april 7, 2020 · enhancements to the short -term strategies to utilize the i -77 express lanes to...

REQUEST FOR QUALIFICATIONS

Engineering Services for the CATS North Corridor Bus Rapid Transit (BRT) Plan

RFQ# 2020-466

Date Issued:

April 7, 2020

RFQ 2020-466 – Engineering Services for CATS North Corridor Bus Rapid Transit (BRT) Plan 2

TABLE OF CONTENTS

1 REQUEST FOR QUALIFICATIONS (RFQ) INSTRUCTIONS .................................................................................... 3

1.1 PUBLIC NOTICE ................................................................................................................................................ 3 1.2 PROJECT BACKGROUND, DESCRIPTION AND SCOPE ....................................................................................... 3 1.3 RFQ SCHEDULE OF EVENTS AND SOQ SUBMISSION .............................................................................................. 11 1.4 EVALUATION CRITERIA AND PROCESS .................................................................................................................. 12 1.5 SOQ FORMAT................................................................................................................................................ 12 1.6 SOQ CONTENT .............................................................................................................................................. 13

2 REPRESENTATIONS, CONDITIONS, AND OTHER REQUIREMENTS................................................................... 16

2.1 COMMUNICATIONS ......................................................................................................................................... 16 2.2 DUTIES AND OBLIGATIONS OF FIRMS IN THE RFQ PROCESS ..................................................................................... 16 2.3 ADDENDA...................................................................................................................................................... 16 2.4 NO COLLUSION, BRIBERY, LOBBYING OR CONFLICT OF INTEREST .............................................................................. 16 2.5 PUBLIC RECORDS ............................................................................................................................................ 16 2.6 COST OF SOQ PREPARATION ............................................................................................................................ 17 2.7 ADVERTISING ................................................................................................................................................. 17 2.8 VENDOR REGISTRATION WITH CITY OF CHARLOTTE ................................................................................................ 17 2.9 REGISTRATION WITH SECRETARY OF STATE FOR NORTH CAROLINA; LICENSED ENGINEERS/ARCHITECTS ........................... 17 2.10 FINANCIAL CAPACITY; INSURANCE REQUIREMENTS ................................................................................................ 18 2.11 OWNERSHIP OF WORK PRODUCTS ..................................................................................................................... 18 2.12 CITY RIGHTS AND RESERVATIONS ....................................................................................................................... 18 2.13 CONTRACT .................................................................................................................................................... 18 2.14 EQUAL OPPORTUNITY ...................................................................................................................................... 18 2.15 E-VERIFY CERTIFICATION .................................................................................................................................. 19 2.16 FAMILIARITY AND COMPLIANCE WITH LAWS AND ORDINANCES ................................................................................ 19 2.17 INSURANCE REQUIREMENTS .............................................................................................................................. 19 2.18 BACKGROUND CHECKS ..................................................................................................................................... 20 2.19 NORTH CAROLINA PROHIBITION ON CONTRACTS WITH COMPANIES THAT INVEST IN IRAN OR BOYCOTT ISRAEL ................. 20 2.20 PROTEST PROCEDURES ..................................................................................................................................... 20

3 FTA CONTRACTING REQUIREMENTS ............................................................................................................. 22

FORM 1 – EXECUTION OF SOQ ............................................................................................................................. 41

FORM 2 – COMMERCIAL NON-DISCRIMINATION CERTIFICATION ........................................................................ 42

FORM 3 – VENDOR DEBARMENT CERTIFICATION ................................................................................................. 43

FORM 4 – BYRD ANTI-LOBBYING CERTIFICATION ................................................................................................. 44

FORM 5 – KEY TEAM MEMBER MATRIX ............................................................................................................... 45

FORM A - LIST OF SUBCONTRACTORS

FORM C - EVIDENCE OF GOOD FAITH EFFORT

FORM D - LETTER OF INTENT

City of Charlotte Section 1 General Services Department RFQ INSTRUCTIONS


REQUEST FOR QUALIFICATIONS (RFQ) INSTRUCTIONS 1.1 Public Notice

The City of Charlotte (City) is soliciting Statements of Qualifications (SOQs) from firms/teams (Firms) to provide planning and engineering services for Charlotte Area Transit System’s North Corridor Bus Rapid Transit (BRT) Plan. The team shall consist of engineers, urban planners (land use, transportation), bus operations and urban designers. The City reserves the right to enter into one or more contracts with any firm selected under this RFQ process. Information related to this solicitation, including any addenda, will be posted to the City’s website at http://epmcontracts.charmeck.org. For questions related to this solicitation contact:

Johnella Walker, Assistant Contracts Manager City of Charlotte Department of General Services - City Procurement 531 Spratt Street, Charlotte, NC 28206 Direct Phone: 704-321-5567

Email: [email protected] 1.2 Project Background, Description and Scope

A. Project Background In November 2017, Charlotte Area Transit staff began a LYNX System Update Study. The primary purpose of the LYNX System Update was to provide the necessary transportation and land use analysis to facilitate the Metropolitan Transit Commission’s (MTC) selection of transit technologies and alignments for Locally Preferred Alternatives (LPA) in the North as well as the West Corridors, inclusive of connections in Center City Charlotte. A similar effort was completed for the Southeast Corridor in November 2016 with the MTC adopting the recommendation for the LYNX Silver Line light rail alignment into the 2030 Transit System Plan.

Identifying rapid transit projects that can move forward in both the North and West Corridors supported the vision for the overall CATS system to establish a network of fixed guideway transit services in major corridors. Several alternatives were explored for alignments through Center City and toward the north into Iredell County, with the goal of completing a rapid transit service along the North Corridor by the year 2030.

Since 2002, the LYNX Red Line Commuter Rail was the current North Corridor LPA. However, until Norfolk Southern’s passenger rail policy changes, there is no means to implement this project. In order to meet the public’s desire for rapid transit service and increased mobility now, a phased approach to service enhancements is recommended. The Metropolitan Transit Commission adopted the following recommendations on February 27, 2019:

http://epmcontracts.charmeck.org/

mailto:[email protected]



B. Project Description The recommendation for North Corridor Bus Rapid Transit (BRT) provides further enhancements to the short-term strategies to utilize the I-77 express lanes to improve reliability and passenger experience. The North Corridor BRT option is defined by opportunities to utilize the express lanes for significant transit mobility enhancements that are complementary to longer-term investments. The following improvements would be implemented as part of this phase of the project recommendations:

• All day service including nights and weekends; • Four new park and rides and two new express lane direct connects; and • Integrated BRT stations into mixed use developments that also incorporate emerging mobility technologies for first/last mile connections.

[The Project Description continues on the next page.]



The I-77 BRT alterative extends along I-77 from I-277 (Exit 11) to Langtree Road (Exit 31), and potentially beyond to Exit 36 (NC 150). The following conceptual station locations and related infrastructure elements are included in the I-77 BRT alternative (with color-coding to the map below):

Map 1. I-77 BRT Corridor Alignment



C. SCOPE

Below is the scope for this phase of the project. However, CATS may request the consultant to do additional tasks relating to planning, design, and engineering in future phases. The scope of services for this phase will include the following:

1) Project Management and Coordination:

• City and County Project Teams Regular meetings will be held with the Advisory Team and Project Management Team (PMT) to provide project updates, review study findings and deliverables, and receive important input during the planning process. Advisory team meetings will be held at the Charlotte-Mecklenburg Government Center or other specified locations approximately once per quarter or as needed. The PMT consists of CATS Project Management staff and other key representatives from other affected City and County departments, and stakeholder municipalities. The specific membership roster will be determined by representatives from each organization. Generally, a minimum of two consultant team members will participate in each PMT meeting. However, specific consultant team participation will be determined based on the discussion topics for each meeting. The same strategy applies to PMT members and agenda items for meetings. PMT members will also be required to serve on the consultant selection team. • Consultant Project Management Plan The Consultant will develop a Project Management Plan (Consultant PMP) that will apply to the activities of all Consultant team members on the Project. The Consultant PMP will contain the following: o City and Consultant team organization and contact information o Project communication protocols o Project Controls Plan o Document Management protocols o Budget o Project Schedule o Quality Assurance / Quality Control Plan • Project Kick-off Meeting The Consultant will assist the PMT with the planning and implementation of a project kick-off meeting The Consultant will jointly plan the agenda and meeting logistics with the City. • Project Management Team (PMT) Meetings The Consultant will attend regularly scheduled meetings with the PMT to review progress and plan upcoming activities. CATS staff will schedule, arrange logistics and conduct the meetings. The Consultant will plan the agenda, provide meeting materials and document the meeting via meeting minutes, and action logs of on-going issues, within 3 working days of the meeting date. Meeting minutes prepared by the consultant are subject to review and approval by CATS.



• Advisory Team Meetings The Consultant will attend Advisory Team meetings with City staff to be held quarterly and/or at major project milestones. CATS staff will schedule, plan the agenda, arrange logistics, conduct and document the meetings. The Consultant will attend and provide meeting materials as requested. • Progress Report & Invoice The Consultant will prepare a monthly progress report and invoice. • E-Builder Set-Up and Support The Consultant will use the City’s web-based project control system, e-Builder, for document management, meeting minutes, submission, review and disposition of all deliverables, design reviews, invoice processing and other processes as determined by the City and/or the Consultant. The City will provide the Consultant licenses for all Consultant team members. The CATS Project Manager will coordinate training sessions for the Consultant team and PMT. • GIS Support for Planning and Engineering The Consultant will provide support for the GIS mapping requirements of the planning and preliminary engineering activities on the Project, including data conversion, digital mapping, spatial analysis, spatial database design, and cartographic support. 2) Public Outreach

• Public Involvement During the course of the study, the Project Team and the Consultant will conduct a number of public meetings to present information to the general public, as well as to receive input. The Consultant shall assist CATS community relations staff in preparing for these meetings, presenting technical information (when requested), and documenting the meetings. Additionally, the Consultant staff will assist with coordinating outreach and messaging with other interrelated initiatives (e.g., Charlotte UDO, TOD Plan). The Consultant will attend a wide range of public meetings, including public open houses, station/station area planning meetings, meetings of the MTC, Charlotte Regional Transportation Planning Organization (CRTPO), meetings with the Towns of Mooresville, Davidson, Cornelius, and Huntersville. The Consultant may be required to attend and participate in additional meetings with city, county, or agency staff. • Website Content CATS current website (www.ridetransit.org) will be used throughout the project duration. CATS will develop and maintain this website for the North Corridor BRT project as a supplemental means to inform the public and to receive public input. Newsletters and other public information materials will be presented on the website. The Consultant will also generate additional interactive surveys, maps, questionnaires, virtual open house documentation, and other public involvement efforts under this task including the incorporation of social media. Additional agencies with electronic media platforms to inform the public about the project will



include the websites and social media platforms of the Towns of Mooresville, Davidson, Cornelius, and Huntersville, and CRTPO. CATS will have final editorial review of all digital, print and social media content related to the project.

