUIREMENTS

42 U.S.C. 6321 et seq.

49 CFR Part 18

Applicability to Contracts The Energy Conservation requirements are applicable to all contracts.

Flow Down The Energy Conservation requirements extend to all third party contractors and their contracts at every tier and subrecipients and their subagreements at every tier.

Energy Conservation - The 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.

ACCESS TO RECORDS AND REPORTS

49 U.S.C. 5325 18 CFR 18.36 (i)

49 CFR 633.17

Applicability to Contracts Reference Chart "Requirements for Access to Records and Reports by Type of Contracts"

Flow Down FTA does not require the inclusion of these requirements in subcontracts.

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 agrees, 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 programs described at 49 U.S.C. 5307, 5309 or 5311.

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 agrees to 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 at 49 U.S.C. 5307, 5309 or 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 negotiated 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 Contractor shall 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 performance of 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 18.39(i)(11).

7. FTA does not require the inclusion of these requirements in subcontracts.

Requirements for Access to Records and Reports by Types of Contract

PRIVATE

Contract Characteristics

I State Grantees

a. Contracts below SAT ($100,000)

b. Contracts above $100,000/Capital Projects

None

None unless1 non-competitive award

Those imposed on state pass thru to Contractor

Yes, if non-competitive award or if funded thru2 5307/5309/5311

None unless non-competitive award

II Non State Grantees

a. Contracts below SAT ($100,000)

b. Contracts above $100,000/Capital Projects

Yes3

Yes3 Those imposed on non-state Grantee pass thru to Contractor

Sources of Authority:

1 49 USC 5325 (a)

2 49 CFR 633.17

3 18 CFR 18.36 (i)

FEDERAL CHANGES

49 CFR Part 18

Applicability to Contracts The Federal Changes requirement applies to all contracts.

Flow Down The Federal Changes requirement flows down appropriately to each applicable changed requirement.

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 Master Agreement 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.

RECYCLED PRODUCTS

42 U.S.C. 6962 40 CFR Part 247 Executive Order 12873

Applicability to Contracts The Recycled Products requirements apply to all contracts for items designated by the EPA, when the purchaser or contractor procures $10,000 or more of one of these items during the fiscal year, or has procured $10,000 or more of such items in the previous fiscal year, using Federal funds. New requirements for "recovered materials" will become effective May 1, 1996. These new regulations apply to all procurement actions involving items designated by the EPA, where the procuring agency purchases $10,000 or more of one of these items in a fiscal year, or when the cost of such items purchased during the previous fiscal year was $10,000.

Flow Down These requirements flow down to all to all contractor and subcontractor tiers.

Recovered Materials - The contractor agrees to comply with all the requirements of Section 6002 of the Resource Conservation and Recovery Act (RCRA), as amended (42 U.S.C. 6962), including but not limited to the regulatory provisions of 40 CFR Part 247, and Executive Order 12873, as they apply to the procurement of the items designated in Subpart B of 40 CFR Part 247.

NO GOVERNMENT OBLIGATION TO THIRD PARTIES

Applicability to Contracts Applicable to all contracts.

Flow Down Not required by statute or regulation for either primary contractors or subcontractors, this concept should flow down to all levels to clarify, to all parties to the contract, that the Federal Government does not have contractual liability to third parties, absent specific written consent.

No Obligation by the Federal Government.

(1) The Purchaser and Contractor acknowledge and agree that, notwithstanding any concurrence by the Federal Government in or approval of the solicitation or award of the underlying contract, absent the express written consent 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 the Purchaser, Contractor, or any other party (whether or not a party to that contract) pertaining to any matter resulting from the underlying contract.

(2) 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.

PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMENTS AND RELATED ACTS

31 U.S.C. 3801 et seq.

49 CFR Part 31 18 U.S.C. 1001 49 U.S.C. 5307

Applicability to Contracts These requirements are applicable to all contracts.

Flow Down These requirements flow down to contractors and subcontractors who make, present, or submit covered claims and statements.

Program Fraud and False or Fraudulent Statements or Related Acts.

(1) The Contractor acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. § 3801 et seq. 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.

(2) 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.

(3) 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.

TERMINATION

49 U.S.C. Part 18 FTA Circular 4220.1E

Applicability to Contracts All contracts (with the exception of contracts with nonprofit organizations and institutions of higher education,) in excess of $10,000 shall contain suitable provisions for termination by the grantee including the manner by which it will be effected and the basis for settlement. (For contracts with nonprofit organizations and institutions of higher education the threshold is $100,000.) In addition, such contracts shall describe conditions under which the contract may be terminated for default as well as conditions where the contract may be terminated because of circumstances beyond the control of the contractor.

Flow Down The termination requirements flow down to all contracts in excess of $10,000, with the exception of contracts with nonprofit organizations and institutions of higher learning.

a. Termination for Convenience NET may terminate this contract, in whole or in part, at any time by written notice to the Contractor when it is in the Government's best interest. The Contractor shall be paid its costs, including contract close-out costs, and profit on work performed up to the time of termination. The Contractor shall promptly submit its termination claim to NET to be paid the Contractor. If the Contractor has any property in its possession belonging to NET, the Contractor will account for the same, and dispose of it in the manner NET 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, NET 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 accordance with the manner of performance set forth in the contract.