3) Alternative Analysis Planning

• Peer Review Create a summary of other BRT networks throughout the country that have similar context, including lessons learned, issues, and obstacles these projects faced.

• Station Location and Mobility Hub (Park and Ride) Evaluation Review and evaluate the initial station location alternatives and mobility hub (park and ride) locations based on urban design (e.g. access, walkability, etc.), development and market characteristics. Analyze the effectiveness of each station, including whether potential locations are feasible.

Key components of this task include:

• Conduct a comparative analysis of alternative station locations and/or select alignment alternatives. • Quantify the development/market potential of potential alternatives • Create a final set of stations and mobility hubs moving forward to design.

• Conceptual Design Submittals The Consultant shall develop a conceptual design submittal which will include engineering drawings, cost estimates, calculations, reports, specifications and other customary work products, appropriate to the particular milestone submittal. The Consultant shall build-on existing work done during the North Corridor BRT Planning phase, to develop conceptual drawings. The Consultant shall follow all CATS processes for managing the disposition of comments at Milestone submittals.

Design will focus on the four new park and rides and two new express lane direct connects and the integrated BRT stations into mixed use developments that also incorporate emerging mobility technologies. This phase will also look at the study of expansion of the existing park and rides.

• Center City Integration Review the plan for the circulation of buses in Center City Charlotte. Refine and update a strategy for uptown bus routing, including the potential of bus priority lanes

• Station Area Planning Conduct and establish corridor-wide station area planning to ensure the implementation of appropriate future land use polices, zoning and infrastructure investment that will support the regional commitment for transit investment in the North Corridor BRT project area.




• Response to city/town land use planning inquiries • Identify joint development opportunities related to potential CATS station development (e.g. parking lots/facilities) • Identification of critical infrastructure investment necessary for station area

development (e.g. transportation, open space, water/sewer, etc.) • Establish Future land use designation and station area boundaries based on

city/town land use categories. • Identify recommended zoning based on existing and/or proposed city/town zoning

districts. • Project Renderings The Consultant will prepare renderings and visualizations of project elements as directed by the City, for use in public involvement activities and general coordination. This will include illustrative urban design/development plans and 3D modeling/visualizations for up to (5) station areas and park and rides. The Consultant will prepare all renderings for review and acceptance by Project Team staff. • Refine Capital Cost Estimation The Consultant will prepare an update of the conceptual construction cost estimate and draft of the preliminary right of way and easement area tabulation using standard cost categories, submit them to the City for review, and address comments received. 4) Implementation Strategy

The Consultant will create an implementation Strategy that will define the action steps and strategies necessary for proactive implementation of North Corridor BRT Project, both as a whole and implementation of portions of the project through different funding sources and programs.


• Explore potential funding sources and partners including STI 6.0, USDOT BUILD program, FTA Small Starts program, and other state and federal funding and financing opportunities.

• Identification and assessment of funded and planned capital projects in station areas.

• Preliminary order of magnitude project feasibility, studying the benefits of developing a corridor-wide implementation program vs. implementing the project in phases, and creating a sequencing of priority projects.



• An assessment of currently used regulatory tools and possible development of model code/design guidelines.

• Identification and assessment of potential corridor land banking strategy for right-of-way preservation and future development opportunities.

• Identify the corridor’s potential for value capture and/or infrastructure financing strategies (corridor-wide and/or station specific).

5) Operations Planning

The Consultant will develop an Operations Plan for the Project considering CATS operating standards and projected ridership from the travel demand forecast provided by the City. The Consultant will prepare a draft of the Operations Plans, consisting of the following elements: • Operating headways • Travel time calculations, including model simulations • Hours of operation • Vehicle requirements • Modifications to existing bus routes serving station areas • Bus Integration Plan; including iCATS and the Village Rider

• Operations & Maintenance Cost Estimation The Consultant will prepare an Operations & Maintenance (O&M) Cost Methodology Report and develop an O&M Cost Estimating Model for the service. The Consultant will review CATS transit operating and maintenance cost and budget data and staffing plans provided by the City as well as similar data from other transit agencies. The methodology will allow calculation of O&M cost estimates as a function of the service levels required to operate and maintain each alternate under consideration.

6) Coordination with other Plans and Studies

The project scope also includes coordinating, reviewing and responding with all other upcoming and ongoing projects in the corridor associated with the Towns, NCDOT, CATS and the Charlotte Mecklenburg Planning, Design and Development Department including: • Charlotte Gateway Station • I-77 Mobility Partners • Various Road Projects at the City, Town and State level • I-77 Statesville to Rock Hill Study • Charlotte Future 2040 Comprehensive Plan • Comprehensive Plans of Huntersville, Cornelius, Davidson and Mooresville



PROJECT SCHEDULE The project is anticipated to begin in June 2020 with a completion target of June 2021.

1.3 RFQ Schedule of Events and SOQ Submission Provided below is the anticipated schedule of events. The City reserves the right to adjust the schedule and to add/remove specific events to meet the unique needs of this Project.

Advertisement of RFQ: Tuesday, April 7, 2020 Pre-Submittal Meeting: Thursday, April 16, 2020 at 2 pm

As a precautionary measure due to COVID-19 and understanding that some businesses have chosen to suspend employee travel, a video conferencing line has been set up for vendors to attend the Pre-Submittal Meeting. No onsite meeting will be held, and Vendors should not come to the City expecting to attend in person. Specific instructions for attendees are provided below. *

Deadline for Questions: Friday, April 24, 2020 5 pm DUE DATE & TIME FOR PROPOSALS: May 8, 2020 2 pm Evaluation Meeting: Thursday, May 14, 2020

Interviews (if necessary): Week of May 18-22 or May 25-29; depending on if needed and travel situation/virtual interview ability

Selection Announcement: May 14, 2020 or day of Interviews *Specific Pre-submittal WebEx Instructions:

Be sure to download the WebEx software and/or run temporarily (and test, if necessary), prior the pre-submittal meeting, to be sure if works on your computer system. Be sure to check the solicitation website for addenda before the pre-submittal meeting and up until the submittal deadline. Go to the link below and join the meeting on the date and time designated: https://charlotte.webex.com/charlotte/j.php?MTID=m2bab595df42316df90321646723c4774 Meeting number: 470 655 156

Attendance at the pre-submittal meeting is not mandatory, but is highly recommended.

SOQs shall be enclosed in a sealed envelope or package, addressed to the City of Charlotte. The name and address of the firm, the RFQ number and RFQ Title, shall be placed on the outside of the package. All items required for a responsive SOQ shall be included. It is the sole responsibility of the firm to ensure that the SOQ package is received no later than the established due date and

https://charlotte.webex.com/charlotte/j.php?MTID=m2bab595df42316df90321646723c4774



time at the proper location. Courier, express delivery or mail delivery is encouraged. SOQs received after the due date and time will not be considered. SOQs submitted by facsimile or other electronic means will not be accepted. Submit/Deliver to: City of Charlotte

Department of General Services - City Procurement 531 Spratt Street Charlotte, NC 28206 Attn: Johnella Walker, Assistant Contracts Manager

1.4 Evaluation Criteria and Process Firms will not be considered unless the following minimum qualifications are met:

• Firm must be properly registered with the Office of the Secretary of State of North Carolina (if applicable); and

• Firm must be licensed by the North Carolina Board of Examiners for Engineers & Surveyors.

Evaluation criteria are listed below in descending order of importance: • Qualifications and recent relevant experience of firm and key team members in providing

similar services for similar projects; • Project understanding, methodology, approach and work plan; • Qualifications and experience of firm and key team members in providing similar services

for projects requiring public engagement-related tasks; and • Availability of the firm and key team members for this project.

The City will appoint an evaluation committee whose responsibilities will include performing technical evaluations of each SOQ and making selection recommendations based on the evaluation criteria provided above. Evaluations will focus on identifying the relative strengths, weaknesses, deficiencies, and risks associated with each SOQ. Informal interviews are anticipated but may be waived at the discretion of the evaluation committee. The City reserves the right to obtain clarification or additional information from any firm regarding its SOQ. The City reserves the sole right to select the most qualified consultant(s) on the basis of best overall SOQ(s) that is most advantageous for the Project. Firms that submit SOQs will be notified of the selection results. Final approval of any selected firm is subject to the approval of City Council and/or City officials.

1.5 SOQ Format Each SOQ package should consist of a cover letter, responses to the specific inquiries in Section 1.6 below, and a set of completed Forms 1 through 5, and Forms A, C and D. Consultants must submit one (1) bound original and ten (10) bound copies of the SOQ packages, including all required forms and one (1) CD or flash drive containing a digital copy of the complete SOQ package in PDF format.



SOQs are limited to a maximum of 10 numbered, printed pages (5 pages printed double-sided, 10 pages printed single-sided, or a combination not exceeding 10 pages of print), excluding the cover letter, required forms, resumes, covers, sub-tabs and dividers. SOQs should be printed on 8-1/2” x 11” paper; however, pages with organizational charts, matrices, or diagrams may be printed on larger sheets. Type size should be no smaller than 11 points for narrative sections, but may be reduced for captions, footnotes, etc., while maintaining legibility. Cover letters, required forms, resumes, covers, sub-tabs and dividers do not count toward the page limit. Non-conforming submissions may be removed from consideration at the sole discretion of the City. Please submit packages comprised of materials that are easily recyclable or reusable at the conclusion of the evaluation process.

1.6 SOQ Content SOQ packages shall be arranged as follows:

Cover Letter: General Information A. Briefly describe your interest in the Project and the unique advantage your firm brings. B. State any conflicts of interest your firm or any key team member may have with this

Project. C. Identify and describe any pending claims, disputes, and/or litigation and any that

occurred within the past five (5) years involving your firm or any of your proposed subconsultants. With respect to resolved matters, describe the outcome.

D. Provide a description of the company that will enter into the contract(s) with the City,

including origin, background, current size, financial capacity, available resources, general organization, and company headquarters. Identify the name and title of the person authorized to enter into the contract(s) with the City. Provide a copy of the registration with the North Carolina Secretary of State and the applicable licensing board.

E. List exceptions to the City’s standard contract terms and conditions. A sample contract is

provided on the solicitation’s website.

Tab 1: Qualifications and Recent Relevant Experience of Firm and Key Team Members in Providing Similar Services for Similar Projects

A. List a maximum of three (3) recent, relevant, similar projects, either currently in progress

or having been completed in the past ten (10) years, containing work comparable to this specific Project, including any projects with the City, as follows:

• List only projects involving the key team members or subcontractors proposed for

this Project. • List projects in date order with newest projects listed first and include the following:

o Brief project description;



o Owner’s representative having knowledge of the firm’s work, include the contact name, phone, email, address;

o Contract dollar amount and total time period involved; and o Discuss the methods, approach and controls used on the project in order to

complete it in an effective, timely, economical and professional manner. B. Provide an organization chart of all key team members who will be directly involved in

providing services, including any subcontractors to be assigned specifically to this project. Identify the Project Manager who will be empowered to make decisions for and act on behalf of the firm. Identify any member of the team that is certified as a Disadvantaged Business Enterprise.

C. Discuss your firm’s/team’s qualifications and previous experience on similar or related

projects, specifically with projects requiring public engagement-related tasks. D. Describe any previous collaboration(s) between key team members, the responsibilities

of each team member during these collaborations, and the project(s) outcome. Cite any significant achievements reached as a result of this collaboration. Discuss the successes of the team collaboration, and any problems encountered, and methods used to mitigate issues and resolve conflicts.

E. State the most recent date that your firm and each of your subconsultants, as applicable,

submitted or updated PREQUAL-1 with NCDOT. F. Resumes may be submitted for each proposed key team member. Resumes will not be

counted towards the page limit.

Tab 2: Project Understanding, Methodology, Approach and Work Plan A. Discuss the firm’s understanding of the Project objectives and describe the proposed

project approach to deliver the Services in an effective, timely and professional manner. Outline the project plans, structure and services to be provided and how and when these services shall be provided. This description should fully and completely demonstrate the proposer’s intended methods for servicing the requirements of all aspects of the Project set forth herein. Provide a work plan that provides project activities, milestones and/or deliverables associated with each stage of the scope of work.

B. Describe any support the firm will need from the City or other staff. C. Describe the firm’s project management and quality control procedures, processes for

performance, and past involvement in projects of similar nature. D. Discuss the firm’s management and quality control procedures related to subconsultants.



Tab 3: Qualifications and Experience of Firm and Key Team Members in Providing Similar Services for Projects Requiring Public Engagement-Related Tasks List a maximum of three (3) relevant projects involving public engagement-related tasks, either currently in progress or having been completed in the past five (5) years for any public entity, containing work comparable to this specific Project, including any projects with the City, as follows:

• List only projects involving the key team members or subcontractors proposed for this

Project. • List projects in date order with newest projects listed first and include the following:

o Brief project description; o Owner’s representative having knowledge of the firm’s work, include the contact

name, phone, email, address; o Contract dollar amount and total time period involved; and o Discuss the methods, approach and controls used on the project in order to

complete it in an effective, timely, economical and professional manner.

Tab 4: Availability of the Firm and Key Team Members for This Project A. Discuss availability of key staff to provide the required services. B. Discuss your team’s response to the loss of a key staff member. Who in your organization

possesses adequate skills to assume work responsibilities related to this project in the event of the loss of key staff?

Tab 5: Disadvantaged Business Enterprise (DBE) Program

List DBE firms included on your team and their anticipated role in providing the services.

Tab 6: Required Forms Forms 1 thru 5 and DBE Forms provided with this RFQ shall be completed and submitted with the SOQ. Required Forms will not be counted towards the page limit.

City of Charlotte Section 2 Engineering & Property Management REPRESENTATIONS, CONDITIONS, AND OTHER REQUIREMENTS


2 REPRESENTATIONS, CONDITIONS, AND OTHER REQUIREMENTS 2.1 Communications

All communication of any nature with respect to this RFQ shall be addressed to the Contracts Administrator identified in this RFQ. With the exception of communications with the Contracts Administrator and Charlotte Business INClusion (CBI) Compliance Officer for this RFQ, firms and their staffs are prohibited from communicating with elected City officials, City staff, CRTPO staff, NCDOT staff, and any evaluation committee member regarding this RFQ or SOQ from the time the RFQ is released until the selection results are publicly announced. These restrictions include “thank you” letters, phone calls, emails, and any contact that results in the direct or indirect discussion of this RFQ and/or the SOQ submitted by the firm/team. Violation of this provision may lead to disqualification of the firm’s SOQ for consideration.

2.2 Duties and Obligations of Firms in the RFQ Process Interested firms are expected to fully inform themselves as to all conditions, requirements and specifications of this RFQ before submitting a proposal. Firms must perform their own evaluation and due diligence verification of all information and data provided by the City. The City makes no representations or warranties regarding any information or data provided by the City. Firms are expected to promptly notify the City in writing to report any ambiguity, inconsistency or error in this RFQ. Failure to notify the City accordingly will constitute a waiver of claim of ambiguity, inconsistency or error.

2.3 Addenda

In order to clarify or modify any part of this RFQ, addenda may be issued and posted at the City’s official website at http://epmcontracts.charmeck.org. Any requests for additional information or clarifications should be submitted in writing to the Contracts Administrator listed in Section 1.1 by the “Deadline for Questions” stated in Section 1.3 – RFQ Schedule of Events.

2.4 No Collusion, Bribery, Lobbying or Conflict of Interest

By responding to this RFQ, the firm shall be deemed to have represented and warranted that its SOQ submittal is not made in connection with any competing firm submitting a separate response to this RFQ and is in all respects fair and without collusion or fraud. Furthermore, the firm certifies that neither it, any of its affiliates or subconsultants, nor any employees of any of the foregoing has bribed, or attempted to bribe, an officer or employee of the City in connection with this RFQ.

2.5 Public Records Upon receipt by the City, each SOQ becomes the property of the City and is considered a public record except for material that qualifies as “Trade Secret” information under North Carolina General Statute 66-152 et seq. SOQs will be reviewed by the City’s evaluation committee, as well as other City staff and members of the general public who submit public record requests after a selection result has been announced to the public. To properly designate material as a trade secret under these circumstances, each firm must take the following precautions: (a) any trade secrets submitted by the firm should be submitted in a separate, sealed envelope marked “Trade Secret – Confidential and Proprietary Information – Do Not Disclose Except for the Purpose of

http://epmcontracts.charmeck.org/



Evaluating this SOQ,” and (b) the same trade secret/confidentiality designation should be stamped on each page of the trade secret materials contained in the envelope. In submitting an SOQ, each firm agrees that the City may reveal any trade secret materials contained in such response to all City staff and City officials involved in the evaluation process and to any outside consultant or other third parties who serve on the evaluation committee or who are hired by the City to assist in the evaluation process. Furthermore, each firm agrees to indemnify and hold harmless the City and each of its officers, employees and agents from all costs, damages and expenses incurred in connection with refusing to disclose any material that the firm has designated as a trade secret. Any firm that designates its entire SOQ as a trade secret may be disqualified from consideration.

2.6 Cost of SOQ Preparation

The City shall not be liable for any expenses incurred by any firm responding to this RFQ. Firms submitting a SOQ in response to this RFQ agree that the materials and submittals are prepared at the firm’s own expense with the express understanding that the firm cannot make any claims whatsoever for reimbursement from the City for the costs and expense associated with preparing and submitting a SOQ. Each firm shall hold the City harmless and free from any and all liability, costs, claims, or expenses incurred by, or on behalf of, any person or firm responding to this RFQ.

2.7 Advertising

In submitting a SOQ, the firm agrees not to use the results therefrom as part of any commercial advertising without prior written approval of the City of Charlotte.

2.8 Vendor Registration with City of Charlotte The selected firm and subcontractors must be registered in the City’s Vendor Registration System in order to receive payment for services and/or supplies provided under any City contract.

2.9 Registration with Secretary of State for North Carolina; Licensed Engineers/Architects Any firm wishing to be considered for the Services must be properly registered with the Office of the Secretary of State, as applicable, and with the North Carolina Board of Registration for Professional Engineers and Land Surveyors. The firm(s) selected under this RFQ will be responsible for providing all professional, technical, managerial, and administrative staff with the appropriate skills and qualifications to perform the required Services. The person in responsible charge of the work must be a registered professional in the State of North Carolina and must have good ethical and professional standing. Any firm proposing to use corporate subsidiaries or subcontractors must include a statement that these companies are properly registered with the NC Board of Registration for Professional Engineers and Land Surveyors, as applicable. It will be the responsibility of the prime firm to verify the registration of any corporate subsidiary or subcontractor prior to submitting a SOQ. For detailed licensing requirements, refer to North Carolina General Statutes (http://www.ncbels.org/rulesandlaws.html).

http://www.ncbels.org/rulesandlaws.html



2.10 Financial Capacity; Insurance Requirements The selected firm must have the financial capacity to undertake the work and assume associated

liability. 2.11 Ownership of Work Products

The City shall have exclusive ownership of all intellectual property rights in all designs, plans and specifications, documents and other work product prepared by, for, or under the direction of the selected firm pursuant to any contract under this RFQ (collectively, the “Intellectual Property”), including without limitation the right to copy, use, disclose, distribute, and make derivations of the Intellectual Property for any purpose or to assign such rights to any third party. The Intellectual Property shall be prepared in the City’s name and shall be the sole and exclusive property of the City, whether or not the work contemplated therein is performed. The City will grant the firm a royalty-free, non-exclusive license to use and copy the Intellectual Property to the extent necessary to perform the contract.

2.12 City Rights and Reservations The City expects to select one or more firms, but reserves the right to request substitutions of any key team member, including staff and subcontractors. The City reserves the right to contact any firm/team for any additional information including but not limited to experience, qualifications, abilities, equipment, facilities, and financial standing. The City reserves the right to modify any part of this RFQ as issued with an addendum. The City, at its sole discretion, reserves the right to reject any or all responses to the RFQ, to cancel the RFQ, to re-advertise for new RFQ responses either with identical or revised specifications, or to accept any RFQ response, in whole or part, deemed to be in the best interest of the City. The City reserves the right to waive technicalities and informalities. A response to this RFQ shall not be construed as a contract, nor indicate a commitment of any kind. The City reserves the sole right to award a contract or contracts to the most qualified firm(s) on the basis of best overall SOQ that is most advantageous to the City. The City also reserves the right to make multiple awards, based on experience and qualifications if it is deemed in the City’s best interest.