If it is later determined by NET 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 are beyond the control of the Contractor, NET, 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. Opportunity to Cure NET in its sole discretion may, in the case of a termination for breach or default, allow the Contractor [an appropriately short period of time] in which to cure the defect. In such case, the notice of termination will state the time period in which cure is permitted and other appropriate conditions

If Contractor fails to remedy to NET’s satisfaction the breach or default of any of the terms, covenants, or conditions of this Contract within [ten (10) days] after receipt by Contractor of written notice from NET setting forth the nature of said breach or default, NET shall have the right to terminate the Contract without any further obligation to Contractor. Any such termination for default shall not in any way operate to preclude NET from also pursuing all available remedies against Contractor and its sureties for said breach or default.

d. Waiver of Remedies for any Breach In the event that NET elects to waive its remedies for any breach by Contractor of any covenant, term or condition of this Contract, such waiver by NET shall not limit NET’s remedies for any succeeding breach of that or of any other term, covenant, or condition of this Contract.

f. Termination for Default If the Contractor fails to deliver supplies or to perform the services within the time specified in this contract or any extension or if the Contractor fails to comply with any other provisions of this contract, NET may terminate this contract for default. NET shall terminate by delivering to the Contractor a Notice of Termination specifying the nature of the default. The Contractor will only be paid the contract price for supplies delivered and accepted, or services performed in accordance with the manner or performance set forth in this contract.

If, after termination for failure to fulfill contract obligations, it is determined that the Contractor was not in default, the rights and obligations of the parties shall be the same as if the termination had been issued for the convenience of the NET.

GOVERNMENT-WIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT)

Background and Applicability

In conjunction with the Office of Management and Budget and other affected Federal agencies, DOT published an update to 49 CFR Part 29 on November 26, 2003. This government-wide regulation implements Executive Order 12549, Debarment and Suspension, Executive Order 12689, Debarment and Suspension, and 31 U.S.C. 6101 note (Section 2455, Public Law 103-355, 108 Stat. 3327).

The provisions of Part 29 apply to all grantee contracts and subcontracts at any level expected to equal or exceed $25,000 as well as any contract or subcontract (at any level) for Federally required auditing services. 49 CFR 29.220(b). This represents a change from prior practice in that the dollar threshold for application of these rules has been lowered from $100,000 to $25,000. These are contracts and subcontracts referred to in the regulation as “covered transactions.”

Grantees, contractors, and subcontractors (at any level) that enter into covered transactions are required to verify that the entity (as well as its principals and affiliates) they propose to contract or subcontract with is not excluded or disqualified. They do this by (a) Checking the Excluded Parties List System, (b) Collecting a certification from that person, or (c) Adding a clause or condition to the contract or subcontract. This represents a change from prior practice in that certification is still acceptable but is no longer required. 49 CFR 29.300.

Grantees, contractors, and subcontractors who enter into covered transactions also must require the entities they contract with to comply with 49 CFR 29, subpart C and include this requirement in their own subsequent covered transactions (i.e., the requirement flows down to subcontracts at all levels).

Suspension and Debarment

This contract is a covered transaction for purposes of 49 CFR Part 29. As such, the contractor is required to verify that none of the contractor, its principals, as defined at 49 CFR 29.995, or affiliates, as defined at 49 CFR 29.905, are excluded or disqualified as defined at 49 CFR 29.940 and 29.945.

The contractor is required to comply with 49 CFR 29, Subpart C and must include the requirement to comply with 49 CFR 29, Subpart C in any lower tier covered transaction it enters into.

By signing and submitting its bid or proposal, the bidder or proposer certifies as follows:

The certification in this clause is a material representation of fact relied upon by NET. If it is later determined that the bidder or proposer knowingly rendered an erroneous certification, in addition to remedies available to NET, the Federal Government may pursue available remedies, including but not limited to suspension and/or debarment. The bidder or proposer agrees to comply with the requirements of 49 CFR 29, Subpart C while this offer is valid and throughout the period of any contract that may arise from this offer. The bidder or proposer further agrees to include a provision requiring such compliance in its lower tier covered transactions.

CIVIL RIGHTS REQUIREMENTS

29 U.S.C. § 623, 42 U.S.C. § 2000 42 U.S.C. § 6102, 42 U.S.C. § 12112 42 U.S.C. § 12132, 49 U.S.C. § 5332 29 CFR Part 1630, 41 CFR Parts 60 et seq.

Applicability to Contracts The Civil Rights Requirements apply to all contracts.

Flow Down The Civil Rights requirements flow down to all third party contractors and their contracts at every tier.

Civil Rights - The following requirements apply to the underlying contract:

(1) 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 against any employee or applicant for employment because of race, color, creed, national origin, sex, age, or disability. In addition, the Contractor agrees to comply with applicable Federal implementing regulations and other implementing requirements FTA may issue.

(2) Equal Employment Opportunity - The following equal employment opportunity requirements apply to the underlying contract:

(a) 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 seq., (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.

(b) 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.