2.13 Contract

The contents of this RFQ and all provisions of the successful SOQ deemed responsive by the City may be incorporated, either in whole or in part, into a contract and become legally binding when approved and executed by both parties. Contents of the contract may contain changes from the City‘s perspective as a result of the RFQ process and SOQ(s) received. The final negotiated contract may include the scope of work as outlined in this RFQ along with the successful firm’s submittal and any additions or deletions made at the discretion of the City as a result of the RFQ process.

2.14 Equal Opportunity The firm will ensure that employees and applicants for employment are not unfairly discriminated against because of their race, color, religion, sex, national origin, disability or veteran status.



2.15 E-Verify Certification

The firm shall comply with requirements of Article 2 of Chapter 64 of the North Carolina General Statutes, and shall require each of its subcontractors to do so as well.

2.16 Familiarity and Compliance with Laws and Ordinances The firm shall make itself aware of and comply with, and shall cause each of its subcontractors to comply with, all applicable federal, state, and local laws and regulations, including obtaining all required permits and licenses.

2.17 Insurance Requirements

The consultant selected under this RFQ will be required, during the life of the contract with the City, to purchase and maintain the following insurance with a company acceptable to the City and authorized to do business with the State of North Carolina:

• Automobile Liability Insurance: Bodily injury and property damage liability covering all

owned, non‐owned, and hired automobiles for limits of not less than $1,000,000 bodily injury each person, each accident and $1,000,000 property damage, or $1,000,000 combined single limit each occurrence/aggregate.

• Comprehensive General Liability: Bodily injury and property damage liability as shall protect

the consultant and any subcontractor performing work under the agreement from claims of bodily injury or property damage which arise from operation of this agreement whether such operations are performed by the consultant, any subcontractor, or any person directly or indirectly employed by either. The amounts of such insurance shall not be less than $1,000,000 bodily injury each occurrence/aggregate and $1,000,000 property damage each occurrence/aggregate or $1,000,000 bodily injury and property damage combined single limits each occurrence/aggregate. This insurance shall include coverage for products/completed operation, personal injury liability and contractual liability assumed under the indemnity provision of the agreement.

• Worker’s Compensation and Occupation Disease Insurance: In conformance with State law,

in an amount of $100,000 each accident and disease for each employee, and $500,000 disease policy limit providing coverage for employees and owners.

• Professional Liability Insurance: In an amount of not less than $1,000,000 each claim and $1,000,000 aggregate.

The City shall be exempt from, and in no way liable for, any sums of money that may represent a deductible in any insurance policy. The payment of such deductible shall be the sole responsibility of the Developer and/or subconsultant providing such insurance.

The City shall be named as additional insured under the commercial general liability insurance for operations and services rendered under a contract. At the time of execution of the contract, certificates of all required insurance shall be furnished to the City and shall contain the provision



that the City will be given thirty (30) day written notice of any intent to amend or terminate by either the insured or the insuring company.

2.18 Background Checks Certain City facilities require a background check of all company employees before they are allowed into the facility. The Charlotte-Mecklenburg Police Department will conduct these background checks as needed.

2.19 North Carolina Prohibition on Contracts with Companies that Invest in Iran or Boycott Israel The Consultant certifies that: (i) it is not identified on the Final Divestment List or any other list of prohibited investments created by the NC State Treasurer pursuant to N.C.G.S. 147-86.58 (collectively, the “Treasurer’s IDA List”); (ii) it has not been designated by the NC State Treasurer pursuant to N.C.G.S. 147-86.81 as a consultant engaged in the boycott of Israel (such designation being referred to as the “Treasurer’s IB List”); and (iii) it will not take any action causing it to appear on the Treasurer’s IDA List or the Treasurer’s IB List during the term of this Contract. In signing this Contract consultant further agrees, as an independent obligation, separate and apart from this Contract, to reimburse the City for any and all damages, costs and attorneys’ fees incurred by the City in connection with any claim that this Contract or any part thereof is void due to consultant appearing on the Treasurer’s IDA List or the Treasurer’s IB List at any time before or during the term of this Contract.

2.20 Protest Procedures

Any protest or objection to this RFQ, including the procurement procedure or award of the contract, shall be submitted in a timely manner to the Contracts Administrator identified in Section 1.1 and will be reviewed in accordance with applicable City policies and procedures. An interested party, as defined in the section below, may file a protest regarding the solicitation, evaluation, or award of a contract in accordance with the procedures set forth herein. Protests must be submitted in writing. For the purposes of this procedure, “interested parties” shall be defined as follows:

• With respect to complaints concerning the terms, conditions, or form of a proposed procurement action, any prospective proposer whose direct economic interest would be affected by the award, or failure to award, a contract.

• With respect to complaints concerning award decisions, the City deems the protest

meritorious only for those actual proposers who have submitted a proposal in response to this solicitation and who would be eligible for selection as the successful proposer for the award of the contract.

In order for a protest to be considered, the written protest shall contain the following elements, at a minimum:



a. Name and address of the protestor and name of the project b. The relationship of the protestor to the procurement, sufficient to establish that the

protest is being filed by an interested party as defined herein c. The specific act or omission being protested d. The basis for the protest e. Any and all documentation supporting the allegations in the protest f. A statement regarding the specific relief requested

If the protest fails to comply with any of the preceding requirements, the City reserves the right to refuse to consider the protest and return the protest to the protestor.

All protests must adhere to the following deadlines:

• Pre-Submittal: Protest concerning the terms, conditions, or proposed form of procurement action must be submitted at least five (5) working days prior to the date established for the receipt of submittals.

• Pre-Award: Protests concerning a recommendation for award, on any ground not based upon the content of the submittal, must be filed with the Contracts Administrator within five (5) working days after the City releases selection results. The City reserves the right to award a contract during protest.

• Post-Award: Protests concerning award decisions, on any ground not based upon the content of the submittal, must be filed with the Contracts Administrator within five (5) working days after such aggrieved person knows, or should have known, of the grounds of the protest.

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City of Charlotte Section 3 Engineering & Property Management NCDOT and FHWA Contracting Requirements


3 FTA CONTRACTING REQUIREMENTS

3.1 FEDERAL APPLICABILITY The Work to be performed under this Contract will be financed in whole or in part with Federal funding. As such, Federal laws, regulations, policies, and related administrative practices apply to this Contract. The most recent of such Federal requirements, including any amendments made after the execution of this Contract, shall govern this Contract, unless the Federal Government determines otherwise. This Section identifies the Federal requirements that are applicable to this Contract. The Contractor is responsible for complying with all applicable provisions. To the extent applicable, the Federal requirements contained in the most recent version of the FTA Master Contract, including any certifications and contractual provisions required by any Federal statutes or regulations referenced therein to be included in this Contract, are deemed incorporated into this Contract by reference and shall be incorporated into any subcontract or subcontract executed by the Company pursuant to its obligations under this Contract. The Contractor and its subcontractors, if any, hereby represent and covenant that they have complied and shall comply in the future with the applicable provisions of the Master Contract then in effect and with all applicable Federal, State and local laws, regulations, and rules and local policies and procedures, as amended from time to time, relating to the Work to be performed under this Contract. Anything to the contrary herein notwithstanding, all FTA-mandated terms shall be deemed to control in the event of a conflict with other provisions contained in this Contract. The Contractor shall not perform any act, fail to perform any act, or refuse to comply with any City requests, which would cause the City to be in violation of the FTA terms and conditions.

3.2 FLY AMERICA The Contractor understands and agrees that the Federal Government will not participate in the costs of international air transportation of any individuals involved in or property acquired for the Project unless that air transportation is provided by U.S.-flag air carriers to the extent such service is available, in compliance with §5 of the International Air Transportation Fair Competitive Practices Act of 1974, as amended, 49 U.S.C. §40118, and U.S. GSA regulations, “Use of U.S. Flag Air Carriers,” 41 CFR §§ 301-10.131 through 301-10.143. This requirement extends to all third party contractors and their contracts at every tier and this clause shall be included in all such subcontracts.

3.3 BUY AMERICA All iron, steel and manufactured products provided by the Contractor shall be of domestic manufacture or origin, except as otherwise approved by the City. The Contractor agrees to comply with 49 U.S.C. §5323(j) and 49 CFR Part 661, which provide that Federal funds may not be obligated unless steel, iron, and manufactured products used in FTA-funded projects are produced in the United States, unless a waiver has been granted by FTA or the product is subject to a general waiver. See Section 00 40 00 of this Project Manual for the required certification to be included at the time of Bid submission. General waivers are listed in 49 CFR 661.7.



This requirement extends to all third party contractors and their contracts at every tier and this clause shall be included in all such subcontracts. Contractors shall require any subcontractors providing iron, steel or manufactured products to provide certification of Buy America compliance. In addition to the certification required at the time of Bid submission, the Contractor shall be required to submit additional Buy America certifications throughout the term of the Contract, specifically with each submittal, payment request and at final completion. See Section 00 60 00 of this Project Manual for the required certifications. Whenever the Contractor provides a product the Contractor shall first ensure that the product is of domestic manufacture or origin. The Contractor shall submit certification with documentation of Buy America compliance, which shall include a certified letter from the manufacturer of the product stating such compliance for all iron, steel or manufactured products, prior to the incorporation of such product into the Project. This certification shall be submitted with each Submittal from the Contractor to the Engineer. Similar certifications are required with each payment request and final completion, less an additional certified letter from the manufacturer since such letter shall already have been obtained. Should the Contractor find it necessary to provide iron, steel, or manufactured products, which are not produced in the U.S. in sufficient and reasonably available quantities, then the Contractor shall submit a written justification to the Engineer describing in detail the product, its estimated cost, the rationale for its use in the Project and the basis for the Contractor’s belief that the product is of limited domestic availability. The City, in its sole discretion, will determine whether to seek a waiver of the Buy America requirements from the U.S. Secretary of Transportation. Should the City determine that there is insufficient basis for seeking a waiver, or if a waiver request is denied by US-DOT, the Contractor shall redesign the Project to conform with Buy America requirements at no additional cost to the City. See Section 00 40 00 – Bid Forms and Supplements for certification. The City may investigate the Contractor’s and any subcontractors’ or suppliers’ compliance with this Article. If an investigation is initiated, the Contractor shall document his compliance and cooperate with the investigation. The Contractor shall include the terms of this Article in every subcontract or purchase order as necessary to enforce such provision. The Contractor’s non-compliance with all or any portion of this Article shall constitute a material breach of contract for which the City may, in addition to all other remedies provided by law by the Contract, or otherwise, terminate this Contract for default. The Contractor further agrees to indemnify and hold the City free and harmless from and against any and all liability, loss, costs, claims, demands, damage, or expense of every kind or nature whatsoever (including, without limitation, reasonable attorneys' fees and costs of litigation) that the City suffers or incurs arising from, or out of, or by reason of the Contractor's non-compliance or alleged non-compliance with any provision of this Article.

3.4 CARGO PREFERENCE The Contractor shall use privately owned U.S.-flag commercial vessels to ship at least fifty percent (50%) of the gross tonnage (computed separately for dry bulk carriers, dry cargo liners, and tankers) involved, whenever shipping any equipment, material, or commodities pursuant to the underlying contract to the



extent such vessels are available at fair and reasonable rates for U.S.- flag commercial vessels. The Contractor shall furnish within twenty (20) days after the date of loading for shipments originating within the U.S. or within thirty (30) days after the date of leading for shipments originating outside the U.S., a legible copy of a rated, “on-board” commercial ocean bill-of-lading in English for each shipment to this Project to the Division of National Cargo, Office of Market Development, Maritime Administration, Washington, DC 20590 and to the City (through the Contractor in the case of a subcontractor’s bill-of-lading). This requirement extends to all third party contractors and their contracts at every tier and this clause shall be included in all such subcontracts.

3.5 SEISMIC SAFETY REQUIREMENTS The Contractor agrees that if any new building or addition/renovation to an existing building will be constructed in accordance with the standards for seismic safety required in US-DOT Seismic Safety Regulations 49 CFR Part 41 and will certify to compliance to the extent required by the regulation. If any new building or addition/renovation to an existing building will be constructed, the Contractor also agrees to ensure that all Work performed under this Contract including Work performed by a subcontractor is in compliance with the standards required by the Seismic Safety Regulations and the certification of compliance issued on the Project.

3.6 ENERGY CONSERVATION The Contractor agrees to comply with the mandatory standards and policies relating to energy efficiency which are contained in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act, 42 U.S.C. §§ 6321, et seq. This requirement extends to all third party contractors and their contracts at every tier and this clause shall be included in all such subcontracts.

3.7 CLEAN WATER The Contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. §§1251, et seq. The Contractor agrees to report each violation to the City and understands and agrees that the City will, in turn, report each violation as required to assure notification to FTA and the appropriate EPA Regional Office. The Contractor also agrees to include these requirements in each subcontract exceeding one hundred thousand dollars ($100,000.00) financed in whole or in part with Federal assistance provided by FTA.

3.8 LOBBYING The Contractor agrees to comply with the provisions of Title 31, U.S.C. 1352, The Byrd Anti-Lobbying Amendment, as in force or as it may hereafter be amended. The Contractor and all subcontractor tiers shall file the certification required by 49 CFR Part 20, “New Restrictions on Lobbying.” Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or



organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant, or any other award covered by 31 U.S.C. 1352. Each tier shall also disclose the name of any registrant under the Lobbying Disclosure Act of 1995 who has made lobbying contacts on its behalf with non-Federal funds with respect to that Federal contract, grant, or award covered by 31 U.S.C. 1352. Such disclosures are forwarded from tier to tier up to the City. The Contractor shall make such disclosure on the disclosure form included in the Project Manual. See Section 00 40 00 – Bid Forms and Supplements for certification. The Contractor further agrees to secure like undertakings from all subcontractor tiers whose subcontracts are expected to be of a value of one hundred thousand dollars ($100,000.00) or more.

3.9 ACCESS TO RECORDS & REPORTS The City 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 City, the FTA Administrator, the Comptroller General of the U.S. 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 Project Management Oversight (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. Where any City 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 City, 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. 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. The Contractor agrees to maintain all books, records, accounts and reports required under this Contract for a period of 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 Contractor agrees to maintain same until the City, 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). The Contractor agrees to include the above clause(s) 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.



3.10 FEDERAL CHANGES The 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 the City and FTA, as they may be amended or promulgated from time to time during the term of this Contract. The Contractor’s failure to so comply shall constitute a material breach of this Contract. This requirement extends to all third party contractors and their contracts at every tier and this clause shall be included in all such subcontracts.

3.11 CLEAN AIR The Contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act, as amended, 42 U.S.C. §§ 7401, et seq. The Contractor agrees to report each violation to the City and understands and agrees that the City will, in turn, report each violation as required to assure notification to FTA and the appropriate EPA Regional Office. The Contractor also agrees to include these requirements in each subcontract exceeding one hundred thousand dollars ($100,000.00) financed in whole or in part with Federal assistance provided by FTA.

3.12 RECYCLED PRODUCTS The Contractor agrees to comply with all the requirements of the Resource Conservation and Recovery Act (RCRA) §6002, as amended and now cited as 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. This requirement extends to all third party contractors and their contracts at every tier.

3.13 NO GOVERNMENT OBLIGATION TO THIRD PARTIES The City and the 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 City, the Contractor, or any other party (whether or not a party to that contract) pertaining to any matter resulting from the underlying Contract. 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 subcontractors who will be subject to its provisions.

3.14 PROGRAM FRAUD & FALSE OR FRAUDULENT STATEMENTS & RELATED ACTS 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 US-DOT regulations, “Program Fraud Civil Remedies,” 49 CFR 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. 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. 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.

3.15 GOVERNMENT-WIDE DEBARMENT & SUSPENSION This Contract is a covered transaction for purposes of 2 CFR Part 1200.220, and 2 CFR Part 180.200, which replaces the requirements and guidelines of the previously controlling 49 CFR Part 29. As such, the Contractor is required to verify that neither it, nor its principals (as defined at 2 CFR 180.995) or affiliates (as defined at 2 CFR 180.905) is excluded (as defined at 2 CFR 180.940) or disqualified (as defined at 2 CFR 180.935). The Contractor, pursuant to 2 CFR 180.330(a) – (b), must also include a term or condition in lower-tier transactions requiring lower-tier participants to comply with requirement in subpart C in 2 CFR 180, and require lower-tier participants to pass the requirement to comply with 2 CFR subpart C to each person with whom the lower-tier participant enters into a covered transaction at the next lower tier. Subpart C of 2 CFR 180 requirements (Contractor and lower-tier participants must comply): Verification The Contractor and all lower-tier participants must verify that the person with whom the Contractor or lower-tier participant intends to do business with is not excluded, pursuant to the definition set out in 2 CFR 180.940, or disqualified, pursuant to the definition in 2 CFR 180.935. The Contractor and all lower-tier participants may do this by either: (a) checking the Excluded Parties List System (EPLS), found at https://www.sam.gov/portal/public/SAM/, (b) collecting the certification form from the lower-tier participant, or (c) adding a clause or condition to the covered transaction with that lower-tier participant. Disclosing Information The Contractor and all lower-tier participants, before entering into a covered transaction, must notify the higher-tiered participant if they are presently excluded or disqualified, or any of their principals are excluded or disqualified, pursuant to 2 CFR 180.355.



3.16 CIVIL RIGHTS REQUIREMENTS In accordance with Title VI of the Civil Rights Act, as amended, 42 U.S.C. §2000d, §303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C. §6102, §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. Equal Employment Opportunity: The following equal employment opportunity requirements apply to this Contract: 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 CFR 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. Age In accordance with §4 of the Age Discrimination in Employment Act of 1967, as amended, 29 U.S.C. §623 and Federal transit law at 49 U.S.C. §5332, the Contractor agrees to refrain from discrimination against present and prospective employees for reason of age. In addition, the Contractor agrees to comply with any implementing requirements FTA may issue. Disabilities In accordance with §102 of the Americans with Disabilities Act, as amended, 42 U.S.C. §12112, the Contractor agrees that it will comply with the requirements of U.S. Equal Employment Opportunity Commission, "Regulations to Implement the Equal Employment Provisions of the Americans with Disabilities Act," 29 CFR Part 1630, pertaining to employment of persons with disabilities. In addition, the Contractor agrees to comply with any implementing requirements FTA may issue. The Contractor also agrees to include the requirements of this Article in each subcontract financed in whole or in part with Federal assistance provided by FTA, modified only if necessary to identify the affected parties.



3.17 INCORPORATION OF FTA TERMS The provisions of this Contract include, in part, certain standard terms and conditions required by the US-DOT, whether or not expressly set forth in the Contract provisions. All applicable contractual provisions required by US-DOT, as set forth in FTA Circular 4220.1F or Federal law, are hereby incorporated by reference. Anything to the contrary herein notwithstanding, all FTA-mandated terms shall be deemed to control in the event of a conflict with other provisions contained in this Contract. The Contractor shall not perform any act, fail to perform any act, or refuse to comply with any City requests, which would cause the City to be in violation of the FTA terms and conditions. The Contractor also agrees to include the requirements of this Article in each subcontract financed in whole or in part with Federal assistance provided by FTA, modified only if necessary to identify the affected parties.

3.18 FEDERAL ACQUISITION REGULATIONS (F.A.R.) COMPLIANCE Any adjustment to the Contractor's compensation under the Contract shall include only costs and other compensation that are allowable, allocable and reasonable as provided elsewhere herein, or otherwise by law, and that are allowable, allocable and reasonable under the Contract Cost Principles of the Federal Acquisition Regulations (F.A.R.) System, 48 CFR, Ch.1, Pt.31, and any implementing guidelines or regulations issued by the said Administration.



DISADVANTAGED BUSINESS ENTERPRISE

City Of Charlotte: Charlotte Area Transit System (CATS) DISADVANTAGED BUSINESS ENTERPRISE (DBE) CONTRACT PROVISIONS & FORMS

THE DBE GOAL FOR THIS CONTRACT IS: 8.9%

This Contract is subject to the requirements of 49 C.F.R. Part 26 Participation by DBE in Department of Transportation Financial Assistance Programs.

I. POLICY

As a recipient of funds from the Federal Transit Administration (“FTA”), the City has established a Disadvantaged Business Enterprise Program (“DBE Program”) in accordance with regulations of the U.S. Department of Transportation (“DOT”), 49 C.F.R. Part 26 and has committed to ensuring compliance on all FTA-funded projects through monitoring, reporting, and goal-setting. The DBE Program is incorporated into and made a part of the Bidding Documents and resulting Contract. Copies of the DBE Program may be obtained online at: http://charmeck.org/city/charlotte/cats/about/Business/procurement/Pages/dbesbe.aspx; under “City of Charlotte’s DBE Program (document)” on the www.ridetransit.org “Doing Business with CATS as a DBE/SBE” page. It is the policy of the City to ensure that DBEs, as defined in 49 C.F.R. Part 26, have an equal opportunity to receive and participate in DOT-assisted contracts. The City’s objectives are as follows:

1. To ensure nondiscrimination in the award and administration of DOT-assisted contracts; 2. To create a level playing field on which DBEs can compete fairly for DOT-assisted contracts; 3. To ensure that the DBE Program is narrowly tailored in accordance with applicable law; 4. To ensure that only firms that fully meet 49 C.F.R. Part 26 eligibility standards are permitted

to participate as DBEs; 5. To help remove barriers to the participation of DBEs in DOT-assisted contracts; and 6. To assist the development of firms that can compete successfully in the market place outside

the DBE Program.

The CATS Civil Rights Officer has been designated as the DBE Liaison Officer (“DBELO”). In that capacity, he/she is responsible for implementing all aspects of the DBE Program. Implementation of the DBE Program is accorded the same priority as compliance with all other legal obligations incurred by the City in its financial assistance agreements with the DOT.

II. APPLICATION Pursuant to 49 C.F.R. Part 26 and the DBE Program, all Bidders must affirmatively ensure that in any contract entered into with the City, DBEs will be afforded equal opportunity to participate in subcontracting opportunities.

http://charmeck.org/city/charlotte/cats/about/Business/procurement/Pages/dbesbe.aspx

http://www.ridetransit.org/



A Bid will not be considered responsive unless the Bidder complies with 49 C.F.R. Part 26 and the DBE Program. Failure to carry out the pre-award requirements stated in the DBE Contract Provisions will be sufficient grounds to reject the Bid. Moreover, failure by the Contractor to comply with 49 C.F.R. Part 26 and the DBE Program after award shall constitute a breach of Contract. The Bidder shall thoroughly examine and be familiar with provisions of 49 C.F.R. Part 26 and the DBE Program. Submission of a Bid shall constitute an acknowledgment upon which the City may rely that the Bidder has thoroughly examined, and is familiar with said regulations and contract requirements. Failure or neglect of a Bidder to receive or examine any of these government regulations and contract requirements shall in no way relieve him from any obligations with respect to his Bid or this Contract.

III. REQUIREMENTS

The Contractor 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 and the DBE Program in the award and administration of this DOT-assisted contract. 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 City deems appropriate. Each subcontract the Contractor signs with a subcontractor (both DBE and non-DBE subcontractors) must include the assurance in this paragraph. Such contract language is located in Section VIII below. (See 49 C.F.R. §26.13(b)).

Bidders are required to document sufficient DBE participation to meet the goal established for this Contract or, alternatively, document adequate Good Faith Efforts to do so, as provided for in 49 C.F.R. §26.55. Specifics regarding Good Faith Efforts is located in Section VI below. Award of this Contract is conditioned upon the submission of the following concurrent with and accompanying the sealed Bid:

1. The names and addresses of DBE firms that will participate in this Contract; 2. A description of the work each DBE will perform; 3. The dollar amount of the participation of each DBE firm participating; 4. Written documentation of the Bidder’s commitment to use a DBE subcontractor whose

participation it submits to meet the Contract goal; 5. Written confirmation from the DBE that it is participating in the Contract as provided in the

Contractor’s commitment; and 6. If the Contract goal is not met, evidence of Good Faith Efforts to do so.

Bidders must present the information required above as a matter of responsiveness with the Bid submission. Additional information on all required documentation is specified in Section VII below. (See 49 C.F.R. §26.53 (3)). By submitting a Bid, the Bidder gives assurances that he/she will meet the Contract goal for DBE participation in performance of this Contract, or as an alternative, that the Bidder has made such Good Faith Efforts as required in Section VI below.



The Contractor is required to pay each subcontractor under this Contract for satisfactory performance of its contract no later than seven (7) days from the receipt of each progress payment or final payment the full amount the Contractor receives from the City for each subcontractor’s work and materials under the subcontract. Any delay or postponement of payment from the above referenced time frame may result in liquidated damages and/or sanctions as stipulated in Contract Documents. Exceptions may occur only for good cause following written approval by the City. This clause applies to both DBE and non-DBE subcontractors.

The Contractor is required to return retainage payments to each subcontractor within seven (7) days after the subcontractors work is satisfactorily completed. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of the City. This clause applies to both DBE and non-DBE subcontractors.

For purposes of this Section, a subcontractor’s work is satisfactorily completed when all the tasks called for in the subcontract have been accomplished and documented as required by the City. When the City has made incremental acceptance of a portion of the Contract, the work of a subcontractor covered by that acceptance is deemed to be satisfactorily completed. The Contractor’s failure to pay subcontractors as provided shall be a material breach for which the City may cancel this Contract. The Contractor may not hold retainage from its subcontractors once the City has provided notice that the work completed by the subcontractors has been completed and has been accepted. To terminate a DBE subcontractor, the Contractor must follow the procedure stated in Section 26.53(f) of the DBE Program. The Contractor shall not terminate a DBE subcontractor without prior written consent of the City. Prior written consent will only be provided where there is “good cause” for termination of the DBE firm, as established by Section 26.53(f)(3) of the DBE Program. In those instances where “good cause” exists to terminate a DBE subcontractor, the City will require the Contractor to make good faith efforts to replace a DBE that is terminated or has otherwise failed to complete its work on a contract with another certified DBE, to the extent needed to meet the Contract goal. The Contractor shall notify the DBELO immediately of the DBE’s inability or unwillingness to perform and provide reasonable documentation. If the Contractor fails or refuses to comply, the Contracting Officer will issue an order stopping all or part of payment/work until satisfactory action has been taken. If the Contractor still fails to comply, the Contracting Officer may terminate the Contract.

IV. REQUIRED DOCUMENTATION

A Bid will not be considered responsive unless the Bidder complies with 49 C.F.R. Part 26 and the City’s DBE Program. The applicable forms in this section MUST be completed and included with the Bid (or specified timeframe) if a Bidder is to be considered responsive. If these forms are not submitted as such, the Bidder will be considered non-responsive and the Bid rejected. The required forms are listed below.



1. LIST OF SUBCONTRACTORS/SUPPLIERS – FORM A The Bidder must submit its proposed DBE and non-DBE utilization on FORM A (List of Subcontractors/Suppliers) listing ALL subcontractors and suppliers that will be providing goods or services under the Contract. This form is to include all subcontractors the Bidder proposes to use, not just the DBE subcontractors. Bidders are required to list the names, contact information, annual gross receipts, age of firm, respective scope of work/service to be performed, NAICS Code, NCDOT Reporting Number, the dollar values of each subcontract that the Bidder proposes for participation in the Contract work, and the dollar value of total DBE participation for the Contract. Blank forms will be deemed to represent zero participation. Forms without a signature will be considered non-responsive.

2. EVIDENCE OF GOOD FAITH EFFORTS – FORM C If the information submitted in FORM A indicates that the City’s goal will not be met, the Bidder shall also submit evidence sufficient to show to the City’s satisfaction that the Bidder has in good faith made every reasonable effort, in the City’s judgment, to meet such goal prior to contract award. FORM C (Evidence of Good Faith Efforts) must be completed and all accompanying documentation provided to show DBE firms that were contacted, but were not utilized. More information relating to Good Faiths Efforts is located in Section VI below. Blank forms will be deemed to represent zero Good Faith Efforts. Completed forms without accompanying documentation will be considered non-responsive.

3. LETTER OF INTENT – FORM D The Letter of Intent (FORM D) must be completed for EACH DBE listed on FORM A. Letters of Intent are not required to be submitted with the Bid, but can be submitted with the Bid. However, the apparent low Bidder will be required to submit Letters of Intent within three (3) business days from the time the City makes the request.

All documentation submitted at time of Bid, as well as additional data provided by the successful Bidder, is considered part of the Contract Documents. Any alterations, substitutions, deletions, etc., to data provided at time of submission of Bid must have prior approval of the DBELO.

V. DBE PARTICIPATION TOWARDS DBE GOAL

In accordance with 49 C.F.R. Part 26 and the DBE Program, the City may set contract specific goals. The degree of goal attainment by DBE contractors and DBE suppliers should be calculated as follows:

1. When a DBE participates in a contract, only the value of the work actually performed by the DBE counts toward the DBE goal and shall be calculated as follows:

A. Count the entire amount of that portion of a construction contract (or other contract

not covered by paragraph 2 of this Section) that is performed by the DBE's own forces. Include the cost of supplies and materials obtained by the DBE for the work of the contract, including supplies purchased or equipment leased by the DBE (except



supplies and equipment the DBE subcontractor purchases or leases from the prime contractor or its affiliate).

B. Count the entire amount of fees or commissions charged by a DBE firm for providing a bona fide service, such as professional, technical, consultant, or managerial services, or for providing bonds or insurance specifically required for the performance of a DOT-assisted contract, toward DBE goals, provided you determine the fee to be reasonable and not excessive as compared with fees customarily allowed for similar services.

C. When a DBE subcontracts part of the work of its contract to another firm, the value of the subcontracted work may be counted toward DBE goals only if the DBE's subcontractor is itself a DBE. Work that a DBE subcontracts to a non-DBE firm does not count toward DBE goals.

2. When a DBE performs as a participant in a joint venture, count a portion of the total dollar

value of the contract equal to the distinct, clearly defined portion of the work of the contract that the DBE performs with its own forces toward DBE goals.

3. Count expenditures to a DBE contractor toward DBE goals only if the DBE is performing a commercially useful function on that contract.

A. A DBE performs a commercially useful function when it is responsible for execution

of the work of the contract and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a commercially useful function, the DBE must also be responsible, with respect to materials and supplies used on the contract, for negotiating price, determining quality and quantity, ordering the material, and installing (where applicable) and paying for the material itself. To determine whether a DBE is performing a commercially useful function, you must evaluate the amount of work subcontracted, industry practices, whether the amount the firm is to be paid under the contract is commensurate with the work it is actually performing and the DBE credit claimed for its performance of the work, and other relevant factors.

B. A DBE does not perform a commercially useful function if its role is limited to that of an extra participant in a transaction, contract, or project through which funds are passed in order to obtain the appearance of DBE participation. In determining whether a DBE is such an extra participant, you must examine similar transactions, particularly those in which DBEs do not participate.

C. If a DBE does not perform or exercise responsibility for at least thirty percent (30%) of the total cost of its contract with its own work force, or the DBE subcontracts a greater portion of the work of a contract than would be expected on the basis of normal industry practice for the type of work involved, you must presume that it is not performing a commercially useful function.

D. When a DBE is presumed not to be performing a commercially useful function as provided in this Section, the DBE may present evidence to rebut this presumption. You may determine that the firm is performing a commercially useful function given the type of work involved and normal industry practices.



E. Your decisions on commercially useful function matters are subject to review by the concerned operating administration, but are not administratively appealable to DOT.

4. Use the following factors in determining whether a DBE trucking company is performing a

commercially useful function:

A. The DBE must be responsible for the management and supervision of the entire trucking operation for which it is responsible on a particular contract, and there cannot be a contrived arrangement for the purpose of meeting DBE goals.

B. The DBE must itself own and operate at least one fully licensed, insured, and operational truck used on the contract.

C. The DBE receives credit for the total value of the transportation services it provides on the contract using trucks it owns, insures, and operates using drivers it employs.

D. The DBE may lease trucks from another DBE firm, including an owner-operator who is certified as a DBE. The DBE who leases trucks from another DBE receives credit for the total value of the transportation services the lessee DBE provides on the contract.

E. The DBE may also lease trucks from a non-DBE firm, including from an owner-operator. The DBE who leases trucks from a non-DBE is entitled to credit for the total value of transportation services provided by non-DBE lessees not to exceed the value of transportation services provided by DBE-owned trucks on the contract. Additional participation by non-DBE lessees receives credit only for the fee or commission it receives as a result of the lease arrangement. If a recipient chooses this approach, it must obtain written consent from the appropriate Department Operating Administration.

F. Example: DBE Firm X uses two (2) of its own trucks on a contract. It leases two (2) trucks from DBE Firm Y and six (6) trucks from non-DBE Firm Z. DBE credit would be awarded for the total value of transportation services provided by Firm X and Firm Y, and may also be awarded for the total value of transportation services provided by four of the six (6) trucks provided by Firm Z. In all, full credit would be allowed for the participation of eight (8) trucks. With respect to the other two (2) trucks provided by Firm Z, DBE credit could be awarded only for the fees or commissions pertaining to those trucks Firm X receives as a result of the lease with Firm Z.

G. For purposes of this Section, a lease must indicate that the DBE has exclusive use of and control over the truck. This does not preclude the leased truck from working for others during the term of the lease with the consent of the DBE, so long as the lease gives the DBE absolute priority for use of the leased truck. Leased trucks must display the name and identification number of the DBE.

5. Count expenditures with DBEs for materials or supplies toward DBE goals as provided in the

following:

A. If the materials or supplies are obtained from a DBE manufacturer, count one hundred percent (100%) of the cost of the materials or supplies toward DBE goals. For purposes of this paragraph, a manufacturer is a firm that operates or maintains a factory or establishment that produces, on the premises, the materials, supplies,



articles, or equipment required under the contract and of the general character described by the specifications.

B. If the materials or supplies are purchased from a DBE regular dealer, count sixty percent (60%) of the cost of the materials or supplies toward DBE goals. For purposes of this paragraph, a regular dealer is a firm that owns, operates, or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. 1) To be a regular dealer, the firm must be an established, regular business that

engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question.

2) A person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone, or asphalt without owning, operating, or maintaining a place of business as provided in this paragraph if the person both owns and operates distribution equipment for the products. Any supplementing of regular dealers' own distribution equipment shall be by a long-term lease agreement and not on an ad hoc or contract-by-contract basis.

3) Packagers, brokers, manufacturers' representatives, or other persons who arrange or expedite transactions are not regular dealers within the meaning of this paragraph.

C. With respect to materials or supplies purchased from a DBE which is neither a manufacturer nor a regular dealer, count the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on a job site, toward DBE goals, provided you determine the fees to be reasonable and not excessive as compared with fees customarily allowed for similar services. Do not count any portion of the cost of the materials and supplies themselves toward DBE goals, however.

6. If a firm is not currently certified as a DBE in accordance with the standards of this Section at

the time of the execution of the contract, do not count the firm's participation toward any DBE goals, except as provided for in 49 C.F.R. §26.87(i).

7. Do not count the dollar value of work performed under a contract with a firm after it has ceased to be certified toward your overall goal.

8. Do not count the participation of a DBE subcontractor toward a contractor's final compliance

with its DBE obligations on a contract until the amount being counted has actually been paid to the DBE.



VI. DOCUMENTATION OF GOOD FAITH EFFORTS In order to be responsive, a Bidder must make good faith efforts to meet the DBE participation goal set forth in the Contract. The Bidder must document the good faith efforts it made in that regard. Thus, the Bid submitted to the City must be accompanied by written documentation prepared by the Bidder evidencing all of its sufficient and reasonable good faith efforts toward fulfilling the goal. These efforts must be active steps, and ones, which could reasonably be expected to lead to sufficient DBE participation to meet the Contract DBE participation goal. Mere pro forma efforts are not acceptable and will be rejected by the DBELO. The DBELO shall be responsible for determining whether the Bidder satisfied the good faith efforts. Good faith efforts require that the Bidder consider all qualified DBEs, who express an interest in performing work under the Contract. This means that the Bidder cannot reject a DBE as unqualified unless the Bidder has sound reasons based on a thorough investigation of the DBE’s capabilities. Further, the DBE’s standing within its industry, membership in specific groups, organizations or associations and political or social affiliation are not legitimate causes for the rejection or non-solicitation of bids in the Contractor’s efforts to meet the Contract DBE participation goal. The following list, which is not exclusive or exhaustive, sets forth the types of actions, which indicate good faith efforts on the part of a Bidder to meet the DBE goal.

1. Attendance at a pre-bid meeting, if any, scheduled by the City to inform DBEs of subcontracting opportunities under a given solicitation.

2. Advertisement in general circulation media, trade association publications, and minority-focus media for at least twenty (20) days before Bids are due. If twenty (20) days are not available, publication for a shorter reasonable time is acceptable.

3. Written notification to capable DBEs that their interest in the Contract is solicited. 4. Documentation of efforts to negotiate in good faith with interested DBEs for specific

subcontracts. It is the Bidder’s responsibility to make a portion of the work available to DBE subcontractors and suppliers, so as to facilitate DBE participation. Such documentation includes at a minimum:

A. The names, addresses, and telephone numbers of DBEs that were contacted and the date(s) of contact;

B. A description of the information provided to DBEs regarding the plans and specifications for portions of the work to be performed;

C. A statement explaining why additional agreements with DBEs were not reached; D. For each DBE the Bidder contacted but rejected as unqualified, the reason for the

Bidder’s conclusion; and E. Documentation of efforts made to assist the DBEs contacted that needed assistance

in obtaining bonding or insurance required by the Bidder or the City. NOTE: A Bidder using good business judgment would consider a number of factors in

negotiating with subcontractors, and would take a firm’s price and capabilities as well as contract goals into consideration. However, the fact that there may be some additional costs involved in finding and using DBEs is not in itself sufficient reason for Bidder’s failure to meet the contract DBE goal, as long as such costs are reasonable. Also, the ability or desire of a contractor to perform the work of a contract with its own organization does not relieve the Bidder of the



responsibility to make GFEs. Prime contractors are not, however, required to accept higher quotes from DBEs if the price difference is excessive or unreasonable.

5. Documentation of efforts to utilize the services of available minority/women community organizations; minority/women contractor’s groups; local, state, and Federal minority/women business assistance offices; and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of DBEs.

6. Documentation that the Bidder has broken out Contract work items into economically feasible units in fields where there are available DBE firms to perform the work in order to increase the likelihood that DBEs goals will be achieved.

7. Evidence that adequate information was provided to interested DBEs about the plans, specifications and requirements of the Contract, and that such information was communicated in a timely manner with sufficient time to allow the DBEs to respond to the solicitation.

8. Documentation of efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related assistance or services.

Bidders must present the information required above as a matter of responsiveness on FORM C together with accompanying documentation. (See 49 C.F.R. §26.53 (b)(3)(i)).

VII. DBE REPORTING AND RECORD KEEPING REQUIREMENTS Once a Bidder has been awarded a Contract, there are continuing obligations under the DBE Program. The City shall verify the veracity and accuracy of representations made by the Contractor as well as to ensure their compliance with these requirements. To ensure that all such obligations and representations are met, the City will conduct periodic reviews of the Contractor’s DBE involvement efforts during Contract performance. These procedures will include, but not be limited to, the following:

1. The Contractor shall submit a monthly report on DBE Participation with each request for

payment from the City. Such information shall be provided on MONTHLY PAYMENT TO SUBCONTRACTORS/SUPPLIERS – FORM B. Failure to submit this form with every request for payment will result in delays in payment.

2. The Contractor shall bring to the attention of the DBELO any situation in which regularly scheduled progress payments are not made to DBE subcontractors.

3. The Contractor shall maintain their books, records, and accounts for three (3) years following the performance of this Contract. These records shall be maintained by the Contractor in a fashion, which is readily accessible to the City and shall be made available for inspection upon request by any authorized representative of the City or FTA. This reporting requirement also extends to any subcontractor.

4. The Contractor shall make good faith efforts to replace a DBE subcontractor that is unable to perform successfully with another DBE. The Contractor shall not terminate a DBE subcontractor without DBELO’s prior consent. To terminate a DBE subcontractor, the Contractor must follow the procedure stated in Section 26.53(f) of the DBE Program.

5. Any alterations, substitutions, deletions, etc., to data provided to the City must have prior approval of the DBELO.



6. The City will monitor the progress of DBE work through on-site visits, communication with DBEs, and review reports regarding employment as well as DBE participation.

7. The City will perform interim audits of contract payments to DBEs. The audit will review payments to DBE subcontractors to ensure that the actual amount paid to DBE subcontractors equals or exceeds the dollar amounts stated in the schedule of DBE participation.

8. The City will track and report the extent of the Contractor’s race-neutral business assistance efforts. For reporting purposes, race-neutral DBE participation includes, but is not limited to, the following: (i) DBE participation through a prime contract, a DBE obtains through customary competitive procurement procedures; (ii) DBE participation through a subcontract on a prime contract that does not carry a DBE goal; DBE participation on a prime contact exceeding a contract goal; and (iii) DBE participation through a subcontract from a prime contract that did not consider a firm’s DBE status in making the award.

VIII. CONTRACT CLAUSES The Contractor shall include the following in each subcontract the Contractor signs with a subcontractor (both DBE and non-DBE subcontractors):

1. The contractor, sub recipient 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 46 C.F.R. Part 26 in the award and administration of DOT-assisted 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 recipient deems appropriate.

2. The Contractor is required to pay each subcontractor (DBEs and non-DBEs) under this Contract for satisfactory performance of its contract no later than seven (7) days from the receipt of each progress payment or final payment the full amount the Contractor receives from the City for each subcontractor’s work and materials under the subcontract. Any delay or postponement of payment from the above referenced time frame may result in liquidated damages and/or sanctions as stipulated in Contract Documents. Exceptions may occur only for good cause following written approval by the City.

3. The Contractor is required to return retainage payments to each subcontractor within seven (7) days after the subcontractors work is satisfactorily completed. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of the City. This clause applies to both DBE and non-DBE subcontractors.

IX. INFORMATION If you have any questions concerning the required documentation listed above, or concerning the DBE requirements in general, contact:

CATS Civil Rights Officer Arlanda Rouse, Charlotte Area Transit System 600 East Fourth Street Charlotte, NC 28202



704-432-2566 [email protected]

[The remainder of this page left intentionally blank.]

mailto:[email protected]

City of Charlotte REQUIRED FORMS Engineering & Property Management Form 1 – Execution of SOQ


Form 1 – Execution of SOQ

Design Services for North Corridor BRT Project

The person executing the SOQ, on behalf of the Consultant, being duly sworn, solemnly swears (or affirms) that neither he, nor any official, agent or employee of the Consultant has entered into any agreement, participated in any collusion, or otherwise taken any action which is in restraint of full and open competition in connection with any proposal or contract, that the Consultant has not been convicted of violating North Carolina General Statute 133-24 within the last three years, and that the Consultant intends to do the work with its own bona fide employees or subcontractors and is not proposing for the benefit of another company.

Submission of a response to this RFQ constitutes certification that the Consultant and all proposed team members are not currently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this Project by any State or Federal department or agency. Submission is also agreement that the City will be notified of any change in this status.

NC General Statute 133-32 and City Policy prohibit any gift from anyone with a contract with the City, or from any person seeking to do business with the City. By execution of this SOQ, you attest, for your organization and its employees or agents, that you are not aware that any such gift has been offered, accepted, or promised by any employees of your organization. The information contained in this SOQ, including its forms and other documents, delivered or to be delivered to the City, is true, accurate, and complete. This SOQ includes all information necessary to ensure that the statements therein do not in whole or in part mislead the City as to any material facts.

Please check the box to acknowledge that a 8.9% DBE participation goal has been set for this project.

Type of Consultant: Sole Proprietor (check 1 box) Partnership

Corporation _____________________________ (identify the State of incorporation)

Limited Liability Company ____________________________ (identify the State of incorporation)

Company Legal Name:

Mailing Address:

City/State/Zip:

Phone: Email:

Printed Name: Title:

Signature: Date:

City of Charlotte REQUIRED FORMS Engineering & Property Management Form 2 – Commercial Non-Discrimination Certification


Form 2 – Commercial Non-Discrimination Certification

Project Name: Design Services for North Corridor BRT Project Consultant’s Name:

The undersigned Consultant hereby certifies and agrees that the following information is correct: 1. In preparing its SOQ, the Consultant has considered all bids/proposals submitted from qualified, potential

subcontractors and suppliers and has not engaged in discrimination as defined in Section 2 below. 2. For purposes of this section, discrimination means discrimination in the solicitation, selection, or treatment of

any subcontractor, vendor, supplier or commercial customer on the basis of race, ethnicity, gender, age or disability or any otherwise unlawful form of discrimination. Without limiting the foregoing, discrimination also includes retaliating against any person or other entity for reporting any incident of discrimination.

3. Without limiting any other remedies that the City may have for a false certification, it is understood and agreed

that, if this certification is false, such false certification will constitute grounds for the City to reject the SOQ submitted with this certification and terminate any contract awarded based on such SOQ. It shall also constitute a violation of the City’s Commercial Non-Discrimination Ordinance and shall subject the Consultant to any remedies allowed thereunder, including possible disqualification from participating in City contracts for up to two years.

4. As a condition of contracting with the City, the Consultant agrees to promptly provide to the City all information

and documentation that may be requested by the City from time to time regarding the solicitation and selection of subcontractors and suppliers. Failure to maintain or failure to provide such information shall constitute grounds for the City to reject the SOQ and to terminate any contract awarded on such SOQ. It shall also constitute a violation of the City’s Commercial Non-Discrimination Ordinance and shall subject the Consultant to any remedies that are allowed thereunder.

5. As part of its bid/proposal, the Consultant shall provide to the City a list of all instances within the past ten years

where a complaint was filed or pending against the Consultant in a legal or administrative proceeding alleging that the Consultant discriminated against its subcontractor, vendors, suppliers, or commercial customers, and a description of the status or resolution of that complaint, including any remedial action taken.

6. As a condition of submitting a bid/proposal to the City, the Consultant agrees to comply with the City’s

Commercial Non-Discrimination Policy as described in Section 2, Article V of the Charlotte City Code, and consents to be bound by the award of any arbitration conducted thereunder.

By: _______________________________________________ SIGNATURE OF AUTHORIZED OFFICIAL Title: _____________________________________________

City of Charlotte REQUIRED FORMS Engineering & Property Management Form 3 – Vendor Debarment Certification


Form 3 – Vendor Debarment Certification

CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS

The bidder, contractor, or subcontractor, as appropriate, certifies to the best of its knowledge and belief that neither it nor any of its officers, directors, or managers who will be working under this Agreement, or persons or entities holding a greater than 10% equity interest in it (collectively “Principals”): 1. Are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily

excluded from covered transactions by any federal or state department or agency in the United States;

2. Have within a three year period preceding this proposal been convicted of or had a civil judgment

rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; violation of federal or state anti-trust or procurement statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;

3. Are presently indicted for or otherwise criminally or civilly charged by a government entity,

(federal, state or local) with commission of any of the offenses enumerated in paragraph 2 of this certification; and

4. Have within a three-year period preceding this application/proposal had one or more public

transactions (federal, state or local) terminated for cause or default. I understand that a false statement on this certification may be grounds for rejection of this proposal or termination of the award or in some instances, criminal prosecution. I hereby certify as stated above:

(Print Name) Signature

Title Date I am unable to certify to one or more the above statements. Attached is my explanation. [Check box if applicable]

(Print Name) Signature

Title Date

City of Charlotte REQUIRED FORMS Engineering & Property Management Form 4 – Byrd Anti-Lobbying Certification


Form 4 – Byrd Anti-Lobbying Certification The undersigned certifies, to the best of his or her knowledge and belief, that: 1. No federal appropriated funds have been paid or will be paid, by or on behalf of the

undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of and Federal contract, grant, loan, or cooperative agreement.

2. If any funds other than federal appropriated funds have been paid or will be paid to any person for making lobbying contacts to an officer or employee of an 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)].

3. The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including all 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 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.

(the “Consultant”), certifies or affirms the truthfulness and accuracy of each statement of its certification and disclosure, if any. In addition, the Consultant understands and agrees that the provisions of 31 U.S.C. A 3801, et seq., apply to this certification and disclosure, if any.

(Print Name) Company Name

Authorized Signature Address

Date City/State/Zip

City of Charlotte REQUIRED FORMS Engineering & Property Management Form 5 – Key Team Member Matrix


Form 5 – Key Team Member Matrix (Attach additional sheets as necessary)

KEY TEAM MEMBERS Key Team Member 1 Key Team Member 2 Key Team Member 3

Name Professional Certifications/Licenses (include Certification/License #)

Relevant Academic Degree(s)

Proposed Role/Function for Projects Project Manager

Office Location (City, State)

Number of Years with Current Firm

Number of Years of Relevant Experience

Availability to provide Services for this Project

List Notable Projects/Experience: Urban Planning Urban Design Bus Operations BRT Experience

City of Charlotte REQUIRED FORMS Engineering & Property Management Form A – List of Subcontractors


City of Charlotte REQUIRED FORMS Engineering & Property Management Form C– Evidence of Good Faith Efforts


EVIDENCE OF GOOD FAITH EFFORTS – FORM C

This completed form and supporting documentation must be submitted with the Bid Package if the information on FORM A indicates you cannot meet the DBE Goal established for this Contract.

Bidder Name: Project Name: Project #: Contact Person: Mailing Address: Phone: Email: Printed Name: Title: Signature:

To determine whether a Bidder has demonstrated Good Faith Efforts to reach the DBE utilization goal(s) on the above-referenced project, the DBELO will consider, AT A MINIMUM, evidence of GOOD FAITH EFFORTS as described in the table below together with the required supporting documentation. All supporting documentation and evidence of good faith efforts must be clearly labeled and submitted with this form. The list below is not a mandatory checklist, nor is it intended exclusive or exhaustive. Efforts under each listed category are not determinative and the totality of the efforts will be evaluated applying the standards set forth in 49 C.F.R. Part 26 and the DBE Program.

YES () NO () EVIDENCE OF GOOD FAITH EFFORTS

PRE-BID MEETING(S): The Bidder attended all pre-bid meetings scheduled by the City to inform DBEs of contracting and subcontracting opportunities.

ADVERTISEMENT: The Bidder advertised in general circulation and/or trade association publications concerning subcontracting opportunities, and allowed DBEs reasonable time to respond.

WRITTEN NOTICE(S): The Bidder took the necessary steps to provide written notice in a manner reasonably calculated to inform DBEs of subcontracting opportunities and allowed sufficient time for them to participate effectively.

INFORMATION: The Bidder provided interested DBEs with adequate information about the plans, specifications and requirements of the subcontract.

GOOD FAITH NEGOTIATIONS: The Bidder negotiated in good faith with interested DBEs and did not reject DBEs as unqualified without sound business reasons based on a thorough investigation of their capabilities.

CONTRACT RECORDS: The Bidder has maintained the following records for each DBE that has bid on the subcontracting opportunity:

1. Name, address, and telephone number; 2. A description of information provided by the Bidder or subcontractor; and 3. A statement of whether an agreement was reached, and if not, why not, including any reasons for concluding that the

DBE was unqualified to perform the job.

COMMUNITY RESOURCES: The Bidder used the services of available community organizations, small and/or disadvantaged business assistance offices and other organizations that provided assistance in the recruitment and placement of DBE firms.

SMALL CONTRACT(S): The Bidder selected specific portions of the Work to be performed by DBEs in order to increase the likelihood of meeting the DBE goals (including breaking down contracts into smaller units to facilitate DBE participation).

GOOD FAITH NEGOTIATIONS: The Bidder negotiated in good faith with interested DBEs and did not reject DBEs as unqualified without sound business reasons based on a thorough investigation of their capabilities.

FOLLOW-UP: The Bidder followed-up initial indications of interest by DBEs by contacting those DBEs to determine with certainty if they remained interested in bidding.

City of Charlotte REQUIRED FORMS Engineering & Property Management Form D – LETTER OF INTENT


City of Charlotte Exhibit A Engineering & Property Management Sample Contract


Exhibit A – Sample Contract The Sample Contract contains standard City terms and conditions. The final contract negotiated with the selected consultant will incorporate specific details applicable to the project and any additional state and federal requirements. Please refer to this solicitation’s link for the Sample Contract.